Mastercircular Compressed

Master
Circular
2022
Compendium of Policy Circulars
i
Table of National Highways Authority of India
contents
Table of Contents
Chapter: 1. Administration Pages
1.1 Delegation of Powers 1-36
1.2 Facilities/ Entitlements 37-74
1.3 Establishment Matters & General Instructions 75-130
1.4 Compliance of various Laws 131-157
1.5 Implementation of Official Language 158-168
1.6 Establishment of offices 169-264
1.7 Cells/ Committees and Duties & Responsibilities 265-286
1.8 Security, Attendance & Visits to HQs/MoRTH 287-318
1.9 Instructions on Filing of Documents, Record 319-389

Management and Guidelines on Weeding of
Records
1.10 Parliament Matters 392-397
1.11 Public Grievance & VIP Reference 398-402
1.12 RTI 403-406
1.13 Standard Formats 407-601
Chapter: 2. Dispute Resolution and Legal Matters
2.1 Dispute Resolutions Mechanism 602-605
2.2 Guidelines for Dispute Resolution Board 606-608
2.3 Conciliation through CCIE 609-624

ii
contents
2.4 Standard Operating Procedure for Arbitration 625-636

Matters
2.5 Guidelines and Standard Operating Procedure for 637-641

Court Cases
2.6 Guidelines for Engagement of Law Firms/Lawyers 642-720
Chapter: 3. Finance & Accounts
3.1 Bank Guarantee 721-728
3.2 Payment and fee 729-736
3.3 Accounting and Taxes 737-746
3.4 Audit 747-761
3.5 Operation of Bank Account 762-768
3.6 Guidelines for Appraisal of Project 769-776
3.7 Customs/Excise Duty Exemption on Externally 777-785

Aided Projects
Chapter: 4. Media Relations and Instructions on

Signboards/Km Stones on NHs
4.1 Media Relations, Advertising and Publicity 787-810
4.2 Signboards / kilometre stones / Road Boundary 811-819

Stones on National Highways
Chapter: 5. Vigilance 820-842
Chapter: 6. Guidelines related to IT Applications / Softwares 843-884
Chapter: 7. Pre-construction
7.1 Land Acquisition 885-928
7.2 Utility shifting 929-938

iii
contents
7.3 ROBs/RUBs 939-961

7.4 Environment 962-970
7.5 Highway Administration 971-1053
Chapter: 8. Public Private Partnership
8.1 Procurement / MCA 1054-1142
8.2 Financial Close / Conditions Precedent 1143-1147
8.3 Concession Administration 1148-1182
8.4 Financial Matters/Cabinet decisions 1183-1196
Chapter: 9. Public Funded
9.1 Procurement 1197-1246
9.2 Contract Administration 1247-1276
9.3 Payment Related 1277-1290
9.4 Operation & Maintenance 1291-1313
Chapter: 10. Consultancy
10.1 Procurement 1314-1534
10.2 Administration of consultancy contracts 1535-1567
10.3 Payment related issues 1568-1578
Chapter: 11. Standard Documents
1 Standard RFP and Standard Agreement for EPC 1579
2 Model Concession Agreement and Model RFP for 1664

HAM Projects
3 Combined Single Stage RFP for BOT (Toll) 1740

projects, MCA for BOT(Toll) projects and MCA
BOT(Toll) for Capacity Augmentation of projects
iv
contents
Chapter: 12. Road Safety 1800-1825
Chapter: 13. Technology Induction Cell 1826-1878
Chapter: 14. Access Permission & Wayside Amenities 1879-1938
Chapter: 15. Quality Assurance 1939-1997
Chapter: 16. Criteria for Assessment of Consultants 1998-2023
Chapter: 17. Commercial Operation
17.1 Delegation of Powers 2024-2029
17.2 Fee Notification 2030-2048
17.3 Reporting Requirement 2049-2058
17.4 Exemption/Concession 2059-2064
17.5 Fee Plaza Operations 2065-2110
17.6 Miscellaneous
1
Chapter: 1 National Highways Authority of India
Chapter: 1. Administration
Section 1.1 Delegation of Powers
Sub Subject
Section
I Establishment
II Contingent Expenditure & Connected Issues
III Miscellaneous Financial Matters
IV Legal Matters
V Miscellaneous
2
I. Establishment
Sl. Powers To whom Extent of delegation
No. delegated
1. Appointments,
Absorption,
Promotion,
Confirmation and
allied matters.
(refer NHAI Policy
Circular Admn./Fin.
99/2012
dtd. 20.11.2012)
1.1 Chairman Full powers.
2.2 Member (Admn.) Full powers upto the level
of DGMs.
2. Acceptance of
Resignation/
Termination
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
2.2 Member (Admn.) Full powers below the level
of Managers.
3. Officiating
arrangements in
leave vacancy /
during / during
training
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009))
3.2 Members Full powers within their
own Divisions.
3.3 CGM/GM (where Full powers within their
no CGM is Division/Regional Office
posted) at (RO)
HOs/CGM of
3

No. delegated
Regional Office
(RO)
3.4 Project Director Full powers in respect of all
posts in the project/PIU.
4. Posting/Transfer
(refer NHAI Policy
Circular Admn./Fin.
134/2014
dtd. 22.01.2014;
Office Order
No.11021/5/2015-
Admn. dtd.
03.07.2017 and
Policy Circular
No.1.3.2.30/2020
dtd. 03.12.2020)
4.4.1 Chairman Full powers.
4.2 Member (Admn.) Full powers upto the level
of DGM
4.4.3 Member (i) Full powers within the
concerned Division at HQ.
(ii) Full powers for Project

Directors upto the level of
DGM within the area of
jurisdiction pertaining to a
particular State. It shall be
ensured that officers of the
rank of DGM/ GM only are
posted as Project
Directors. Regular
Managers (Tech.) may be
considered for posting as
Project Directors in smaller
PIUs and also when no
DGM level officer is
available. While posting an
officer as PD, while giving
due regard to seniority,
4

No. delegated
preference may be given to

regular officers of NHAI so
that they remain
accountable for their
actions as PDs. A copy of
the office order issued shall
be endorsed to Chairman’s
Secretariat, Member
(Admn.) and GM
(HR/Admn.) concerned.
4.4 Regional Officer Full powers upto the level
of Manager (all cadres)
within the area of
jurisdiction, subject to the
condition that copies of the
Office Order related to
transfer/posting shall
invariably be endorsed to
Member (Admn.) and
concerned Members. A
copy shall also be marked
to GM (HR/Admn.)
concerned.
Note 1: Wherever an officer needs to be transferred from one State to
another or from HQs to the State or at the time of first posting,
the same will be done by the HR/Admn. Division at the HQ.
Note 2: All Members concerned and Regional Offices will maintain
posting details of officers working under them so that
guidelines regarding mandatory transfers on rotation after five
years on the same post/place are followed meticulously.
Posting & Transfer of
Finance Personnel
upto the level of DGM
(F&A) as per Office
Order dated
03.07.2017
Member (Fin.) Upto the level of DGM
(F&A).
Posting & Transfer Committee RO / PD/ CGM & GM.
as per Policy Circular comprising (i)
Chairman – In
5

No. delegated
No.1.3.2.30/2020 dtd Chair; (ii)

03.12.2020:- Member (Admn.)
- Member & (iii)
Member
concerned (as
per jurisdiction
including Fin. &
Admn.) -
Member; and (iv)
CGM (HR) –
Secretary (Non-
Member)
Committee Dy. Manager & above upto
comprising (i) DGM (Except PDs)
Member (Admn.)
– In Chair; (ii)
Member
concerned (as
per jurisdiction
including Fin. &
Admn.) -
Member; and (iii)
CGM (HR) –
Secretary (Non-
Member)
(i) Chairman will continue to enjoy the inherent
powers to transfer any officer.
(ii) The Committee may decide the approach /
criteria to be followed while taking decisions on
such proposals, as deemed fit, keeping in mind
the extant instructions and the objective of
minimum disruption.
(iii) The minutes containing the decisions of
above committees and consequent orders shall
be issued on the same day.
(iv) All Divisions and Regional Officers shall
give their requirements of officers to Admn.
Division for use during the above process.
(v) Any outside influence shall be dealt with as
per OM dated 27.08.2012 of NHAI and adverse
entry shall be made in their APAR.
6

No. delegated
5. Grant of leave
(Except study leave)
(refer NHAI Policy
Circulars Admn./Fin.
120/2013
dtd. 27.08.2013 &
1.1.20/2017
dtd. 03.02.2017)
5.2 Member (Admn.) Full powers in respect of all
posts up to the level of
CGM.
5.3 Member (other Full powers in respect of all
than Member posts up to the level of
(Admn.)) CGM under their
jurisdiction (Except Child
Care Leave, Maternity
Leave and Leave on
repatriation).
5.4 CGM (Admn & Full powers in respect of all
HR) posts upto the level of
DGM.
5.5 CGM Full powers in respect of all
posts up to the level of
DGM under their
Leave, Leave on
repatriation and Earned
Leave and Commuted
Leave exceeding 120
days).
5.6 GM (Admn & HR) Full powers in respect of all
posts upto the level of
Manager.
5.7 GM Full powers in respect of all
(Other than GM posts up to the level of
(HR/Admn)) Manager under their
Leave, Leave on
7

No. delegated

Leave and Commuted
Leave exceeding 90 days).
5.8 DGM (Admn Full powers in respect of all
/HR) posts below the level of
Manager.
5.9 DGM Full powers in respect of all
(Other than DGM posts below the level of
(HR/Admn)) Manager under their
Leave, Leave on
Leave and Commuted
5.10 Project Director Full powers in respect of all
posts in the project (Except
Child Care Leave,
Maternity Leave, Leave on
Leave and Commuted
6. Grant of CL / Special
CL / RH
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009))
6.2 Member Full powers up to CGM.
6.3 CGM /GM (where
no CGM is Up to GM/DGM as the case
posted) at HQs may be at HQs of their
Division.
6.4 Regional Officer Full powers for all posts
under his region
6.5 DGM at HQs Full powers up to the level
of Managers at HQs
6.6 Project Directors Full powers within their PIUs
7. Grant of Study leave
8

No. delegated
(refer NHAI Policy

Circular Admn./Fin.
57/2009
dtd.07.09.2009)
8. Grant of incentives/
honorarium
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
8.2 Member (Admn.) Up to Rs. 10,000/- in each
case.
9. Sanction of LTC
as per NHAI (LTC)
Regulations
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
9.1 GM (HR/Admn.) Full powers.
9.2 DGM Full powers below the level
(HR/Admn.) of Manager.
9.3 Regional Full powers for their
Officer/Project region/PIUs, subject
Directors to entry in the service book
to be recorded
in HQs.
10. Reimbursement of
Tuition Fee/hostel
subsidies as per MoF
orders
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
9

No. delegated
10.1 DGM Full powers.

(HR/Admn.)
10.2 Project Director Full powers for their PIUs.
11. Appointment of
individuals Chairman
as Consultants /
Advisors including
terms & conditions.
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
11.1 Chairman Full powers up to six
months. Beyond six
months with the approval of
the Authority.
12. Acquisition / Disposal
of Immovable
Property - Reporting
of
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
12.2 Member (Admn.) Full powers up to the level of
CGM.
12.3 CGM (Admn. & Full powers up to the
HR)/ level of GMs at
Regional Officer HOs/All officers of the region
and PIUs
12.4 GM (HR/Admn.) Full powers up to the level of
DGM
13. Noting of transaction
of movable property
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
13.1 Member (Admn.) Full powers.
13.2 GM (HR/Admn.) Full powers up to DGM level
10

No. delegated
officers.
13.3 DGM (HR/Admn.) Full powers below the level
of Manager.
14. Nomination for
attending seminar/
conference /training
programme which is
likely to be beneficial
to the Authority
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd.07.09.2009)
14.1 Chairman Full powers (Both in India
and abroad).
14.2 Member Full powers up to the level
(Admn.) of CGM within India.
15. Authorization of tour
(refer NHAI Policy
Circulars Admn./Fin.
57/2009
dtd. 07.09.2009,
72/2011
dtd. 08.09.2011,
90/2012
dtd. 28.08.2012 &
1.1.20/2017 dtd.
03.02.2017)
15.1 Chairman Full powers for domestic as
well as foreign tours,
subject to the
administrative directions in
force on the subject in
respect of foreign tours.
15.2 Member (a) Up to the level of
CGM in corporate office for
tours in India
(b) PDs and all officers
of field offices visiting HQs
or places outside the
jurisdiction of RO, with
11

No. delegated
recommendation of
Regional Officer.
(c) Recommending
Officer for Regional
Officers but Approving
Authority is the Chairman.
15.3 CGM of HQ Up to the level of DGM in
corporate office for tours in
India.
15.4 Regional Officer All officers for visit within
the jurisdiction of RO.
15.5 GM Upto the level of Managers
in Corporate Office for
tours in India.
15.6 Project Director (a) PDs may travel
within their area of
jurisdiction.
(b) All officers and
employees under his
administrative control for
project related work within
their area of jurisdiction.
16. Relaxation of
provisions in respect
of entitlement to Air-
journey on duty and
in respect of stay
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
17. Acceptance of
declaration of home-
town, dependent
family members etc.
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
12

No. delegated
17.2 CGM Full powers up to the level

(Admn.&HR) of GMs
17.3 GM (HR/Admn.) Full powers up to the level
of DGMs
18. Appointment of
casual labour on
daily wages
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
18.1 GM (HR/Admn.) Full powers
18.2 Project Director Full powers up to the level
of GMs
19. Grant of advances
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
19.1 House building and GM (HR/Admn.) Full powers subject to
Motor car prescribed limits.
19.2 Motor cycle/ Scooter/ DGM Full powers subject to
Moped/Bi-cycle (HR/Admn.) prescribed limits.
19.3 Grant of advances in
relaxation of
prescribed limits, as
per Govt. rules
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
(a) Member (Admn.) Full powers.
(b) CGM (Admn.& Full powers up to the level
HR) of GMs
20. Tour
Advance/Transfer TA
Advance/ LTC
Advance
13

No. delegated
(refer NHAI Policy

Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
20.1 Accounts Full powers once the tour
Officer/DDO programme is approved by
the competent authority.
20.2 Regional Officer Full powers for personnel
of the region
20.3 Project Director Full powers for the
personnel of PIU
21. Forwarding of
application for
outside employment
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
21.2 Member (Admn.) Up to the level of GM.
21.3 GM (HR/Admn.) Below the level of Manager.
22. NOC for application
for passport
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
22.1 DGM Full powers.
(HR/Admn.)
23. Grant of Permission
for foreign travel on
private visit while
availing leave to:
(refer NHAI Policy
Circular Admn. / Fin.
57/2009
dtd. 07.09.2009)
23.1 The regular,
contractual and
deputationists (other
than officers of All
14

No. delegated
India Services)
employees of NHAI
(a) Chairman Full powers
(b) Member (Admn.) All employees up to the level
of GMs
23.2 The officers of All Chairman Full powers, subject to the
India Services on guidelines issued by the
deputation to NHAI Central Government in this
Regard, from time to time.
24. Grant of permission
for pursuing higher
studies outside office
hours
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
24.1 Chairman Full powers
24.2 Member (Admn.) All employees up to the level
of CGMs
24.3 CGM All employees up to the level
(Admn.&HR) of GMs
24.4 GM (HR/Admn.) All employees up to the level
of DGMs
25. Extension of joining
time on initial
appointment or on
transfer upto the
level of CGMs
(refer NHAI Policy
Circular Admn./Fin.
81/2012
dtd. 27.06.2012)
25.1 Member (Admn.) Full powers
26. Release of Gratuity
and Leave
Encashment
(refer NHAI Policy
Circular Admn./Fin.
73/2011
dtd. 15.09.2011)
15

No. delegated
26.1 CGM (HR) Full powers subject to the

condition that amounts
payable under these heads
are calculated by Finance
Division.
27. Approval of proposal
for grant of Post-
Retirement Medical
Facilities under NHAI
(Medical Attendance
and Treatment)
Regulations, 1997
(as amended from
time to time) and
instructions issued
from time to time
(refer NHAI Policy
Circular Admn./Fin.
1.1.32/2020
dtd. 21.01.2020)
27.1 CGM (HR/ Full powers, subject to
Admn.) dealing concurrence of Finance
with the Cadre to Division.
whom the officer
belongs
II. Contingent expenditure & connected issues
Sl. Powers To whom Extent of

No. delegated delegation
1. Hiring of office Accommodation

(refer NHAI Policy Circular
Admn./Fin. 57/2009
dtd. 07.09.2009)
16

1.2 Member Up to Rs. 1 lakh pm

(Admn.) in each case.
1.3 CGM Up to Rs. 50,000/-
(Admn.&HR) pm in each case
1.4 GM Up to Rs.25,000/-
(HR/Admn.) pm in each case
2. Hiring of residential
accommodation for officers/
employees of the corporate
office through Hiring
Committees
Admn./ Fin.57/2009
dtd. 07.09.2009)
2.1 Chairman Full powers on
recommendation of
Hiring Committee.
2.2 GM Full powers up to
(HR/Admn.) prescribed limits.
3. Hiring of office &
residential accommodation in
PIUs (refer NHAI Policy Circular
Admn./Fin. 145/ 2014 dtd.
16.09.2014)
3.1 Regional Full powers up to
Officers the prescribed
limits for Regional
Offices.
3.2 Project Full powers up to
Directors the prescribed
limits for PIUs.
Note 1: Prior permission of Headquarters is to be obtained in case
hired office accommodation for PIU or Regional Office is vacated or
changed before completion of lease period.
4. Advance Rent for hired/ leased
Accommodation adjustable in
the monthly rent (both office
and residences)
Admn./Fin. 57/2009
dtd. 07.09.2009
17

4.1 Member Full powers

(Admn.)
4.2 CGM The amount of rent
(Admn.& up to 6 months
HR)
4.3 GM The amount of rent
(HR/Admn.) up to 3 months
4.4 Regional The amount of rent
Officer up to 6 months
4.5 Project The amount of rent
Directors up to 3 months
5. Security Deposit to the Landlord
for hired /leased
accommodation (refer NHAI
Policy Circular Admn./Fin.
57/2009
dtd. 07.09.2009
5.2 Member Amount equal to
(Admn.) the rent up to 12
months
5.3 CGM Amount equal to
(Admn.&HR) the rent up to 6
months
5.4 Regional Amount equal to
Officer the rent up to 6
months
5.5 Project Amount equal to
Directors the rent up to 3
months
6. Retention of hired/ leased
accommodation after retirement
/ deputation / Tenure of officers
/ employees as per rules of
Directorate of Estates
Admn./Fin. 57/2009
dtd. 07.09.2009
(Admn.)
18

7. Monthly Hiring of Vehicles for

official use (refer NHAI Policy
Circular Admn./Fin. 57/2009
dtd. 07.09.2009
7.1 Member Full powers.
(Admn)
7.2 GM Full powers up to
(HR/Admn.)/ the prescribed
Project rates.
Director
8. Contingent hiring of vehicles for
official use in case of urgency
Admn./Fin. 57/2009
dtd. 07.09.2009
8.1 GM Full powers.
(HR/Admn)
8.2 Project Full powers for
Director officers on tour as
per entitlement
9. Sanction of conveyance Self
charges to General Managers/
CGMs/ Members / Chairman
(refer NHAI Circular Admn./ Fin.
57/2009)
9.1 Self Full powers.
10. Sanction of conveyance
charges to officers/employees
Admn./Fin. 57/2009
dtd. 07.09.2009
10.1 GM for all Full powers.
officers of
his/her unit
11. Bank Charges (refer NHAI
57/2009
dtd. 07.09.2009
11.1 DDO/ Full powers.
Manager (F)/
19

Regional
Officer/Proje
ct Director
12. Demurrage/ Wharfage charges
Admn./Fin. 57/2009 dtd.
07.09.2009)
12.1 Member (F) Full powers.
through
Member
concerned
13. Insurance of Assets/ Group
Insurance of personnel
Admn./Fin. 57/2009
dtd. 07.09.2009)
(Admn.)
13.2 CGM Full powers (for
(Admn.&HR) insurance from
public
sector insurance
companies)
13.3 Regional Full powers (for
Officers/ insurance from
Project public
Directors sector insurance
companies)
14. Expenditure for the purpose of
security and housekeeping
including stores required for
repairs/ sanitary fittings/ water
supply/ electricity installations
etc.
Admn./Fin. 57/2009
dtd. 07.09.2009)
(Admn.)
14.2 CGM Up to Rs.
(Admn.&HR) 1,00,000/- pm in
20

each case
14.3 GM Up to Rs.30,000/-
(HR/Admn.) in each case
14.4 DGM Up to Rs.15,000/-
(HR/Admn.) in each case,
subject to the
ceiling of Rs.
1,00,000/- per
annum
14.5 Regional Rs. 15,000/- in
Officer/Proje each case, subject
ct to the ceiling of Rs.
Directors 1,00,000/- per
annum
15. Additions/ alterations to Hired /
owned office accommodation in
Project Offices
(refer NHAI Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
15.2 Member Up to Rs.2 lakh in
(Admn.) each case, subject
to ceiling of Rs.10
lakh per annum.
15.3 CGM Up to Rs.l lakh in
(Admn.&HR) each case, subject
/ to ceiling of Rs.5
Regional lakh per annum
Officer
15.4 GM Up to Rs.30,000/-
(HR/Admn.) in each case,
subject to ceiling of
Rs.3 lakh per
annum.
15.5 Project Up to Rs.50,000/-
Director per annum.
16. Hiring of manpower for meeting
emergent requirements
Admn./Fin. 1.3.3.27/2019
21

dtd. 09.08.2019)
16.1 Member Full Power
(Admn.)
16.2 Regional Engagement/exten
Officer sion of services of
short term contract
staff/support staff
within the
authorized limits
under respective
RO/PIU/CMU and
Site Office for a
period of two years,
which may further
be extended for a
maximum one year
on annual basis
depending on the
satisfactory
performance of the
Outsourcing/Place
ment Agency.
For extension of
services beyond
2nd year, the
approval of
Member (Admn.)
will be required.
17. Annual Maintenance and repair
of office equipment & other
office machines/ equipment
Admn./Fin. 57/2009
dtd. 07.09.2009)
17.1 GM Full powers.
(HR/Admn.)
17.2 DGM Up to Rs.25,000/-
(HR/Admn.) in each case
17.3 Regional Full powers
Officer
22

17.4 Project Full Powers in

Directors PIUs.
18. Repairs, up-keep and
maintenance of furniture/
fixture
Admn./Fin. 81/2012
dtd. 27.06.2012)
18.1 GM Full powers
(HR/Admn.)
18.2 DGM Up to Rs.25,000/-
(Admn.&HR) in each case
18.3 Regional Full powers in
Officer respect of PIUs in
their jurisdiction
subject to annual
budget and
purchase
procedure.
19. Payment of electricity, water,
Telephone & other charges of
recurring nature including
reimbursement of office
Telephone bills
Admn./Fin. 57/2009
dtd. 07.09.2009)
19.1 Manager Full powers.
(HR/Admn.)
19.2 Project Up to prescribed
Directors limit wherever fixed
(in respect of
PIU/CMU)
20. Maintenance, upkeep and
repairs of office vehicles
Admn./Fin. 57/2009
dtd. 07.09.2009)
(Admn.)
23

20.2 GM Rs.10,000/- in each

(HR/Admn.) case.
20.3 Project Rs.50,000/- per
Directors annum.
21. Purchase of Books, Periodicals,
Journals, Newspapers
Admn./Fin. 57/2009
dtd. 07.09.2009)
21.1 Library Full powers,
Committee subject to Budget
Provision
21.2 Regional Rs.10,000/- per
Officer/Proje annum for
ct purchase of
Directors professional books
21.3 GMs & Rs.10,000/- per
above annum for
professional books.
22. Advertisement & Publicity
Admn./Fin. 1.1.23/2017
dtd. 18.12.2017)
22.2 Member Up to Rs. 10 lakh in
(Admn.) each case upto
maximum of Rs. 1
Crore in a Financial
Year.
22.3 CGM (In – Up to Rs. 1 lakh in
charge of each case upto
Media maximum of Rs. 10
Relations) Lakh in a Financial
Year.
22.4 Regional Up to Rs. 2 lakh in
Officers for each case upto
ROs maximum of Rs. 15
Lakh in a Financial
Year.
23. Printing & Binding
24


Admn./Fin. 57/2009
dtd. 07.09.2009)
23.1 Members Full powers.
23.2 CGMs Rs.20,000/- in each
case.
23.3 GMs Up to Rs.20,000/-
wherein no in each case.
CGM is
posted
23.4 Project Up to Rs. 10,000/-
Director per annum
24. Municipal rates & Taxes
Admn./Fin. 57/2009
dtd. 07.09.2009)
24.1 GM(F)/ Full powers.
Project
Director
25. Purchase of Stationery & office
stores including papers for
printing, Photocopying etc.
Admn./Fin. 74/2011
dtd. 19.12.2011)
25.1 DGM Full powers subject
(HR/Admn.) to Budget.
25.2 DGM (IS&P) Full powers subject
to Budget, for office
stores and
consumables
related to IT
Division.
25.3 Regional Full powers subject
Officer to Budget.
Directors per annum
26. Purchase of office equipment
including Photocopiers, fax
machines etc.
25

(refer NHAI Policy Circulars

Admn./Fin. 57/2009
dtd. 07.09.2009 & 1.1.21/2017
dtd. 06.06.2017)
(Admn.)
26.2 Regional Upto the limit of:-

Officer (i) Rs.60 lakh in
the case of RO.
(ii) Rs.25 lakh in
the case of
PIU/CMU.
(iii) Rs.10 lakh in
the case of Site
Office.
The existing norms for
procurement of the furniture, fixture
and office equipment as per para 2
& 3 Policy Circular No.1.1.21/2017
dated 06.06.2017 has been
revised and the same shall be
purchased of reputed makes for
setting up / furnishing of ROs/
PIUs/ CMUs/ Site Offices, as the
case may be.
27. Purchase of Computers
(including PCs /laptops)
Admn./Fin. 174/2016
dtd. 25.04.2016)
(Admin)
27.2 RO / PD Upto the prescribed
limits / entitlements
27.3 GM (Admn.) Upto the prescribed
limits / entitlements
28. Purchase & maintenance of
telecom equipment (excluding
mobile phones)
26


Admn./Fin. 174/2016
dtd. 25.04.2016)
(Admn.)
28.2 CGM
(IS&P)/GM Up to Rs.20,000/-
(IS&P) in each case.
where no
CGM is
posted at
HQ/
Regional
Officer
Director in each case
28.4 GM (Admn.) Up to Rs.20,000/-
in each case.
29. Purchase & maintenance of
mobile phones
Admn./Fin. 174/2016
dtd. 25.04.2016)
(Admn.)
29.2 GM Full powers upto
(HR/Admn.) the prescribed
/ RO at field limits.
units
Director in each case.
30. Sanction of new Telephone Member Full powers.
Connections (Admn.)
Admn./Fin. 174/2016
dtd. 25.04.2016)
30.1 DGM (HR/ Full powers upto
Admn) the prescribed
norms.
31. Purchase of Furniture &
Fixtures
27


Admn./Fin .57/2009
dtd. 07.09.2009 & 1.1.21/2017
dtd. 06.06.2017)
(Admin)
31.2 Regional (iv) Upto the limit of:-
Officer (i) Rs.60 lakh in
the case of RO.
(ii) Rs.25 lakh in
the case of
PIU/CMU.
(iii) Rs.10 lakh in
the case of Site
Office.
(v) The existing norms for
procurement of the furniture, fixture
and office equipment as per para 2
& 3 Policy Circular No.1.1.21/2017
dated 06.06.2017 has been
revised and the same shall be
purchased of reputed makes for
setting up / furnishing of ROs/
PIUs/ CMUs/ Site Offices, as the
case may be.
32. Purchase of Vehicles/
Replacement of Vehicles
Admn./Fin. 57/2009
dtd. 07.09.2009)
32.1 Chairman Full Powers
33. Medical Advance/
Reimbursement to the
officers/employees in relaxation
of Regulations
Admn./Fin. 57/2009
dtd. 07.09.2009)
33.1 Member Full Powers
(Admn.)
28

33.2 DGM(HR/Ad As per NHAI

mn.) Guidelines
33.3 Project As per NHAI
Directors Regulations
34. Annual Maintenance of
computers, printers, and all
computers related hardware
etc.
Admn./Fin. 57/2009
dtd. 07.09.2009)
(Admn.)
34.2 CGM Up to Rs.50,000/-
(IS&P)/GM per annum
(IS&P)
where no
CGM is
posted at
HQ/Regional
Officer
Directors per annum
35. Maintenance of computers and
related hardware not covered in
the annual maintenance
Admn./Fin. 57/2009
dtd. 07.09.2009)
35.1 CGM Up to Rs.l0,000/- in
(IS&P)/ GM each case
(IS&P)
where no
CGM is
posted at
HQ/Regional
Officer
35.2 Project Up to Rs.5000/- in
Director each case.
36. Purchase of Software and
Hardware
29


Admn./Fin. 57/2009
dtd. 07.09.2009)
(Admn.)
36.2 CGM Up to Rs.50,000/-
(IS&P)/GM in each case
(IS&P)
where no
CGM is
posted at
HO/Regional
Officer
37. Purchase of computer
consumables (i.e. cartridge for
Laser printers, Mouse cleaner,
stationery etc.).
Admn./Fin. 57/2009
dtd. 07.09.2009)
37.1 CGM(IS&P)/ Up to Rs.50,000/-
GM(IS&P) in each case
where no
CGM is
posted at
HO/Regional
Officer
38. Release of advance payment
for purchase of laptops
Admn./Fin. 174/2016
dtd. 25.04.2016)
(Admn.)
limits/entitlements.
39. Purchase / reimbursement of
cost of mobile, I-Pad, Tablet
instrument / retention
Admn./Fin. 174/2016
30

dtd. 25.04.2016)
(Admn.)
39.3 RO / PD Upto the prescribed
40. Release of payments of
vehicles hired on monthly basis
25.04.2016)
(Admn.)
40.2 DGM Upto the prescribed
(HR/Admn.) rates.
III. Miscellaneous financial matters

No. delegated
1. Drawal of Pay and
Allowances as per
rules and all other
payments sanctioned
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
1.1 DGM(F)/ DDO Full powers for drawal of
pay and allowances and
other payments based
on pay fixation
order/sanction order
2. Re-appropriation in
Annual Budget
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
31

No. delegated
(with the approval of the
Board when re-
appropriated from Plan to
Non-plan &
Capital to Revenue)
3. Opening Bank
Account
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
3.1 GM (F) / Project Full powers as per
Directors guidelines.
4. Investment of Surplus
Funds in Securities
(i) Temporary Parking
of Funds in
Nationalized Banks.
(ii) Investment of
Surplus funds.
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
4.1 Member(F)/Projec As per Guidelines.
t Director
5. Write off of
irrecoverable loss of
Cash/ Public Money
(refer NHAI Circular
Admn./Fin. 120/2013
dtd. 27.08.2013)
5.1 Chairman Rs.50,000/- in each case
subject to Rs.5 lakhs per
annum
5.2 Member (Admn.) Rs.30,000/- in each case
subject to Rs.3,00,000/-
per annum.
5.3 Regional Officers Rs.5,000/- in each case
subject to Rs.50,000/-
per annum, subject to the
32

No. delegated
condition that the
Regional Officers apart
from marking a copy to
Member (Admn.), will
submit a monthly report
on the powers exercised
to Member (Admn.) in the
prescribed format below:
6. Write off of obsolete
items of Stores/
furniture (Parameters
of obsoletion to be
decided) (refer NHAI
Policy Circular
Admn./Fin. 57/2009
dtd. 07.09.2009)
6.1 Member(Admin) Full powers.
6.2 CGM/GM Full powers for items for
(HR/Admn.) which purchase
where no CGM is Rs.50,000/-
posted at
HO/Regional
Officer
6.3 Project Directors Full powers for items for
which purchase value is
Rs.20,000/-
7. Sanction of imprest
(refer NHAI Policy
Circular Admn./Fin.
57/2009
dtd. 07.09.2009)
7.1 CGM (F)/GM (F) Full Powers
7.2 Regional Officer Up to Rs. 50,000/-
8. Expenditure on
serving refreshments
tea, coffee and snacks
etc. in respect of
official meetings (refer
NHAI Policy Circular
Admn./Fin. 57/2009
dtd. 07.09.2009)
33

No. delegated
8.2 Members Rs.3000/- pm
8.3 CGMs Rs.3000/- pm
8.4 GMs Rs.2500/- pm
8.5 DGMs Rs.1000/- pm
8.6 Managers & Rs.800/- pm
Equivalent
8.7 AMs & Equivalent Rs.500/- pm
9. Expenditure on
entertainment to
invitees/ visitors in
official conferences/
functions/ Board
Meetings/ press
briefings/Parliament &
statutory
meetings/other official
meetings/ briefings/
Presentations/
lectures/ invitation
cards, shamianas,
refreshments,
garlands,
Photographs etc.
(refer NHAI Policy
Circular Admn./Fin.
1.1.19/2017
dtd. 25.01.17)
9.2 Member(Admin)/ Up to Rs 5,00,000/- in a
Concerned year
Member
9.3 CGM/GM Up to Rs.50,000/- in a
(HR/Admn.) year
where no CGM is
posted/ Regional
Officer
9.4 Project Directors Up to Rs.20,000/- in a
year
10. Expenditure on
Inauguration/ Bhoomi
Pujan/ foundation
34

No. delegated
stone laying/ any other
ceremony
(refer NHAI Policy
Circular Admn./Fin.
1.1.19/2017
dtd. 25.01.17)
10.1 Concerned Full powers
Member
10.2 Concerned Upto Rs.50 Lakhs
Regional Officer
IV. Legal Matters
Sl. No. Powers To whom Extent of

delegated delegation
1. Institution of legal proceedings

or defending legal cases(refer
NHAI Policy Circular
Admn./Fin. 57/2009
dtd. 07.09.2009)
1.1 Member Full Powers.
(Admn.)
2. Legal charges relating to Court
and Arbitration cases including
Fees of Senior Advocates/
ASGs/ Techno Legal Experts/
Arbitrators etc.
(refer NHAI Policy Circulars
06.07.2012)
2.2 Member Up to Rs.1.50 lakh
(Admn.)
2.3 CGM (Legal) Up to Rs.50,000/-
2.4 CGMs/GMs/Pr As per prescribed
oject Director rates.
3. Acceptance of Arbitration
Award
35
Sl. No. Powers To whom Extent of

delegated delegation

07.09.2009)
4. Reimbursement of Legal
expenses by officers/
employees connected with
official duties. (refer NHAI
57/2009
dtd. 07.09.2009)
4.1 Member Full Powers.
5. Signing of petition/
affidavit/ all legal documents
on behalf of the Authority, in
consultation with the CGM/
GM (Legal) (refer NHAI Policy
Circular Admn./Fin. 57/2009
dtd. 07.09.2009)
5.1 CGM/GM/DGM Full powers with the
of the approval of
concerned Member (Admn.)
Division
36
V. Miscellaneous
1. Chairman will have the inherent power to exercise all or any of the
powers delegated to the lower functionaries and to further delegate any
of the powers to any officer of the Authority.
2. Wherever no powers have been delegated to any functionary of the
Authority on any matter, the same shall vest with the Chairman, who will
have inherent power to delegate powers to lower functionaries of the
Authority.
Format
Monthly Report on power exercised by the Regional Officer in respect of
power delegated to Regional Officer under clause 5.3 of Chapter III relating
to writing-off irrevocable loss of cash/public money
1. Report for the month of :
2. Name of Regional Office :
3. Name of the Regional Officer :
4. Financial Year :
5. Power exercised till date out of Rs. 5000 in a
year during the current Financial Year :
6. The PIU/CMU/RO/to which the asset belongs to :
Sl. Descriptio Date of Purchase Percentage Write off Remarks
No. n of asset purchase value of value
of asset asset depreciation (Rs.)
(Rs.) chargeable
to the asset,
if any
1. Details of calculation of depreciation : _____________________

Date: ____________
[Signature of Regional Officer}

37
Section: 1.2 Facilities & Entitlements
Sub- Subject
Section
I Grant of Telephone, STD, ISD and Fax facility to the

officers at Headquarters in NHAI
II Reimbursement against the purchase of Mobile, Laptop
and IPad; and Reimbursement of Call Charges
III Leased/ Self Leased Accommodation
IV Guidelines / Instructions regarding Medical Facilities to
NHAI employees
V Rates for hiring of vehicles at HQ/Field Units in NHAI
VI Official foreign visit for the officials of NHAI
VII Special Concessions to NHAI’s Employees working in
Kashmir Valley
VIII Facilities and perquisites in case of officers taken on
deputation in NHAI
IX Reimbursement of the amount for purchase of water
bottle
X Reimbursement of the amount for purchase of
briefcase/ladies bags
38
I. Grant of Telephone, STD, ISD and Fax facility to the officers at

Headquarters in NHAI
[See NHAI Policy Circular 11041/217/2007- Admn. Dtd. 25.05.2009]

Sr. Designation of Facility
No. officers
1 Chairman and (i) IP Phone with STD facility.
Members (ii) MTNL line with STD facility and any one
phone available in their office with ISD facility.
2 Personal Staff of (i) IP Phone with STD facility and any one
Chairman and phone available in their office with ISD facility.
Members (ii) MTNL line with STD facility to be shared
with clause 1 (ii) above.
(iii) A Fax attached to any of the above two
lines.
3 CGMs (i) IP Phone with STD facility
(ii) MTNL line with STD facility
4 Personal Staff of (i) Analog phone with STD facility
CGMs (ii) MTNL line with STD facility to be shared
with clause 3(ii) above.
(iii) A Fax attached to any of the above two lines.
5 GMs IP Phone with STD facility.
(Where no CGM is posted, the MTNL line with
STD facility may be provided to the concerned
GMs)
6 Personal Staff of GMs (i) Analog phone with STD facility
(ii) A Fax attached to the above line.
7 DGMs IP phone with STD facility
8 All posts below the Analog phone without STD facility.
level of DGMs
N.B.: Any facility in relaxation of the above norms shall be provided only
with the specific approval of Member (Admn), on case to case basis, for
which proposals shall be forwarded to Administration Division for seeking
approval of Member (Admn).
39
II. Laptop or I-pad or Tablet or similar device, Mobile and Rental Call
Charges
[See NHAI Policy Circular 11041/230/2007-Admn/ (E-489) dtd. 06.04.2022]
1 (A) The facility for Chairperson/ Members and CVO - one instrument each for
Mobile, Laptop or similar devices and Rental Call Charges as per actual.
(B) Laptop Facility: All officers of the level of Deputy Manager (and
equivalent on the basis of work requirement as assessed & certified by
concerned Member) and above are entitled to purchase only one Laptop
or I-pad or Tablet or similar device @ Rs.80,000 + taxes. The facility to
Assistant Manager & equivalent level may also be allowed on functional
requirement basis, on the recommendation of concerned CGM / RO and
approval of Member (Admn.).
(C) Reimbursement of cost of Mobile instrument:-
Designation Level of Pay Amount

as per 7th CPC (in Rs.)
CGM 14 30,000/-
GM 13 20,000/-
DGM & equivalent 12 15,000/-
Manager & equivalent 11 10,000/-
Dy. Manager, Assistant Manager & 10, 9 & 8 8,000/-

equivalent
(D) Rental Call charges:-
Designation Level of Amount of

Pay as per Annual
7th CPC Limit (in
Rs.) *
CGM 14 60,000/-
GM 13 60,000/-
DGM & equivalent 12 25,000/-

40
Manager & equivalent 11 21,000/-
Dy. Manager, Assistant Manager & 10 & 8 12,000/-

equivalent
Employees in Pay Level-4 to Level-7 9,000/-
Employees in Pay Level-3 & below 6,000/-
* - Annual Limit includes Landline, Mobile, Broadband, Mobile Data, Data Card,
Wi-Fi, subject to ceiling limit prescribed or as per actual, whichever is lower.
2. The procurement of these equipment/device, whenever required, for
senior officers – Chairperson/ Members/ CVO shall be made by IT Division, as
per procedure laid down in General Finance Rules (GFR).
3. Retention/ Replacement of the instrument/device by officials:
(a) Replacement of Laptop/Tablet/I-pad / similar device and mobile

instrument will be allowed only after a minimum period of three years
for which 5% of the original cost of the retained instrument will be
deposited by the employee with NHAI and the balance book value
will be written off in the books of NHAI, as per extant policy.
(b) Officials transferred from HQ to PIU’s/RO’s and vice versa will retain
the same Laptop/Tablet/I-pad / similar device, mobile instrument for
a period of three years and no new Mobile Instrument/Laptop/I-pad
would be provided within the prescribed period of time.
(c) The officer while leaving NHAI can retain Laptop/Tablet/I-pad /
similar device, mobile instrument on payment of the depreciated
value of the equipment.
(d) In case of loss, theft and damage of the equipment/device, the
depreciated value will be charged from the officer. A copy of FIR
lodged with the police will be submitted by the officer in case of theft.
(e) In case of demise of any serving employee of NHAI, the depreciated
book value of the instruments issued to the officer will be waived off
for retaining Laptop/Tablet/I-pad / similar device, mobile instrument
by the family of deceased.
(f) In case of officers on deputation in NHAI, the reimbursement shall
be regulated on the basis of the post and the pay scale attached to
the post to which they are appointed in NHAI.
41
4. Perquisite value: The perquisite value for the retained instrument will be
calculated as per provisions of the income Tax Act for income Tax
purpose.
5. Advance: In view of the high cost of Laptop/Tablet/I-pad / similar device,

officers will be granted advance for purchase of the Laptop/Tablet/I-pad /
similar device as per entitlement. The advance taken for purchase of
these equipment is to be settled and duly countersigned bill in original
should be presented for settlement, within 02 weeks of release of advance
in the application Format - A.
6. The reimbursement of the instrument/device may be claimed against the

original bill for the purchased instrument/device from any of the authorized
dealer, online e-commerce platform. For reimbursement of
instrument/device, the application may be submitted in the application
Format - B.
42
Format - A
NATIONAL HIGHWAYS AUTHORITY OF INDIA
Application for sanction of advance for purchase of Laptop / I-pad/ Tablet/ similar
device
(A) Request from Newly joined officer:-
I have joined NHAI on (date) ____________________ (copy of appointment order

enclosed). As per Policy of NHAI, I am eligible for purchase of Laptop/I-
pad/Tablet/similar device (please specify) _______________________________. It is
requested that an amount of Rs._____________________ may be sanctioned for
purchase of the said device.
(B) Request from existing officer:-

I had purchased Laptop/I-pad/Tablet/similar device (please specify)
_______________________________ on (date) ____________________ and it has
completed 03 years on (date) _________________. As per Policy of NHAI, I am eligible
for replacement of the said device on payment of 5% as per original cost of the retained
device. A copy of deposit slip of Rs._______________ dated ___________ towards
retention cost is enclosed. It is requested that an amount of
Rs._______________________ for purchase of new l Laptop/I-pad/Tablet/similar
device (please specify _______________________________) may please be
sanctioned.
Signature :
Name :
Designation :
ERP ID :
Bank Name :
Account No. :
IFSC Code :
Mobile / Extn No. :
Date :
43
Format - B

Application for Reimbursement Laptop or I-pad or Tablet or similar device or Mobile
Instrument /adjustment of advance towards purchase of Laptop or I-pad or Tablet or similar
device admissible as per Policy Circular No.11041/230/2007-Admn. dated ____.03.2022:-
(A) Details of Mobile / Laptop or I-pad or Tablet or similar device:

Bill /Invoice Name of Instrument/ Purchased Billed amount Claimed amount
No. & date Make/Model/ IMEI No. from (in Rs.) (in Rs.)
(B) Details of old Mobile / Laptop or I-pad or Tablet or similar device issued earlier, if
any:
Amount
Name of Instrument/ Make/Model/ IMEI No. Purchase date reimbursed (in
Rs.)
(i) It is certified that I have joined NHAI on _________. My Pay Level is __________ as
per 7th CPC.
(ii) It is certified that I have not claimed / issued any Laptop or I-pad or Tablet or similar
device / Mobile Instrument during last three years in NHAI.
(iii) A copy of deposit slip of Rs.________ dated ___________ i.e. 5% cost of original
cost of the retained instrument in favour of NHAI is enclosed.
(iv) This is to certify that I am satisfied that the goods purchased is of the requisite
specification and quality, priced at the prevailing market rate and the supplier is
reliable and competent to supply the goods in question. It is also certified that the
goods have been purchased from authorized agency/ supplier with warranty for the
goods.
44
(v) It is requested that cost of above device as given above may kindly be reimbursed to
the undersigned as per my admissibility/entitlement. The original bill duly certified is
enclosed.
(vi) The advance payment of Rs._____________ taken on __________against the
aforesaid device may be please adjusted.
Signature :
Name :
Designation :
ERP ID :
Bank Name :
Account No. :
IFSC Code :
Mobile / Extn No. :
Date :
45
III. Leased/ Self Leased Accommodation
[See NHAI Policy Circulars 11041/217/2007-Admn dtd. 07.09.2009, 11041/217/2007-

Admn dtd. 01.01.2009, 11041/1/2007-Admn dtd. 14.03.2011, The Gazette of India
Part- III Section -4 published by Authority dtd. 23.12.2013, 11041/217/2007-Admn.
Dtd. 21.02.2013, 11041/1/2007-Admn (Vol. II) dtd. 22.05.2014]
1. Ceiling of rent for lease accommodation.
(Amount in Rs.)
Pay Grade
Ceiling limits License fee
Band pay
A-1 city B-1 city C-1 city Unclassifi Self Authority

ed (15%) Lease
(40 %) (25 %) (17.5 %) Lease
80000 -- 32000 20000 14000 12000 6420 1290

(fixed)
37400- 12000 31600 19800 13900 11900 6420 1290

67000
37400- 10000 26400 16500 11600 9900 5170 1040

67000
37400- 8900 23400 14700 10300 8800 4530 910

67000
37400- 8700 23100 14500 10200 8700 4450 890

67000
15600- 7600 18700 11700 8200 7100 3500 700

39100
15600- 6600 18300 11500 8000 6900 3400 680

39100
15600- 5400 17800 11200 7800 6700 3280 660

39100
9300- 5400 16100 10100 7100 6100 2750 550

34800
9300- 4800 15900 9900 7000 6000 2690 540

34800
9300- 4600 15800 9900 7000 6000 2670 540

34800
46
9300- 4200 15600 9800 6700 5900 2630 530

34800
5200- 2800 9200 5800 4100 3500 1550 310

20200
5200- 2400 9100 5700 4000 3400 1510 310

20200
5200- 2000 8900 5600 3900 3400 1470 300

20200
5200- 1900 8900 5600 3900 3400 1460 300

20200
5200- 1800 8800 5500 3900 3400 1450 290

20200
Note:
i. All figures except license fee deduction have been rounded off to
the next rupees hundred. License fee deduction has been
rounded of to next Rs.10/-
ii. All Group D employees will be eligible for lease rent
accommodation as per PB-I even during their transitory phase in
pay band-IS.
iii. License fee recovery has been fixed @10% of average of
minimum and maximum of pay band + grade pay for self-lease
and @2% for Authority Lease, except in the case of basic pay Rs.
80,000/- (fixed) in whose case license fee as applicable to grade
pay Rs. 12,000 has been fixed.
iv. In cases when both husband and wife happen to be NHAI
officials, one of them can avail and the other can avail the leased
accommodation facility.
v. Two months’ rent shall be paid per annum towards petty repairs
of the premises with effect from 12.02.2011. The amount shall be
reimbursement half year in October (for April to September and
in April (for October to March). The claim should be made in the
format below:
47
Form – A
I certify that I have incurred an expenditure an expenditure of Rs. ……….. (Rupees

………….) only on petty repairs on the accommodation hired under the NHAI (House
Rent Allowance & Leased Accommodation) Regulation, 1997. The details of claim are
as under:
1. Period of Claim : April – September, 200…

October – March, 200…
2. Month of Claim : October, 200…
April, 200…
3. Name & Designation :
4. Type of Lease : Company/Self
5. Present lease period (i.e., from_____ to

_____) :
6. Rate of lease in last month (i.e, in : Rs.____________

September for April-September & in
March for October-March
7. Amount of Expenditure : Rs.________
8. Claim Restricted to : Rs.________
Reimbursement as per rules may please be made to me.
(Signature of the Officer)
Name :_______________________
Designation :____________________
Date :________________________
2. All other instructions pertaining to leased accommodation will be applicable

mutatis mutandis.
3. The lease rent ceilings is applicable with effect from 3rd October, 2008. However,
those opting for HRA will continue to be governed by the provisions of National Highway
Authority of India (HRA & Leased Accommodation) Regulations 1997 and is eligible for
revised HRA w.e.f. 1st September 2008.
48
IV. Guidelines / Instructions regarding Medical Facilities to NHAI employees
A. Tax Deduction at source on Medical Reimbursement
[See NHAI Policy Circular 11041/21/2002-Admn dtd. 05.09.2002]
Under the Income Tax Act, 1961 and the relevant rules there – under, any
reimbursement of medical expenses shall be exempt only to the extent of Rs. 15,000/-
per annum. A separate (further) exemption is available only in case of hospitalization
expenses where the treatment is taken in hospitals maintained by Central/State
Governments or in any hospital approved by the Chief Commissioner of Income Tax
(CCIT) for this purpose.
2. Any payment/reimbursement of medical expenses over and above Rs. 15,000/-
shall be treated as a perquisite under Section 17(2) of Income Tax Act and included in
the income of the officer/staff concerned: Income Tax will be deducted at source on such
amount/s at the rates applicable.
3. In case of normal medical reimbursement (i.e. up to one month basis pay), tax
will be deducted at source from the amount of reimbursement over and above Rs.
15,000/- per annum. It is also requested that while submitting the additional claims for
reimbursement of hospitalization expenses, the concerned officer/staff should invariably
enclose copy of the Income Tax exemption certificate issued by the CCIT. Where such
certificate is not received, tax will be deducted at source from the amount reimbursed
even in case of such hospitalization expenses at the prescribed rates.
B. Medical Check-up
[See NHAI Policy Circular 11041/21/2002-Admn.-III dtd. 01.05.2003]

Comprehensive Health Check-up of the employees of NHAI, subject to the following
conditions:-
(i) The scheme will be applicable only to the regular employees of NHAI and
to those who are on deputation to NHAI.
(ii) All new entrants (regular/deputationists) will undergo the Medical Check-
up within six months of their joining, irrespective of age.
(iii) Such employees who have joined prior to six months but so far have not
availed the facility.
(iv) Those who are above 40 years of age will undergo the check-up once in
two years.
2. The following approved hospitals in Delhi have agreed to conduct Medical Health
Check-up as per their scheme mentioned hereunder. In respect of Check-up done in
any of these approved hospitals, the payment will be directly released to the concerned
hospital by the Authority on receipt of bills and medical report of the concerned
employees:-
49
(i) Fortis Hospital (Okhla & Noida Branch)
Investigations
Liver Function Test
Complete Function Test
Ultrasound Whole Abdomen screening
Physical Examination/Consultation by Internal Medicine
ECG
Stool Routine & Microscopic
Spirometry
Glucose Plasma Fasting
Blood Grouping and RH-Typing
Gynecological consultation for Female
Creatinine Serum
Urea Serum
Lipid Profile
TSH
Urine Routine & Microscopic
Glucose Plasma Post Prandial
Uric Acid
X Ray Chest PA View
Surgeon Consultation for Male
(ii) Indraprastha Apollo Hospital, Sarita Vihar, Delhi-Matura Road, New Delhi
– 110044
Investigations
Liver Function Test
Complete Haemogram
50
Ultrasound Whole Abdomen Screening
Physical Examination/Consultation by Internal Medicine
ECG
Stool Routine & Microscopic
Spirometry
Glucose Plasma Fasting
Blood Grouping and RH-Typing
Gynecological consultation for Female
Creatinine Serum
Urea Serum
Lipid Profile
TSH
Urine Routine & Microscopic
Glucose Plasma Post Prandial
Uric Acid
X Ray Chest PA View
Surgeon Consultation for Male
(iii) In addition, Max Hospital engaged to provide medical assistant to the

employees at HQ have also agreed to provide Comprehensive Health
Check-up @ Rs. 2500/- as per details given below:-
Max Hospital (Panchsheel Park, Vaishali and Saket (West Block)
Tests
Consultation:
 Consultation with Internal Medicines Specialist

 Consultation with Gynecologist for Women
Investigation:
51
 Haemogram
 Haemoglobin
 MCHC, MCV, MCH
 Differential count
 Platelet count
 PCV
 Total WBC
 Peripheral Smear
 Biochemical parameters
 Blood Sugar (Fasting & PP
 Uric Acid
 Urea Creatinine
 Lipid Profile (Total Cholesterol, HDL Cholesterol, Triglycerides, Total
Cholesterol/HDL ratio)
 Liver Function Test
 Total Protein
 Globulin
 SGPT
 GGTP
 Albumin
 A/G ratio
 Alkaline Phosphates
General Test:
 VDRL
 Complete Urine Analysis
 ECG (Resting)
 Ultrasound of the Abdomen Screening
 Blood Group and RH Typing
 Faces examination
 X Ray Chest
 TMT
 Pulmonary Function Test
[See NHAI OM Misc/11027/1/2005-Admn dtd.18.04.2013]
(iv) HCMCT Manipal Hospital, Dwarka
1. Heamogram
(i) Haemoglobin
(ii) TLC
52
(iii) DLC
a) Polymorphs
b) Lymphocytes
c) Eosinophils
d) Basophils
e) Monocytes
(iv) Peripheral Smear
2. Urine Examination
(i) Colour
(ii) Albumin
(iii) Sugar
(iv) Microscopic Ezam.
3. Blood Sugar
(i) Fasting
(ii) Post-Prandial
4. Lipid Profile
(i) Total Cholesterol
(ii) HDL Cholesterol
(iii) LDL Cholesterol
(iv) VLDL Cholesterol
(v) Triglycerides
5. Liver Function Tests
(i) S. Bilirubin (Total)
(ii) S. Bilirubin (Direct)
(iii) S.G.O.T.
(iv) S.G.P.T.
6. Kidney Function Tests
(i) Blood Urea
(ii) S. Creatinine
53
(iii) S.Uric Acid
7. Cardiac Profile
(i) S.LDH
(ii) CK-MB
(iii) S.CRP
(iv) SGOT
For Men
(vi) PSA
For Women
(vi) PAP SMEAR
8. X-Ray-Chest PA View Report
9. ECG Report
10. USG Abdomen Report
11. TMT Report
12. Mammography Report (Women)
13. Gynecological Health Check UP
1 Pelvic Examination
(i) Local Examination
(ii) Per Vaginum (PN)
(iii) Per Speculum
2 Surgical Examination
3 Breast Examination
4 Urological Examination (For Men only)
5 Rectal Examination (For Men only)
14. Systemic Examination
1. Resp System
54
2. CVS
3. Abdomen
4. CNS
5. Locomotor System
6. Dental Examination
15. Eve Examination
1. Distant Vision
2. Vision with Glasses
3. Colour Vision
4. Tonometry
5. Fundus Examination
16. ENT
1. Oral Cavity
2. Nose
3. Throat
4. Larynx
(vii) Primus Hospital, Chanakyapuri
1. Heamogram
(i) Haemoglobin
(ii) TLC
(iii) DLC
f) Polymorphs
g) Lymphocytes
h) Eosinophils
i) Basophils
j) Monocytes
(iv) Peripheral Smear
55
2. Urine Examination
(i) Colour
(ii) Albumin
(iii) Sugar
(iv) Microscopic Ezam.
3. Blood Sugar
(i) Fasting
(ii) Post-Prandial
4. Lipid Profile
(i) Total Cholesterol
(ii) HDL Cholesterol
(iii) LDL Cholesterol
(iv) VLDL Cholesterol
(v) Triglycerides
5. Liver Function Tests
(i) S. Bilirubin (Total)
(ii) S. Bilirubin (Direct)
(iii) S.G.O.T.
(iv) S.G.P.T.
6. Kidney Function Tests
(i) Blood Urea
(ii) S. Creatinine
(iii) S.Uric Acid
7. Cardiac Profile
(i) S.LDH
(ii) CK-MB
(iii) S.CRP
56
(iv) SGOT
For Men
(v) PSA
For Women
(vi) PAP SMEAR
8. X-Ray-Chest PA View Report
9. ECG Report
10. USG Abdomen Report
11. TMT Report
12. Mammography Report (Women)
13. Gynecological Health Check UP
1. Pelvic Examination
(i) Local Examination
(ii) Per Vaginum (PN)
(iii) Per Speculum
2. Surgical Examination
3 Breast Examination
4 Urological Examination (For Men only)
5 Rectal Examination (For Men only)
14. Systemic Examination
1. Resp System
2. CVS
3. Abdomen
4. CNS
5. Locomotor System
6. Dental Examination
57
15. Eve Examination
1. Distant Vision
2. Vision with Glasses
3. Colour Vision
4. Tonometry
5. Fundus Examination
16. ENT
1. Oral Cavity
2. Nose
3. Throat
4. Larynx
[Office order -2/2019 no. 11041/263/2018-Admn-IV dtd 02.07.2019]
(vi) Prognosis Laboratories

515-516, Sector-19, Dwarka, New Delhi with the following tests:-
For Male: @ 2500/- Per Head For Female: @ 2500/- Per Head
Investigations Investigation
Complete Haemogram (CBC/ESR) Complete Haemogram (CBC/ESR)
Blood Sugar Fasting Blood Sugar Fasting
Blood Sugar PP Blood Sugar PP
KFT (Uric Acid, Creatinine, Blood KFT (Uric Acid, Creatinine, Blood
Urea) Urea)
Lipid Profile Lipid Profile
TMT (Treadmill Test) TMT (Treadmill

Test)/Mammography
LFT (SGOT/AST, SGPT/ALT Total LFT (SGOT/AST, SGPT/ALT Total

Bilirubin and Direct) Bilirubin and Direct)
PSA Total Pap Smear
Cardiac Profile Cardiac Profile

58
Serum LDH, CK-MB, CRP Serum LDH, CK-MB, CRP
Urine Routine and microscopic Urine Routine and microscopic

examination examination
ECG Electro-Cardiography ECG Electro-Cardiography
Chest X-Ray PA view Chest X-Ray PA view
Whole Abdomen Ultrasound Whole Abdomen Ultrasound
Physician Consultation Physician Consultation
(vii) Dr. Lal Path Labs Limited, (NABL accredited lab) Delhi/NCR branches
(Rohini, Preet Vihar, New Friends Colony, Dwarka, Gurgaon, Vasundhara
Ghaziabad, Indirapuram Ghaziabad, Noida) with the following tests:-
For Male: @ 2500/- Per Head For Female: @ 2500/- Per Head
Investigations Investigation
Complete Haemogram Complete Haemogram
Blood Sugar Fasting & PP Blood Sugar Fasting & PP
Kidney Function Test (Urea, Kidney Function Test (Urea,

Cretinine, Uric Acid, Protien Total, Cretinine, Uric Acid, Protien Total,
Albumin, Ag Ratio, Alkaline Albumin, Ag Ratio, Alkaline
Phosphatase, Clacium, Phosphatase, Clacium,
Phosphorus, Serum electrolytes) Phosphorus, Serum electrolytes)
Lipid Profile (Cholesterol, Lipid Profile (Cholesterol,

Triglycerides, HDL Direct, LDL Triglycerides, HDL Direct, LDL
Direct, VLDL, NON HDL Direct, VLDL, NON HDL
cholesterol) cholesterol)
Liver Function Test (SGOT, SGPT, Liver Function Test (SGOT, SGPT,
GGTP, Bilirubin, (t,d,i), Protein GGTP, Bilirubin, (t,d,i), Protein
Total, alkaline phosphatase) Total, alkaline phosphatase)
PSA Total PAP SMEAR
CK-MB Mass CK-MB Mass
C.R.P C.R.P
59
Complete Urine Analysis Complete Urine Analysis
E.C.G. (Resting) E.C.G. (Resting)
X-Ray (Chest) X-Ray (Chest)
USG-W/A USG-W/A
Doctor Consultation Doctor Consultation
(Along with BMI, BP, Basis Eye (Along with BMI, BP, Basis Eye
check-up) check-up)
TSH Total
Serum Iron
(viii) Venkateshwar Hospital, (NABH/NABL Accredited Lab) Sector-18A, Dwarka,

New Delhi with the following tests:-
Investigations
Haemogram (Haemoglonib, MCHC, MCV, MCH, Differential count,

Platelet count
Biochemical Parameters [Blood Sugar (Fasting and PP), Uric Acid]
Liver Function Test (Total Protein, Globulin, SGPT, GGTP)
General Tests, VDRL, Complete Urine Analysis
PCV
Total WBC, Blood Grouping and RH-Typing, Lipid Profile
Peripheral Smear
Albumin, Urea Creatinine
Total Cholesterol, HDL Cholesterol
Triglycerides screening, Total Cholesterol/HDL Ratio
A/G Ratio
Alkaline Phosphatase
60
EGC (resting), Ultrasound of the Abdomen screening
X-Ray (Chest)
TMT
Mammography
Faces Exmination
Doctor Consultation
3. The medical check-up scheme does not cover the family member and employees
engaged on contract basis.
4. All eligible/employees will to visit any of the aforesaid hospitals for health check-
up. They may collect Authority letter from Administration Division and show the
Identify Card issued by the Authority to the respective hospital for verification of
their eligibility/identity.
5. Employees posted in PIUs may approach to the nearest hospital approved under
Central Government Health Scheme (CGHS) as per their convenience for
conduction similar examination and tests subject to a limit of Rs. 2,500/- per
individual employee. The amount will be reimbursed after the reports are received
from the respective hospitals. Alternatively, these employees may avail of the
facilities at Delhi, in any of the hospitals listed above, if they happen to visit the
Headquarters.
For clarification/assistance the following officers may be contacted in the HQ:-
(i) Smt. Madhavi Sridhar Y. Ph. 011-2574100/200 (O)

Dy. General Manager (Admn) (Extn. 1402)
(ii) Sh. Manoj Pande, Ph. 011-25074100/200 (O)

Asstt. Manager (HR/A) (Extn. 1569)
C. Simplification of procedures for settling claims of reimbursement of

expenditure incurred on Medical ground.
[See NHAI Policy Circular 11041/21/2002-Admn.-III dtd. 23.04.2004]
i) In accordance with the provisions contained in National Highways Authority

of India (Medical Attendance and Treatment) Amendment Regulations
61
2004, reimbursement of medical expenditure within the ceiling limit of one

month’s basic pay would be admitted on the basis of self –certificate given
by the employees to the effect that the expenditure has actually been
incurred towards the treatment of self or any member of his/her family. The
format of the certificate for claiming the reimbursement is enclosed. This
would be effective from the quarter beginning 1st April 2004. The claim may
be raised at the end of each quarter to the extent of one fourth of the basic
pay of each quarter. In case an employee incurs expenditure more than 25%
of his entitlement in a quarter he/she be required to submit the bills/cash
memos for the entire amount. Such excess shall be adjusted in the
subsequent quarter and the reimbursement shall not exceed one month’s
pay per annum in the normal course. The employees may prefer their claims
in the prescribed form directly to the Finance Division. In extreme cases
where an employee is constrained to spend in excess of the ceiling of one
month’s pay in a year, he/she shall be required to produce the bills/cash
memos for the entire claim to the Admn. Division to process his/her claim for
relaxation on a case to case basis.
[See NHAI Circular 11041/01/2012-Admn. dtd. 24.08.2015]

The medical claims of reimbursement of expenses for outdoor
treatment when expenditure exceeds i.e. one month pay (Basic Pay +
Grade Pay) may be submitted on quarterly basis in a financial year for
reimbursement.”
[See NHAI Policy Circular 11041/01/2012-Admn. dtd. 16.01.2013]

ii) All Officers/employees of NHAI are expected to avail indoor treatment in
hospitals which are approved by NHAI/CGHS. In case of grave emergencies
warranting emergent indoor treatment they may take such treatment in
nearest hospital closest to their residence with the undertaking in this regard
justifying the circumstances in which they could not get requisite approval in
advance.
iii) The submission of medical claims when expenditure exceeds beyond his
entitlement i.e. one month Basic Pay + Grade Pay, the officer and employee
may submit their claims not more than twice in a year for reimbursement.
D. Introduction of Annual Medical Examination for the Group ‘A’ officers of

Central Civil Services of age 40 years and above.
[See NHAI Circular no. 11017/01/2013-Admn. dtd. 23.07.2013]
Medical check-up in respect of regular employees of NHAI and those who

are on deputation to undergo the medical check-up is once in two years.
However, any Group 'A' officer of NHAI of the age of 40 years & above
voluntarily interested for his medical check-up annually, is also permitted
to avail this facility and thus entitled to claim requisite amounts as laid down
62
in DoP&T's OM no 21011/1/2009 Estt. (A)-Part dated 01.02.2013, i.e.

Rs.2000/- for men and Rs.2200/- for women. This facility of health
check-up can be availed from the hospitals an CGHS panel.
E. Submission of bills (Indoor and Outdoor)

[See NHAI Circular No. 11041/01/2012-Admn dtd.19.01.2015]
All the medical bills of Outdoor (OPD) claim will be accepted only on
the production of the original prescriptions of Doctor. The employees will
submit the original prescriptions of doctor while submitting the medical bills for
claim. These instructions will be applicable with immediate effect.
The following information should be mentioned in the medical claims by all the
officials and fter ensuring the same, medical reimbursement claims may be submitted
to the Admn. Division of NHAI HQ for further necessary action:-
 For Indoor (Hospitalization) medical bill:-
(i) Prescribed Indoor Form

(ii) Undertaking (Format Suggested by Committee)
(iii) Annexure- B (Both DDO’s and PD’s Signature required)
(iv) Dependency (Attach approved order issued by NHAI Admn
division/Parent Department, except self treatment)
(v) Date of Joining in NHAI.
(vi) Nature of employment (Regular/Deputation/Long Term Contract)
 For Outdoor Medical Bills:- (Submit after completion of financial year)
(i) Prescribed Outdoor Form

(ii) Annexure-B (Both DDO’s and PD’s signature required)
(iii) Dependency (Attach approved order issued by NHAI Admn.
Division/parent Department except self treatment)
(iv) Date of joining in NHAI.
(v) Nature of employment (Regular/Deputation/Long Term Contract)

To expedite the functioning of the medical reimbursement cases, the Project
Directors should ensure that following while recommending the medical reimbursement
cases (Hospitalization) to Admn Division, HQ:-
 Original bills/Prescriptions//Discharge Summary etc. to be enclosed.
 Proforma for reimbursement of medical expenses(Hospitalization)-Annexure
‘A’(to be enclosed)
 Schedule of Claim-Annexure ‘B’(to be enclosed).
 In the medical reimbursement claim for hospitalization, bills for the admission
period only to be enclosed.
 All medical bills/prescriptions etc. to be verified by the DDO, PIU/CMU.
 The medicines prescribed should be admissible under the rules.
63
 The medicines prescribed by Authorized Medical Attendant have been

purchased from chemist/druggist licensed under the Drugs and Cosmetics
Act and Rules framed thereunder.
3. The medical cases in respect of employees of PIUs/CMUs related with the over
and above exceeding one month’s basic pay should be forwarded after the end
of the financial year, i.e. in April only along with the details of amount claimed on
self-certification basis during the financial year.
4. After ensuring the above, the Project Director should forward the medical
reimbursement cases in respect of their employees to the General Manager
(Admn) for further necessary action at HQ.
F. Medical card for availing cashless treatment from empanelled hospitals

of NHAI.
Cashless treatment from empanelled hospitals of NHAI can be

availed only on production of medical card at the concerned hospitals. For
preparation of medical card all the officials have to submit individually one
passport size photograph of self and each dependent family member
along with dependency order and his/her details as per the enclosed
Performa with employee ID No. to the Admn wing, NHAI HQ
G. Reimbursement of expenses on account of ordinary dental treatment

under the NHAI (Medical Attendance and Treatment) Regulations, 1997.
The reimbursement of expenses on account of following types of ordinary
dental treatment are admissible.
(i) Extraction
(ii) Scaling and Gum Treatment
(iii) Filling of Teeth
(iv) Root Canal Treatment
H Reimbursement of expenses on account of Ayurvedic and

Homeopathic Treatment under the NHAI (Medical Attendance and
Treatment) Regulations, 1997.
[See NHAI Circular No. 11041/01/2014-Admn-III dtd.15.01.2016]
The reimbursement of expenses on account of Ayurvedic and

Homeopathic Treatment by NHAI employees and their dependent family
members are admissible, subject to the condition that the treatment is
taken in any CGHS approved Ayush Hospitals/Dispensaries Centres
under CGHS and CS (Medical Attendance) Rules for Ayurveda, Unani &
Yoga and Naturopathy treatments except the treatment taken in emergency
from non-empanelled hospitals.
64
1. Post-Retirement Medical Facility (Outdoor treatment) for NHAI employee
[See NHAI Circular No. 11041/230/2007-Admn. dtd.17.12.2009, 31.01.2018 and

24.04.2018]
The post-retirement medical benefits for the outdoor treatment is available to the
retired NHAI Officer/employees.
2. A lump sum amount is indicated below is required to be paid as ten years
contribution as payable by an employee:
Level of Pay drawn by the officer Contribution (Rs.)
Level : 1 to 5 30,000/-
Level : 6 54,000/-
Level : 7 to 11 78,000/-
Level : 12 and above 1,20,000/-
3. The last pay (i.e. Pay in Pay band + Grade Pay) drawn by the officer/employee
shall be applicable for the purpose of fixing the ceiling limit of reimbursement
through self-certification. In the case of subsequent revision in pay scale, the
corresponding pay in revised pay scale as fixed by NHAI-HQ shall be applicable.
4. On retirement, the employee will exercise his option to draw the medical
reimbursement quarterly from the concerned Regional Office/Headquarter Office
and after depositing the prescribed contributions as mentioned in para 2 above,
Administration Division will issue a letter to Headquarter/Regional Office
confirming last pay drawn and amount of contributions deposited for
reimbursement of medical claims.
5. The reimbursement claims on self-certification basis in the prescribed format, may
be submitted by the retired employee at the end of each quarter to the extent of
one fourth of the last pay drawn, for each quarter, to the Finance Division of HQ
or any RO as per the option of the employees. Option for submission of
reimbursement claim to HQ/RO once exercised cannot be changed without the
approval of Competent Authority.
6. Reimbursement of medical expenditure within the ceiling limit of one month’s last
pay drawn would be admitted on the basis of self-certificate given by the retired
employee in the prescribed format on quarterly basis, to the effect that the
expenditure has actually been incurred towards the treatment of self or any
dependent member of his/her family.
65
7. In the cases where the claim of medical reimbursement for the whole year is more
than the amount equivalent to last pay drawn, the retired employee will be
required to submit his/her entire claim at the end of the year with all supporting
cash memos/prescription to the Administration Division at NHAI-HQ to process
his/her claim for relaxation on a case to case basis.
J. Preventive measures to be taken to contain spread of Covid-19.
[See NHAI Circular No. 11041/518/2020/Admn-III dated 23.06.2020, Office Order No.
Reimbursement of Covid (RO/PIU) (E-File-44990) dated 18.11.2020, Office Circular No.
11041/518/2020-Admn-III/E-22416 dated 23.12.2020, Office Order No.
11041/518/2020-Admn.- III (CovidTest Camp) (E-77826) Dated: 10.05.2021 and Office
Order No. 11041/518/2020-Admn.- III (CovidTest Camp) (E-77826) Dated: 25.06.2021]
i) Reimbursement of cost of Covid-19 test charges

Covid-19 test charges done as per advices by concerned medical authorities, as
a special case, even of the same is done on OPD basis, the re-imbursement is allowed
for the Officers/Staff (Regular/Deputation/Contract) and their dependent family
members, but restricted to the actual amount paid or the limit prescribed by the Central
Govt. (ICMR) or the limited prescribed by the respective State Govt., whichever is less.
The re-imbursement claims are to be submitted along-with following documents which
will be processed by medical cell on monthly basis for payment similar to the procedure
laid down in respect of Re-imbursement of Annual Health check-up claims:
a) Original Payment receipt of Covid-19 Test.
b) Copy of Test report
ii) Reimbursement of cost of ‘Pulse Oximeter’ for the family of Covid

Positive.
Reimbursement the charges of Pulse Oximeter to a maximum limit of Rs. 1200/-
is allowed for the Officers/Staff (Regular/Deputation/Contract) subject to the following
conditions:-
a) NHAI employees who have been tested positive for COVID-19 infection are
permitted to purchase one pulse oximeter per family. In other words, in case
there are more than one COVID positive cases in a family of CS (MA)
beneficiary, they can claim reimbursement only for one pulse oximeter.
b) The reimbursement shall be claimed as per actual cost of pulse oximeter,
subject to a ceiling of Rs. 1200/-.
c) The claim for reimbursement of cost of such pulse oximeter shall be
submitted as per prescribed norms enclosing therewith a copy of the COVID-
19 test report, to the Medical Cell, NHAI.
66
The outsourced employees to submit the bills towards purchase of Oxymeter

and charges towards Covid-19 test (RTPCR/Rapid) to their respective outsourced
agencies for reimbursement. The outsourced agencies shall include the details of all
such reimbursements (made to their respective outsourced staff) in their monthly bills
for reimbursement by the NHAI
iii) Reimbursement of purchase/procure of electric kettle

Officers / officials of the level of Asstt. Manager and above are permitted to
purchase/procure electric kettle, which will be reimbursed upto a maximum ceiling of
Rs.1200/- or actual cost of the electric kettle, whichever is less.
iv) Reimbursement of Vaccination Charges and Tests towards containment

of spread of Covid-19
• Reimburse of the COVID-19 vaccination charges (2 doses) @ Rs.1200/- per
vaccine or actual, whichever is less, in respect of all employees of NHAI and
their dependent family members is allowed on submission of bills / invoices to
this effect.
• The cost of tests like Di Dimer, CRP, Ferritin, CT Scan, Antibodies Count etc.
required/conducted in connection with covid-19, shall also be reimbursed on
submission of bills / invoices to this effect. The reimbursements of these tests,
which are related to COVID-19 only, shall be as per CGHS rates.
• The reimbursement towards vaccination charges and the above tests, which
relate to COVID-19, shall be over and above one month basic pay, which is
admissible to NHAI employees as per NHAI's Medical Attendance Rules, without
production of vouchers.
• The contractual / outsourced staff shall submit the bills to this effect (relating to
them and their dependent family members) to their respective agencies for
reimbursement, which in turn shall claim the same through their monthly bills.
V. Rates for hiring of vehicles at HQ/Field Units in NHAI / Recovery of non-

duty journey by Chairman/ Members by Staff Car
[See NHAI Policy Circular NHAI/11041/217/2007-Admn dtd. 23.12.2011,

NHAI/14011/4/2009-Admn/E-5449 dtd. 09.09.2020, NHAI/14011/4/2020/E-27490 dtd.
14.01.2021]
A. Rates for hiring of vehicles for official use of the officers at HQ in NHAI:
Sl Monthly hiring of vehicle Rates for fuel (petrol, Rates for

No. diesel and CNG) (in Electric vehicles
Rs.) (in Rs.)
1. For CGMs 50,300.00 52,800.00
67
(with monthly limit of 3500 km)

2. Rate for extra running per km 14.00 14.00
3. For GM and General Duty 43,500.00 45,700.00
(with monthly limit of 3000 km)
4. Rate for extra running per km 12.00 12.00
N.B.: (i) The rates are inclusive of 6 days a week. Hence, there will be no extra
payment for Saturday and Holidays for any vehicle. All the above rates are exclusive of
GST, which shall be released as applicable. The parking charges, toll tax and state tax
will be paid as per actuals supported by receipts.
(ii) To safeguard the environment, the user officers may advise the travel agencies
to provide electric vehicles.
(iii) Once the vehicles are engaged through Admn Division after due approval of the
Competent Authority, the bills will be submitted by the concerned officer directly in
Finance Division and a certificate as per Annex-A duly certifying, without logbook, if the
running km in the particular month is below monthly limit. In case the vehicle has run
above monthly limit, the approval of Competent Authority may be solicited for extra km
and the bill along with complete logbook for the month may be submitted to Finance
Division.
(iv) The concerned travel agency has to release the minimum wages as prescribed
by the Labour Laws to the drivers as revised from time to time. A copy of proof of
Electronic Transfer of minimum payment to the driver may be enclosed along with the
bill (except where driver is owner).
Annexure – A
CERTIFICATE FOR USE OF VEHICLE
Certified that:
(a) The vehicle No. …………………………………
(Model………….……………………………) hired from M/s
…………………………………………………………......... has been used by the
undersigned purely and exclusively for official purpose during the month
……………….. except on ……………………. for which payment has been
deducted. Copy of Log-Book is enclosed for extra kilometre claims over the
minimum prescribed monthly kilometres.
(b) The amount against personal use of the vehicle for CGMs Rs.14/Km and for GMs
Rs.12/Km totalling to Rs._______ has been/ is being deposited with Finance
Division.
(c) I am satisfied with the services of the Agency and the agency has provided a
well behaved / uniformed driver with mobile phone.
68
(d) The driver of the vehicle is Mr…………………………… and his salary has been
transferred in his bank account No…………………………………………../paid by
the travel agency.
He is owner of this agency and vehicle, hence minimum salary has been claimed by
him.
Signature: ……………………………………
Name of the Officer: …………………………
Designation: …………………………………
Division: ……………………………………
Date: …………………………………………
69
B. Rates for hiring of vehicles for official use of the field units:
Sl.No Officer Type of Vehicle Monthly running

ceiling limits
(km)
1 RO Innova or equivalent 4000
2 GM in RO Office Bolero/Scorpio or 3500

equivalent
3 PD Innova or equivalent 3500
4 DGM (T)/Manager(T)/DM(T) Bolero/Scorpio or 3000

(who is incharge of projects in equivalent
PIUs)
N.B.: (i) The equivalency of vehicle may be ascertained by its engine power (cc)
of the above vehicle.
(ii) The vehicles may be engaged by following normal financial canons/rules and
procedures for inviting bids etc. with the approval of RO within the above guidelines.
The monthly bills for the vehicles within the above ceiling limits may be processed as
per extant delegation of powers.
(iii) The above guidelines are the maximum ceiling for hiring of vehicles, however,
the tenders may be invited as per actual requirement of the respective field units within
these limits with the approval of concerned RO.
(iv) The Managers (Vig.) may be provided vehicle by the Regional Office, in
accordance with the instructions and guidelines issued by the NHAI HQ, from time to
time for provision of similar facilities for Managers (Tech.) (who are in charge of projects
in PIUs/CMUs) in PIUs/ROs.
C. Recovery of non-duty Journey of the Staff Cars provided to the Chairman/

Members w.e.f. the date on which the vehicle may be provided:-
(i) For AC/Non-AC Cars - Rs. 2000/- per month

(ii) Ceiling limit for such - 1000 Km per month
70
VI. Official visit for the officials of NHAI.
[See NHAI Policy Circular 11041/21/2002 dtd. 04.11.2004, 11041/08/2010

dtd.01.10.2013, 11041/08/2010 dtd. 13.11.2013 read with OM 19024/1/2012-E-IV dtd.
10.10.2013 issued by DoE, MoF, GoI, 16014/1/2014-E-I 13.06.2014 read with
D.O.1/19/2/2014/cab. dtd. 12.06.2014, 1.3.4.28/2016 dtd. 01.12.2016 and 11014/133-
B/2006-Admn dtd. 16.02.2022]
1. All files pertaining to the nomination of officials for foreign visit/delegation/training

programmes, thereafter tour programme of the nominated officials for visiting
abroad shall be routed through Member (Administration) for Chairmen’s approval.
2. The proposals for visits abroad should reach the competent authority at least 10
days before the date of the proposed visit. The proposal should contain details of
the tasks to be accomplished during the visit. On return from the visit, a post-visit
report should be submitted to the authorities concerned on the immediate
outcome of the visit. The proposal for any subsequent visit abroad, the efforts
made to realize the intended outcome of the earlier visit and the results thereof
should also be mentioned.
3. NHAI officials are not entitled to grant of diplomatic or official passports on official
assignment abroad as per extant rules, therefore, the Chairman and officers on
deputation to NHAI shall be issued only Note Verb ale for the respective
Embassy/High Commission and all officials in NHAI shall travel abroad on their
personal passport even on official assignments.
N.B. - All officials in NHAI, if they are holding diplomatic or official passports, shall
surrender the same to Ministry of External Affairs forthwith.
4. The air travel on Government account both Domestic (including LTC) and
International Travel can be made by Private Airlines.
5. Air tickets on NHAI account both domestic (including LTC) and international
travel shall be purchased only through M/s Balmer Lawrie & Company Limited
(BLCL), M/s. Ashok Travels & Tours (ATT) and Indian Railways Catering and
Tourism Corporation Ltd. (IRCTC).
6. The Manager level officers may also be allowed to travel by air on official tours
provided that the distance involved in the journey is more than 500 km and journey
cannot be performed overnight (6PM to 8AM, next morning) or time involved in
the journey is more than 14 hours. The controlling officer should satisfy
himself/herself that the tour is essential and is in the interest of work, while
approving the tour programme.
71
VII. Special Concessions to NHAI’s Employees working in Kashmir Valley
[See Policy Circular 18016/1/2016-Estt(L) dtd. 11.12.2016 and 1.2.6.1/2020

dtd.21.01.2020]
Kashmir Valley comprises of ten districts namely Anantnag, Baramulla, Budgam,

Kupwara, Pulwama, Srinagar, Kulgam,Shopian, Ganderbal and Bandipora
I. ADDITIONAL H.R.A. AND OTHER CONCESSIONS:
(A) Employees posted to Kashmir Valley:

(i) These employees have an option to move their families to a selected
place of their choice in India at Government expense. T.A. for the families
allowed as admissible in permanent transfer inclusive of the Composite
Transfer Grant at the rate of 80% of the last month’s basic pay.
(ii) Departmental arrangements for stay, security and transportation to the
place of work for employees.
(iii) HRA as for the class ‘Y’ city (16% of basic pay) applicable for employees
exercising option at (i). Such employees will be eligible for drawing the
normal HRA as well as their place of posting provided Departmental
arrangement is not made for his/her stay.
(iv) The period of temporary duty extended to six months, For period of
temporary duty, an incentive to be known as Kashmir Valley Special
Incentive will be paid at the following rates along with food charges (as
per 7th Pay Commission norms) apart from departmental arrangements
for stay, security and transportation:
Pay Range Rate Per month (on pro rata)
(i) Level 14 and above Rs. 9000
(ii) Level 12 and 13 Rs. 8000
(iii) Level 9 to 11 Rs. 7000
(iv) Level 6 to 8 Rs. 6000
(v) Level 5 & below Rs. 4500
(B) Employees posted to Kashmir Valley who do not wish to move their families to
a selected place of residence:
As per diem allowance of Rs. 113/- is to be paid for each day of attendance to
compensate for any additional expense in transportation to and from office etc.
72
II. MESSING FACILITIES:
Messing allowance is to be paid to all the employees posted in J&K @ Rs.

97.85/- per day.
III. PAYMENT OF MONTHLY PENSION TO PENSIONERS OF KASHMIR

VALLEY:
Pensioners of Kashmir Valley who are unable to draw their monthly pensions
through either Public Sector Banks or PAO treasuries from which they were receiving
their pensions, would be given pensions outside the Valley where they have settled, in
relaxation of relevant provisions.
NOTE: 1. The package of concessions/facilities shall be admissible in Kashmir Valley

comprising of ten/districts namely, Anantnag, Baramulla, Budgam,
Kupwara, Pulwama, Srinagar, Kulgam, Shopian, Ganderbal and
Bandipora.
2. The package of concessions/facilities shall be admissible to Temporary
Status Casual Labourers working in Kashmir Valley in terms of Para 5Ii)
of the Casual Labourers (Grant of Temporary Status and Regularization)
Scheme of Government of India, 1993.
3. The benefit of additional HRA admissible under the Kashmir Valley
package shall be admissible to all Central Government employees posted
to Kashmir Valley irrespective of whether they are natives of Kashmir
Valley, if they choose to move their families anywhere in India subject to
the conditions governing the grant of these allowance.
4. The facilities of Messing Allowance and Per Diem Allowance shall also be
allowed to natives of Kashmir Valley in terms of the Kashmir Valley
package.
VIII. Facilities and perquisites in case of officers taken on deputation in

NHAI
[See Policy Circular No. 11041/217/2007-Admn. (133/2014) dtd. 07.01.2014]
Following facilities and perquisites in case of the officer an deputation in NHAI
shall be regulated on the basis of the post and the pay scale attached to the post to
which they are oppointed in NHAI:
a. Lease Accommodation facility.
b. Reimbursement of cost of mobile instrument
c. Reimbursement of cost of call charges (for mobile, telephones, data card
etc.
d. Reimbursement of cost of laptop/Notebook
73
e. Reimbursement for purchase of newspaper and magazines of residence.

f. Reimbursement of the amount for purchase of briefcases/ ladies bogs
g. Reimbursement of expenditure on serving refreshment, tea, coffee and
snacks etc. in respect of official meetings
IX. Reimbursement of the amount for purchase of water bottle

The Officers and staff of NHAI are entitled for purchase of one water bottle once in two
years with following ceiling limits:
Sl. Officers/Staff eligible for 01 water bottle Upper Cost ceiling (Rs.)
No.
1. Officers drawing G.P. of Rs 4800/- & above 1000/-
2. Staff drawing G.P. below Rs 4800/- 500/-
2. The concerned employee is required to purchase the water bottle from the
authorized shops in the market and the bill to this effect be submitted in Finance Division
through Admn for reimbursement for the amount in accordance with the entitlement.
3. The excess amount, if any, will be borne by the employee concerned.
X. Reimbursement of the amount for purchase of briefcase/ladies bags

Cost/Upper ceiling for purchase of briefcase/ladies bags/hand bags in respect of officers
of the Authority as under:
Sl. Designation Upper cost ceiling

No.
1. Chairman Rs 10,000/-
2. Member Rs 9,000/-
3. CGM Rs 7,000/-
74
Sl. Designation Upper cost ceiling

No.
4. GM Rs 6,000/-
5. DGM Rs 5,000/-
6. Manager/PS Rs 4,000/-
7. Asst. Manager/Accountants/PA/Stenos and Rs 3,000/-

equivalent level officer with similar grades.
2. The officers are entitled for briefcase/handlings/ladies bags once in three years.
3. The officers concerned may purchase brief case/hand bags from the authorized
shops in the market and the bill to this effect may be submitted in the Finance Wing
through Administration for reimbursement of the amount in accordance with entitlement.
The excess amount if any, shall be borne by the officer concerned.
75
Section: 1.3 Establishment Matters and General Instructions
Sub Subject
Section
I Bilingual Logo of NHAI

II Prohibition on bringing any political or outside influence in respect of
matters pertaining to service under NHAI
III Equivalence of CDA vis-a-vis IDA and PSU/Bank Pay Scales/Levels
IV Engagement of External professionals and Young Professional in

NHAI
V Internship Scheme in NHAI and Invitation for Participation in Training

/ Workshops / Seminars / Conferences organized by External
Agencies
VI Annual Performance Appraisal Report (APAR) on NHAI SPARROW
Platform and issues related thereto
VII Submission of Quarterly Performance Appraisal Report (QPAR) for
1st Quarter of every financial year and subsequent Quarters in
respect of NHAI Employees through SPARROW
VIII AIPR (Annual Immovable Property Return) in the NHAI
IX Group Life Insurance for the employees of NHAI
X Consolidated emoluments payable to the short term contract
employees in NHAI engaged through Agencies
XI Compensation for victims
XII Presenting Mementoes to the officers/staff on their

Repatriation/Superannuation/retirement in NHAI.
76
I. Bilingual Logo of NHAI
[See NHAI Policy Circular 36/20003 dtd.17.03.2003]
The Logo given below shall be used in all office papers, sign boards, letterhead,
file covers, visiting cards, rubber stamps etc.
II. Prohibition on bringing any political or outside influence in respect

of matters pertaining to service under NHAI.
[See NHAI Policy Circulars 11041/08/2010-HR.I Admn. dtd.27.08.2012 and 1.3.2.30

dtd. 03.12.2020]
As per Rule 20 of the CCS (Conduct) Rules,1964 no Government servant shall

bring in or attempt to bring any political or other outside influence to bear upon any
superior authority to further his/ her service under the Government and if any
Government employee is found guilty of violating the aforesaid provisions of the Conduct
Rules despite the issue of warning to him /her, disciplinary action should be initiated
against him / her by the appropriate disciplinary authority under the provisions of CCS
(CCA) Rules, 1965 and adverse entry shall be made in their APAR.
77
III. Equivalence of CDA vis-a-vis IDA and PSU/Bank Pay Scales/Levels.
[See NHAI Policy Circular Admn./Fin. 117/2013 dtd. 11.06.2013 and 1.3.1.20/2019 dtd.
22.11.2019]
Rank in NHAI Rank in Central Equivalent grade in Posts in Public Sector

Govt. PSUs in IDA pay Banks
scales
CGM Jt. Secretary/CE [E-8 Grade] General Manager/Scale-
[Level – 14 [Level – 14 Rs.51,300-73,000 VII
(Revised)/PB- (Revised)/PB- (Revised) / Rs.76520-
4+GP.Rs.10,000 4+GP.Rs.10,000 Rs.20,500-500- 85000/Rs.46,800-52,000
(Pre- (Pre-revised) 26,500 (Pre-revised) (Pre-revised)
revised)/Rs.18,400- /Rs.18,400-22400
22400 (Pre-revised)] (Pre-revised)]
GM Director/SE [E-7 Grade] Deputy General Manager /
[Level – 13 [Level – 13 Rs.43,200-66,000 Scale-VI
(Revised)/PB-4 (Revised)/PB-4 (Revised) Rs.68680-76520 /
+GP.Rs.8700 (Pre- +GP.Rs.8700 (Pre- /Rs.18,500-450- Rs.42,000-46,800
revised)/Rs.14,300- revised)/ Rs.14,300- 23,900 (Pre-revised) (Pre-revised)
18300 (Pre-revised)] 18300 (Pre-revised)]
DGM Dy. Secretary/EE [E-6 Grade] Assistant General
[Level – 12 (NFSG) Rs.36,600-62,000 Manager/Scale-V
(Revised)/PB-3 + [Level – 12 (Revised) / Rs.59170-66070/-
GP. Rs.7600 (Pre- (Revised)/PB-3 + GP. Rs.17,500-22,300 Rs.36,200-40,400 (Pre-
revised)/Rs.12000- Rs.7600 (Pre- (Pre-revised) revised)
16500 (pre-revised)] revised)/Rs.12000-
16500 (Pre-revised)]
Manager Under Secretary/EE [E-5 Grade] Chief Manager/Scale-IV
[Level – 11 [Level – 11 Rs.32,900-58,000 Rs.50030-
(Revised)/PB- (Revised)/PB-3+GP. [Revised) / 59170/Rs.30,600-36,200
3+GP. Rs.6600 Rs.6600 (Pre- Rs.16000-20800 (Pre-revised)
(Pre- revised)/Rs.10000- (Pre-revised)
revised)/Rs.10000- 15200(pre-revised)]
15200(pre-
revised)]
78
Rank in NHAI Rank in Central Equivalent grade in Posts in Public Sector

Govt. PSUs in IDA pay Banks
scales
Dy. Manager Junior Time Scale / [E-4 Grade] Manager / Scale – III
(Entry Level pay AEE Rs.29,100-54,500 Rs.42020-51490/ Rs.
scale of Group A) (Entry Level pay (Revised)/ 25,700-31,500 (Pre-
[Level – 10 scale of Group A) Rs.14,500-18,700 revised)
(Revised)/PB-3 + [Level – 10 (Pre-revised)
GP. Rs. 5400 (Pre- (Revised)/PB-3 + GP.
revised) / Rs. 8000- Rs. 5400 (Revised) /
13500 (Pre-revised)] Rs. 8000-13500 (Pre-
revised)]
AM (Vig./Admn./JAO Section Officer [E-3] Deputy Manager / Scale-II
[Level – 8 [Level – 8 Rs.24,900-50,500 Rs.31705-45950/Rs.
(Revised)/PB-2 + (Revised)/PB-2 + GP. (revised)/Rs.13,000- 19,400-28,100 (Pre-
GP. Rs.4800 (Pre- Rs.4800 (Pre- 350-18,250 (Pre- revised)
revised)/Rs6500- revised)/Rs6500- revised)
AM (Tech) Assistant Engineer [E-2] Assistant Manager / Scale-
[Level – 7 [Level – 7 Rs.20,600-46,500 I
(Revised)/PB-2 + GP (Revised)/PB-2 + GP (Revised)/Rs.10,750- Rs.23700-
Rs.4600 (Pre- Rs.4600 (Pre- 300-16,750 (Pre- 42020/Rs.14,500-25,700
revised) / Rs. 6500- revised) / Rs. 6500- revised) (Pre-revised)
IV. Engagement of external professionals and young professional in

NHAI
[See NHAI Policy Circular 1.3.1.12/2017 dtd. 21.06.2017, 1.3.1.17/2019 dtd.

26.06.2018, 1.3.1.19/2019 dtd. 15.04.2019 and 1.3.1.22/2020 dtd. 12.05.2020]
1. Introduction
1.1 The National Highways Authority of India (NHAI) was constituted by an

Act of Parliament, namely, the National Highways Authority of India Act,
1988. It is responsible for development, maintenance and management
of National Highways entrusted to it and for matters connected there with
or incidental thereto. The Chairman NHAI is the competent authority to
sanction posts up to the level of General Managers depending upon the
need from time to time. There is a large gap at present between the
79
number of posts sanctioned in the NHAI at different levels (1601) and the
positions filled-up (977).
1.2 A detailed exercise has been carried out with the help of M/s BCG,
consultants engaged by the Ministry under the World Bank Assistance,
regarding the norms for establishing a Project Implementation Unit (PIU),
and the normative staffing for a particular PIU. It has not been found
advisable to fill-up all the vacant positions in one go as the same would
have serious problems with cadre management. As a matter of fact, the
Service Regulations of NHAI have been amended a number of times
whereby a large number of inconsistencies have emerged. The exercise
for comprehensive revision of Service Regulations is under process and
the Draft Service Regulations are proposed to be placed before the NHAI
Board in its meeting to be held in the month of July/August, 2017.
1.3 For efficient discharge of its functions, the Authority has been engaging
Consultants and Advisors etc. on the laid down terms & conditions in
order to meet the manpower gaps. However, need has been felt to revise
and consolidate the existing guidelines and procedures.
1.4 Therefore, in supersession of all guidelines issued earlier on the subject
under the NHAI (Recruitment, Seniority and Promotion) Regulations,
following guidelines are hereby laid down for regulating the engagement
of External Professionals.
2. Objective
These guidelines are framed for creating an additional resource base of quality
professionals in NHAI, required for shorter periods, and capable of lending their
expertise in fields such as Project Design & Appraisal, Procurement, Project
Management and Monitoring, Land Acquisition, Performance Management, Contract
Management, Legal, Finance & Accounts and IT Applications etc. to enhance the
capability and efficiency of NHAI as also to meet the requirements of specific initiatives
(e.g. In (i) Development of Wayside Amenities, (ii) Development of Logistics Parks, (iii)
Greening of Highways, and (iv) Development of Inter-modal Stations etc.) or any other
such initiatives/ tasks.
3. General conditions for engaging External Professionals
3.1 The manpower resources under these guidelines will be engaged broadly
in following categories, namely:
(i) Advisors at three levels (Advisor, Joint Advisor, and Assistant
Advisors), for clarity and distinction, they will be called as EPs.
(ii) Young Professionals, for clarity and distinction, they will be called
as YPs.
80
3.2 The pool of EPs to be engaged in the above categories may be drawn
from amongst the retired government officers or open market
professionals, as per the criteria indicated in Table-I below. They would
be expected to provide full-time/part-time services to NHAI during their
period of engagement. Those engaged on full-time basis would not be
permitted to take up any other assignment during the period of their
engagement with the NHAI.
3.3 The EPs will be engaged under these guidelines on contract basis for a
fixed period for providing quality services for specific projects and for
specific purposes only and no claim, whatsoever, shall be admissible for
regularization/ absorption of these personnel in the NHAI. These EPs
shall be paid lump-sum/consolidated/all-inclusive remuneration plus the
Transport Allowance as applicable for the equivalent level in the
Government. While the remuneration bands for each category/level are
indicated in Table-II below, the general principles to be followed for
determination of their remuneration shall be as in the table below:
Srl. Source Broad Principle of determination of

No. Remuneration
(i) Personnel retired from Central The principle of last pay drawn at the time of
or State Governments or retirement minus the pension (updated in
Central/State PSUs or terms of 7th Pay Scales), if there is a Pension
organisations of repute. Scheme, will generally be followed in these
cases. However, the amount so worked out
may be rounded off to the nearest thousand
for the purposes of determination of
remuneration of the concerned person.
ii) Personnel engaged from the Remuneration may be determined keeping in
open market. view the total amount that may be payable to
a person of that level/stature with
qualifications and experience in the NHAI
within the prescribed range/band. Due regard
may also be given to the remuneration drawn
by such person in the open market.
3.4 Except in the case of legal professionals/experts, the EPs may be

engaged up to an upper age limit of 65 years. In the case of Legal
professionals/Experts, the upper age limit will be 70 years. The upper
age limit may be relaxed with the approval of the Chairman in deserving
cases and for reasons to be recorded in writing.
81
3.5 The EPs engaged shall be required to execute an Agreement with the
NHAI, which shall be drafted with legal vetting.
3.6. Number of External Professionals Advisors
3.6.1 The EPs shall be over and above the regular sanctioned posts in
the NHAI. As such, the total number of professionals in the
category of Advisors at different levels to be engaged by the NHAI
shall depend on the actual requirement at a particular point in
time.
3.6.2 The contractual positions of Advisors at different levels shall be

created on submission of proposals by the concerned Division
and then approved by the Chairman.
4. Engagement of Young Professionals (YPs)
4.1 It has been decided to engage young professional resources at the

cutting-edge level to overcome the existing gap between the manpower
available and required. As a matter of principle, the number of YPs to be
engaged under these guidelines shall keep going down in due course
with the filing-up of regular cadre posts at the level of Deputy Managers
and Managers. The "Young Professionals (YPs)" shall be engaged on
contract basis specific to the project or area of work for a limited period
up to two years, extendable by one more year depending upon the
performance of the person during the initial period of engagement. It is
specifically mentioned that these resources are not meant to supplement
the routine secretarial/ministerial assistance for various offices of NHAI.
They have to be assigned core functions with delivery targets/specified
outcomes.
4.2 While NHAI would be able to augment its manpower resources and meet
the shortage of staff resources through engagement of these resources,
the YPs will also be able to acquire ground experience and emerge as
high quality professionals in due course, equipped with experience for
their future career prospects.
4.3 The YPs may be paid an all-inclusive monthly remuneration in the band
of Rs. 60,000/- to Rs. 70,000/- depending upon their qualifications,
experience, if any, and the value they would bring to the job. The amount
of remuneration for the YPs shall be increased by 5% per annum during
the period of their engagement, which shall not extend beyond three
years in all.
82
4.4 Some of the areas/activities where these YPs may be engaged are listed
below:
Srl. Vertical/ Division YPs with background discipline Tentative

No. number of YPs
A. Headquarters - Chairman & Members

1. Chairman MBAs with technical qualifications 01
2. Member (Admin) MBA (HR) 01

3. Member (Fin) MBA (Finance) 01
4. Member (PPP) MBA with Technical Qualifications 01
5. Members (Tech) MBAs with Technical Qualifications 03
Sub-total (A) 07
B. Head Office - Other Sections/Divisions
6. Legal Legal Associates from National Law 06
Schools/ Reputed Law Colleges
7. Contract Management Legal Associates from National Law 03
Division Schools/ Reputed Law Colleges
8. Finance MBA Finance 02

9. Accounts CAs or M.Com(First Divn/ grade) 02
10. Utility shifting Electrical Engineering 03
Civil Engineering 02
11. Commercial Operations MBA –Operations 01
Information Technology 01
12. Bridge Maintenance Civil Engineering with MBAs 01
13. IT Division IT/Software 03
14. Administration Division MBA (HR) 04
15. PPP Divn. Civil Engineering 02
Legal Associates 01
Sub-total (B) 31
C. Field Offices
16 Regional Officers (01 each) Civil Engineers 27
17 PIUs (01 each) Civil Engineers 135
Sub-total (C) 162
Grand Total (A)+(B) +(C) 200
4.5 Leave Account (CL & Sick leave) shall be maintained by the respective
divison at HQ/PIU wherein EP/YP is posted. On approval of their
83
controlling officer/concerned CGM, the bill shall be directly submitted to

Finance Division for disbursement.
4.6 EPs & YPs are not entitled for any benefits under EPF and hence their
remuneration is to be paid without deducting any contribution towards
EPF
4.7 The issue related to IT assets and other allied IT issues like email ID,
FTS ID etc to Advisors, Jt. Advisors, Consultants and Young
professionals to be decided by IT Division as per functional requirements.
4.8 The remuneration payable/paid to EPs & YPs shall be booked under
professionals expenses / consultancy charges after recovery of TDS
(Income Tax) under Section 194 (J) of Income Tax Act, 1961.
4.9 EPs & YPs engaged by NHAI shall not be entitled for benefits admissible
under Maternity Benefits Act, 1961.
5. Qualifications and experience
5.1 Persons possessing qualifications and experience criteria as mentioned

in Annexure-1 supra would be eligible for engagement as Advisors at
different levels. The remuneration bands of the EPs will be as given in
Table-l below. However, the Chairman will be competent to engage them
by relaxing the age and experience criteria, specifically in the case of EPs
engaged for such functions as Financial Analyst, Transport Economist,
Contract Management Specialist, HR Expert, Legal Expert or any other
professionals having specialized knowledge.
5.2 Young Professionals
Professionals having qualifications relevant to the job description would be

eligible for being engaged as Young Professionals. Preference would be
given for the candidates having passed out from institutions of repute and
the work experience. Candidates should have good working knowledge
of technology based skills on the computer and ability to work on ICT
applications. They should also possess strong communication and
interpersonal skills. The requisite qualification and remuneration is as
referred in Table-III below.
5.3 Selection criteria for EPs & YPs may be further defined for specific
positions depending on the specific requirements and circumstances.
6. Terms of Reference (ToRs)
Divisions in NHAI, requiring engagement of External Professionals, will prepare detailed

ToRs for the work and outputs in the format prescribed in Table-IV below (Format may
84
be modified suitably by the concerned Division based on the specific requirement). The
TORs should be comprehensively filled by the requisitioning Division in all aspects to
justify the need for engaging EPs. The TOR should be vetted and approved by the
concerned Member before the selection process is initiated.
7. Procedure for selection for EPs (Advisors) and YPs
7.1 The requirement would be advertised in at least one national newspaper

of repute. All the applications received in response to the positions
advertised will be scrutinized and shortlisted by the Screening Committee
in accordance with eligibility and other conditions prescribed. The
Screening Committee would recommend a panel of eligible candidates
for the position. The list of shortlisted candidates shall thereafter be
placed before a Selection Committee to make the selection of the
candidate for each position announced. However, the Chairman would
be competent to engage an EP on individual nomination basis.
7.2 The final approval in all cases of appointments of EPs shall be accorded
by the Chairman NHAI while for YPs, it will be by Member of the
concerned division.
8. Screening and Selection
The process of screening for short listing of applications and composition of the
Selection Committee for selecting the final candidates for the desired positions are as
outlined in Table – V below.
9. Period of Engagement, Extension and Termination
9.1 The period of engagement for EPs and YPs may be for a period of up to
two years in the first instance, which may be further extended by one
more year, based on the requirements of the NHAI and the satisfactory
performance of the incumbent. There shall be no extension of contract
beyond the period of three years under any circumstances for the EPs &
YPs. However, in case it is found necessary in NHAI's interest to retain
the services of any EP beyond a period of three years, any such
engagement shall be with the approval of the Board and entail a fresh
contract.
9.2 The engagement of an EP or YP can be terminated by either of the

parties by giving 30 days' notice in advance or payment of one month's
remuneration by either side in lieu of 30 days' notice period, as the case
85
may be, and the contract would terminate automatically at the end of such
period.
10. Performance Evaluation

Annual Performance Appraisal of the EPs and YPs would be undertaken through an
Annual Performance Report (APR) in the format prescribed in Table-VI below. The
Performance Appraisal would be conducted by the respective reporting officer and
countersigned by the reviewing officer.
11. General terms and conditions:
(i) The persons engaged under these guidelines shall be paid an all-
inclusive monthly remuneration as fixed at the time of their engagement
within the remuneration band applicable to such positions.
The consolidated remuneration will be increased 5% for each succeeding
year. In addition, Transport Allowance may paid as applicable for an
equivalent category in the case of EPs. However, the YPs shall not be
entitled to any Transport Allowance.
(ii) They will be allowed to avail the canteen facility for lunch as per
subsidized rates applicable to the employees of NHAI.
(iii) The EPs engaged at the level of 'Advisors' will be provided with need-
based support & personal staff including secretarial assistance.
(iv) They will have access to the Library facilities during the period of their
engagement and shall be allowed to borrow books as per the Library
rules.
(v) The benefit of Employee Provident Fund shall be provided as per

applicable Statutory Provisions on the subject.
(vi) No TA/DA would be admissible to these professionals for joining the

assignment or on its completion. Should they be required to undertake
domestic tours in connection with the work of NHAI during the period of
their engagement, they will be entitled to draw TA/DA and Hotel
Accommodation as per the normal rules as applicable to any serving
officer of an equivalent rank in NHAI.
(vii) The EPs & YPs engaged on full-time basis will be required to attend office
on all working days and also on holidays, if required, on account of
exigencies of work.
86
(vii) They shall be entitled to 8 days' paid casual leave and 15 days' paid sick
leave in a calendar year. No un-availed leave will be allowed to be carried
forward to the next year. They shall not be entitled to any other kind of
leave.
12. Statutory Provisions
The Authority shall be liable to comply with the provisions of all applicable Acts/Rules
like the Employees Provident Funds Act, 1952, Maternity Benefit Act, 1961, Income Tax
Act etc. as amended from time to time.
13. Conflict of Interest
These Professionals (EPs & YPs) shall be expected to follow all the rules and
regulations of NHAI. They will be expected to display utmost honesty, secrecy of office
and sincerity while discharging their duties. In case the services of the appointed
candidate are not found satisfactory or found in conflict with the interests of NHAI, their
services will be liable for discontinuation with immediate effect without assigning any
reason.
14. Relaxation
In the case of professionals of high standing and expertise in their domain, any provision
of these guidelines may be relaxed with the approval of the Executive Committee.
15. Dispute Resolution
Any arbitration, dispute, claim or controversy shall be subject to exclusive

jurisdiction of courts in Delhi, India.
Table-I
Eligibility Criteria for External Professionals
Area Advisor Joint Advisor Assistant

Advisors
Technical i) Degree in Civil Engineering i) Degree in Civil Professionals
from a recognized University/ Engineering from a capable of working
Institute. recognized on AutoCAD/IT
University/ Institute. Systems with
ii) Should have retired from appropriate
Central/ state ii) Retired Central/ matching
Government/PSU/IIT/Institutio State Government/ qualifications.
87

Advisors
n at the level equivalent to PSU/ Institution at the
Chief Engineer or above; level equivalent to an
Executive Engineer or
iii) Private Professionals above but below the
fulfilling the requisite level of a Chief
academic qualifications with at Engineer.
least 20 years’ service in the
related field.
Administration i) Degree of a recognized i) Degree of a i) Degree of a
University/ Institute. recognized recognized
University/ Institute. University/ Institute.
ii) Retired officers from
Central/ State Government/ ii) Retired officers ii) Retired officers
PSU/ Autonomous Bodies at from Central/ State from Central/ State
the level equivalent to Joint Government/ PSU/
Government/ PSUs/
Secretary and above. Autonomous Bodies
Autonomous
at the level equivalent
Bodies at the level
to Deputy Secretary/
equivalent to
Director Section Officer/
Under
Secretary/PS/PPS
etc.
Legal i) Degree in Law from a i) Degree in Law from i) Degree in Law
recognized University/ a recognized from a recognized
Institute. University/ Institute. University/ Institute.
ii) Retired officers from ii) Retired officers ii) Retired Officials
Central/ State Government/ from Central/ State with experience of
PSU/ Autonomous Bodies at Government/ PSUs/ working as Legal
the level equivalent to Joint Autonomous Bodies Assistant.
Secretary and above, with at the level equivalent
preference for retired officers to Deputy Secretary
from judicial services at the and above/retired
level of Distt. & Sessions officers from
Judge/ Addl. District & subordinate judicial
Sessions judge. services.
iii) 20 years’ experience in the iii) 12 years’

field of law related to experience in the field
contractual of law related to
88

Advisors
matters/arbitration/ legislativecontractual matters/
matters/ land acquisition/ arbitration/ legislative
Establishment & Service matters/ land
matters. acquisition/
Establishment &
iv) 20 Years’ experience as a Service matters.
Techno-Legal expert.
iv) A private
professional with at
least 12 years’
experience as a Legal
/Techno-Legal
expert.
Land Retired officers from Central/ Retired officers from Retired Revenue
Acquisition State Government/ PSUs/ Central/ State officials at the level
Autonomous Bodies at the Government/ PSUs/ equivalent to
level equivalent to Joint Autonomous Bodies Kanungo, Patwaris,
Secretary and above, having at the level equivalent with good
acquired experience as to a District Revenue understanding of
Revenue Officer with good Officer/ Tehsildar Revenue matters
understanding of Land equivalent with and experience in
Acquisition law and related experience of 10 Land acquisition.
matters. years as a Revenue
officer.
Finance i) Degree in Commerce/ i) Degree in i) Degree in
Accounts from a recognized Commerce/ Accounts Commerce /
university or ICAI/ ICWAI/ from a recognized Accounts from a
MBA(Finance) from a university or ICAI/ recognized
recognized University/Institute ICWAI/ university
OR Member of any organized MBA(Finance) from a (ii) Well versed /
Group-‘A’ Finance/ Accounts recognized experience of
related Service of the Central University/Institute working on
Government/ C&AG or of the OR Member of any Finance/Accounting
State Government. organized Group-A Software
Finance/ Accounts application in an
related Service of the ICT environment.
Central Government/
C& AG or of the State
Government.
89

Advisors
ii) Retired officers from ii) Retired officers
Central/ State Government/ from Central/ State
C&AG/PSU/ Autonomous Government/ PSU/
Bodies at the level equivalent Autonomous Bodies
to Joint Secretary and above. at the level equivalent
to Deputy Secretary
iii) 15 years’ experience in and above.
Financial Accounting/
Budgeting/ Internal Audit/ iii) 10 years’
Contract Management/ Fund experience in
Management/ Disbursement/ Financial Accounting/
Credit Appraisal in an Budgeting/ Internal
organization of repute. Audit/ Contract
Management/ Fund
Management/
Disbursement/ Credit
Appraisal in an
organization of repute
Table - II
Remuneration for Advisors
Amount of Transport Allowance (Rates of

Transport Allowance in terms of
Department of Expenditure, Ministry of
Designation Remuneration Bands Finance OM No. 21/5/2017-E.II(B) dated
07.07.2020 (List of Cities/Towns eligible
for higher rates of Transport Allowance
at Table - VII)
In the case of Officers retired from Central/State Governments/PSUs/Autonomous
Bodies, who are in receipt of Pension from Public Funds
Rs. 3600 + DA
Rs. 7200 + DA
Rs. 1,60,000 to Rs. 1,75,000/- equivalent to CGM
Advisor equivalent to CGM
per month level in NHAI in
level in NHAI
other cities
Rs. 3600 + DA
Rs. 7200 + DA
Rs. 90,000/- to Rs. 1,25,000/- equivalent to GM
Joint Advisor equivalent to GM
level in NHAI
other cities
90
Amount of Transport Allowance (Rates of

Transport Allowance in terms of
Department of Expenditure, Ministry of
Designation Remuneration Bands Finance OM No. 21/5/2017-E.II(B) dated
07.07.2020 (List of Cities/Towns eligible
for higher rates of Transport Allowance
at Table - VII)
Rs. 7200 + DA Rs. 3600 + DA
Rs. 50,000 to Rs. 60,000/-per equivalent to equivalent to
Assistant Advisor
month Manager level in Manager level in
NHAI NHAI in other cities
In the case of Officers retired from Central/State Governments/ PSUs/Autonomous
Bodies, who are not in receipt of Pension from Public Funds;
Rs. 3600 + DA
Rs. 7200 + DA
Rs. 1,75,000 to Rs. 2,00,000/- equivalent to CGM
Advisor equivalent to CGM
level in NHAI
other cities
Rs. 3600 + DA
Rs. 7200 + DA
Rs. 1,25,000/- to Rs. equivalent to GM
Joint Advisor equivalent to GM
1,50,000/- per month level in NHAI in
level in NHAI
other cities
Rs. 7200 + DA Rs. 3600 + DA
Rs.50,000 to Rs. 75,000/- per equivalent to equivalent to
Assistant Advisor
month Manager level in Manager level in
NHAI NHAI in other cities
In the case of professionals engaged from the Open Market
i) Amount equal to what an officer gets from the Government at the appropriate level including
the Basic pay+ DA + HRA+ Transport Allowance under the 7th Pay Commission;
ii) The above shall be moderated keeping in view the remuneration such person is getting in the
open market in his last/ present assignment. He may be offered an increase of 10% to 20% of
his emoluments drawn at the time of engagement.
(iii) In the case of an External Professional engaged on part-time basis, his consolidated
remuneration shall be suitably adjusted keeping in view the nature of deliverables, time and effort
involved in inputs.
Note: Any variation from the above indicated bands/levels of remuneration may be approved by
the Executive Committee depending upon the merits of any individual case.
91
Table- III
Eligibility Criteria and remuneration for Young Professionals
Division Eligibility Criteria

Technical i) Degree in Civil Engineering from a recognized University/
Institute.
(ii) Valid Graduate Aptitude Test in Engineering (GATE) Score in

Civil Engineering discipline.
(iii) Experience in Infrastructure & Roads sector preferred

Administration (i) Degree of a recognized University/ Institute.
(ii) Experience in Administration/ Establishment Human

Resource/ Personnel Management preferred.
Legal i) Degree in Law from a recognized University/ National Law
School Institute.
ii) Experience in the field of law related to contractual matters/

arbitration/ legislative matters/ land acquisition will get
preference.
Finance (i) Degree in Commerce/ Accounts from a recognized university
or ICAl/ ICWAI MBA (Finance) from a recognized University/
Institute.
(ii) Experience in Financial Accounting/ Budgeting/ Internal Audit/

Contract Management Fund Management/ Disbursement in
Central Government or State Government or Union Territories or
Public Sector Undertakings or Semi Government or Statutory or
Autonomous Organizations and other Government Bodies
preferred.
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Remuneration
Srl. Subject Remuneration per month (to be increased @ 5% for
No. each successive year not beyond three years in all.)
1. Fresh Rs. 60,000 to Rs. 65,000/- per month
Graduate (Normally, the remuneration would be fixed at the lowest
level of the band. However keeping in view that persons
graduating from high ranking institutions (such as IITs, IIMs
& NITs) are generally reluctant to join the public sector,
remuneration of a candidate graduating from a highly
ranked institution may be fixed at a suitably higher level in
the band).
2. 1 to 2 years Rs.65,000 to Rs.70,000/- per month
verified (Normally, the remuneration would be fixed at the lowest
relevant level of the band. However appropriate weightage of up to
experience Rs. 2500/- may be considered for the institution from where
the candidate has graduated and another Rs. 2500- for the
standing of the employer from where the person claims to
have acquired experience).
Table - IV
Terms of Reference for the work to be done by External Professional
Category
Statement of Objective
Outline of tasks to be carried Key deliverable Target Date

out
(Details of work required to be (The key deliverables (The time frame for the jobs
carried out specific tasks/ from each task should be clearly defined)
activities to be assigned to should be clearly
Senior Advisors /Advisors/ identified)
Young Professionals should be
indicated along with Periodic
monitoring milestones)
Guiding officer
Reporting officer
Final output
93
Table -V
Composition of the Screening and Selection Committees
Srl. Category Screening Committee Selection Committee

No.
i) Advisor HR/Admin Divn. with Chairman+3 Members:
comments of CGM of [Including Member (Admin),
concerned Divn. For which Member (Finance) and one
selection being made. File of Member (Technical)]
shortlisted candidates to be
sent through Member
(Admin) for Selection
Committee.
ii) Joint Advisor and HR/Admin Divn. with  Member (Admin)
Assistant comments of CGM of  Member (Finance)
Advisors Concerned Divn. for which  Member (Technical)
selection being made. File of
shortlisted candidates to be
sent through Member(Admin)
for Selection Committee
iii) Young Committee comprising:  Member (Admin)
Professionals  Member (Tech./
 Dy.GM (Admin) Projects)
 Dy.GM (Technical)  Member (Fin)
 Dy.GM of the Division  Member (PPP)
To be nominated by
appointing authority
94
Table- VI
Annual Performance Report of EPs and Young Professionals
Year of Report:
Period from ................... to ...................
Part-I: Basic Details
Name
Date of Birth
Date of Joining
Designation
Subject Division
Reporting Authority
(Name and
designation of the
Officer)
Period of work
Brief Description of
Duties:
Part-II: Performance Appraisal
Note: As the controlling officer has to assign the annual work plan for the EPs,
the self-appraisal has to indicate the outputs in respect of such output plan as:
a. Work Output
Key Performance indicators Target Performance Remarks

i)
ii)
iii)
95
b. Personal Attributes
Attribute Rating(1 to 10) Remarks
i) Attitude to work
ii) Leadership qualities
iii) Communication skills
iv) Sense of responsibility
v) Discipline
vi) Capacity to work in time given
vii) Team spirit
viii) Inter-personal relations
ix) Overall bearing and personality
c. Functional Competence
Competence Rating (1 to 10) Remarks
Quality of work
Analytical ability
Knowledge of rules/ regulations/
procedures in function
Decision Making Ability
Strategic planning ability
Performance vis-a vis workload
d. Pen-Picture of the appraised EP/ YP by the Reporting Officer

Overall remarks on performance of Subordinate
Mention significant contributions,
personal achievements, other
accomplishments
Mention areas for development
Overall Score (out of 10)
Name of the Assessing Officer (Designation)

Countersigned by Head of the Subject Officer (Division)
96
Table- VII
List of Cities/Towns Eligible for Higher Rates of Transport Allowance on Re-classification

of Cities/Towns as per Census-2011 (w.e.f 01.04.2015)
Srl. Name of the States/Union Territories Name of the City/Town
No.
1. ANDAMAN & NICOBAR ISLANDS --
2. ANDHRA PRADESH/TELANGANA Hyderabad (UA)
3. ARUNACHAL PRADESH --
4. ASSAM --
5. BIHAR Patna (UA)
6. CHANDIGARH --
7. CHATTISGARH --
8. DADRA & NAGAR HAVELI --
9. DAMAN & DIU --
10. DELHI Delhi (UA)
11. GOA --
12. GUJARAT Ahmadabad (UA), Surat (UA)
13. HARYANA --
14. HIMACHAL PRADESH --
15. JAMMU & KASHMIR --
16. JHARKHAND --
17. KARNATAKA Bangalore/ Bengaluru(UA)
18. KERALA Kochi (UA), Kozhikode (UA)
19. LAKHADWEEP --
20. MADHYA PRADESH Indore (UA)
97
21. MAHARASHTRA Greater Mumbai (UA)

Nagpur (UA), Pune (UA)
22. MANIPUR --
23. MEGHALAYA --
24. MIZORAM --
25. NAGALAND --
26. ODISHA --
27. PUDUCHERRY/PONDICHERRY --
28. PUNJAB --
29. RAJASHTHAN Jaipur (UA)
30. SIKKIM --
31. TAMIL NADU Chennai (UA), Coimbatore (UA)
32. TRIPURA --
33. UTTAR PRADESH Ghaziabad (UA), Kanpur (UA),
Lucknow (UA)
34. UTTRAKHAND --
35. WEST BENGAL Kolkata (UA)
V. Internship scheme in NHAI and invitation for participation in

training/workshops/seminars /conferences organized by external
agencies
[See NHAI Policy Circulars 1.3.1.13/2017 dtd. 14.07.2017, 1.3.1.16/2018 dtd.

01.02.2018 and CD-14030/04/2012-Coord dtd. 23/26.11.2012issued by the MoRTH
read with OM 3/6/2011-PMU dtd. 29.10.2012 issued by DoE in MoF, GoI and D.O.
12(51)/2001-EEC(Coord) dtd. 9/10.07.2001]
A. Internship Scheme
1. Introduction
1.1 The National Highways Authority of India (NHAI) was constituted by an
Act of Parliament, namely, the National Highways Authority of India Act,
1988. It is responsible for development, maintenance and management
98
of National Highways entrusted to it and for matters connected therewith

or incidental thereto.
1.2 Following guidelines are hereby laid down for accepting and engaging
Interns to provide an opportunity to the young students to learn and
operate in a real-life environment and simultaneously enhance and
supplement the manpower capacity of NHAI to that limited extent. This
would help in equipping these young students with practical knowledge
and skills in fields such as Project Design and Appraisal, Procurement,
Project Management and Monitoring, Land Acquisition, Performance
Management, Contract Management, Legal, Finance, Administration and
IT Applications etc.
2. Interns
2.1 Students pursuing Graduation/Post-Graduation/Research from any
recognized University/Institution within India or abroad would be eligible
for being positioned as Interns. Eligibility criteria would be defined by the
concerned Division at the Headquarters. An Interns will be eligible for a
stipend of Rs.5,000/- per month and the period of internship shall be for
a maximum period of two months. He/she will get the reimbursement of
the expenditure incurred on tour assigned to him/her during the
internship, if any. One student/candidate shall be allowed Internship only
once in the NHAl.
2.2 The Interns are expected to contribute in the functioning of NHAI by way
of their inputs such as empirical analysis, briefing reports, papers, etc.
Internship shall be available throughout the year based on the
requirements of the applicants and the NHAI.
2.3 The total number of interns may be capped as under:

 Two Interns (Civil Engineering) for each RO at a time (Max. of 12
interns per academic year i.e. July to June).
 One Intern (Civil Engineering) for each PIU at a time (Max. of 6 interns
per academic year i.e. July to June).
 Ten Interns for NHAI HQs (two each for HR/Admn., Finance, Legal,
IT and LA/Environment)
N. B. - This number may be reviewed as and when required

based on the experience gained in this behalf. However, Chairman
shall be competent to permit any variation in the total number of
interns depending upon the need and justification.
99
2.4 Selection criteria may be further defined for specific positions depending
on the specific requirements and circumstances.
3. Procedure for selection of Interns:

3.1 The basic eligibility for accepting Interns in NHAI will be as under:
(i) Currently studying in the final year or pre-final year/ semester of their
course;
(ii) Should have obtained overall 70% marks or equivalent grade in all
the previous yearly/ semester examinations and no backlogs (re-
appears) of any subjects.
(iii) Can apply for internship only once during one's academic career.
3.2 Applications will be invited through the Heads or designated authority of

the UGC/ AICTE/ Government approved Universities/
Institutions/Colleges/, online by sharing a link with them (not the
students). They will, in turn short-list the eligible students and forward
their names to the NHAI through email/ using the on-line submission
system. Applications, as per prescribed format, from such short-listed
and notified students will be received online by NHAI through the link.
3.3 NHAI shall publish the Internship Scheme on its website www.nhai.org
for information of all the UGC/AICTE/Government approved
Universities/ Institutions/Colleges.
3.4 All applications received online will be forwarded to the concerned Heads
of Divisions in NHAI for further scrutiny and selection.
3.5 Depending upon the number of applications received against a particular

domain/ area, NHAI reserves the right to fix-up the eligibility criteria, limit
the number of applicants to be called for a particular period and to decide
about the mode of screening thereof.
3.6 After selection of the candidates, the concerned Division will send the
offer of Internship to the applicant directly to the selected candidate under
intimation to the Administration and to the Institution/ Colleges/
Universities sponsoring such candidate.
3.7 At the time of joining on selection, applicants shall be required to produce

a letter from their Supervisor/ Head of Department/ Principal, indicating
100
their status in the institution and "No Objection" for allowing their student
to undergo internship for the period for which he or she is selected.
3.8 The attendance record and the details of work supervision shall be
maintained by the respective Heads of the Divisions.
3.9 The conduct of the interns and their access to data shall be the sole
responsibility of the concerned Head of the Division.
3.10 At the end of the Internship, the student shall be required to submit a
copy of the Project Report to his controlling/ reporting officer in NHAl.
3.11 Upon successful completion of Internship, a Certificate as per proforma

below shall be issued under the signatures of the concerned Controlling
Officer.
B. Training/workshop/seminar/conference abroad, organized by any external

agency
1. Introduction
The Department of Economic Affairs (DEA) in the Ministry of Finance is the nodal
Department in GOI dealing with the external aid. Approval of this Department is
necessary for any officer to participate in any
training/workshop/seminar/conference abroad, organized by any external
agency. All communications/invitations for participation in such events must,
therefore, be addressed to DEA rather than to the officers directly. Consistent
with the need to have coherence of policy in regard to these matters the
procedure for being outlined below may be followed for securing nominations for
such seminars/workshops/trainings/conferences.
(i) Invitation to participate as a 'Resource Person' in events organized by

external Agencies.
 For a resource person outside of the Government, invitation may be

extended directly under Intimation to DEA.
 In case the resource person is already identified for the reason of his pre-
eminent expertise in an area and is a government functionary, invitation
may be extended to the individual through DEA and a copy may be
endorsed to the individual for his information and to the State
Government concerned, in case the resource person is working with the
state Government/or to the concerned Administrative Ministry, in case of
101
an officer working with the Central Government to facilitate his seeking

necessary approvals including that from DEA.
 In case the resource person is expected to present a view point or make
a presentation on a specific sector or project or policy of the Government,
request should be sent to DEA for nominating one or more suitable
officers for making such presentations. No direct Invitation should be sent
to any individual officer. The external agency may in its discretion,
suggest names of the individuals who have excelled in the relevant field
for consideration of DEA who will consult the relevant
Ministries/organizations/State Governments before finalising the
nomination(s).
(ii) Invitation for Participation in

training/workshops/seminars/conferences organized by external
agencies.
(a) Project related training
 All project related training proposals should originate from the

concerned project Authority through concerned Ministry/State
Government specifying clearly the objective of the training, contents
and names of the training agencies/institutes. These proposals
should be in accordance with the provisions in the relevant project
documents. DEA's prior approval is required in all such cases.
 All invitations should be sent to the DEA indicating the nature of the
programme, requirements with regard to educational qualifications,
experience etc. of the participants.
 If participation from particular projects(s) is desired for a sector

specific seminar/workshop being organized by an external agency,
the invitation must be addressed to DEA with a copy to the Central
Administrative Ministry/State Government.
 In Such cases after receipt of the request from the external agency,
the DEA will identify suitable officers in consultation with the
concerned authorities, including Central Ministries and the State
Governments. No invitation should be sent directly to any officer.
(b) Training not related to Project
 If the training/workshop/seminar/conference being organized is not

related to any on-going or forthcoming project, the external agency
102
may extend invitations directly under intimation to DEA if the invitee

is not a government functionary.
 If the invitation is meant for Government officers, the request should
be addressed to the DEA specifying the requirements of educational
qualifications, job requirements, experience etc. DEA will nominate
suitable officer(s) for the training in consultation with the concerned
Ministry or State Governments as the case may be.
 All general training proposals may kindly be sent two to three months
in advance to enable this Department to give due publicity so as to
identify suitable officers for these training programmes.
103
Format of Internship Completion Certificate

(To be given on Letter Head)
Dated:
TO WHOM SO EVER IT MAY CONCERN
This is to certify that <Mr. / Ms.>

........................................................................................a student of <University /
Institution> has successfully completed <his/her Internship with NHAI, Government
of India from ............................................. to........................................ During the
period of Internship he/ she worked under........................................................ on the
following areas.
(i)
(ii)
2. <He / She> has shown special interest for...........................................................

and <his / her> performance during the internship has been rated as <exemplary
/ satisfactory / poor>. The final report submitted by <him / her> has been rated
as........................................
3. During the period of <his her> internship programme he / she> was punctual
and hard working.
4 I wish <him / her> every success in <his / her> life and career.
Signature
Name & Designation of the Issuing Officer/ Authority
104
VI. Annual performance appraisal report (APAR) on NHAI sparrow

platform and issues related thereto
[See NHAI Circulars 11041/217/2007-Admn. Dtd. 17.06.2013, 11027/1/2005/CR/HR-III
dtd. 13.04.2021, DoP&T OM No. 21011/1/2005-Estt (A) (Pt-II) dated 14.05.2009 and
23.07.2009]
Channel of Submission of APAR
Designation Reporting Officer Reviewing Officer Accepting Officer
Hon’ble Minister
Member (Tech) Chairman, NHAI Secretary (MoRTH)
(MoRTH)
Chief General Hon’ble Minister

Member Chairman, NHAI
Manager (Tech) (MoRTH)
Chief General
Manager (Admn.) & Member/Chairman Chairman
(Fin)
Chief General
General Manager Member/Chairman
Manager/Member
Deputy General Chief General

General Manager
Manager Manager/Member
Deputy General General Manager /

Manager Manager / General Chief General
Manager Manager
Manager (Fin)/ A.O. PD / GM CGM (Fin)
PD / General
JAO / Accountant Manager (Fin) / A. O.
Manager
JAO / Accountant
(Where no Manager PD / GM CGM (Fin)
(F)/ A.O. posted)
Assistant Programmer Manager/ Deputy

General Manager
/ Asst. Manager General Manager
105
Designation Reporting Officer Reviewing Officer Accepting Officer
These may be
reviewed at the level
of GM, only in case
Private Secretary / the Officers to whom
Officer to whom
Personal Assistant / they are below the
attached
Stenographer / level of GM.
Otherwise, there will
be only one level in
such cases.
A. APAR Formats
(a) Form - 1 - For Members and CGMs in non-technical cadre
(b) Form - 2 - For Members and CGMs in technical cadre
(c) Form – 3 - For GMs and below level officers in non-technical cadre
(d) Form - 4 - For GMs and below level officers in technical cadre
(e) Form - 5 - For Secretarial officers and employees
(f) Form - 6 - For Staff (other than Secretarial and Finance personnel)
(g) Form - 7 - For Finance Personnel (Regular and Deputationists)
(h) Form - 8 - For Finance Personnel working in contract basis
2. Officers and employees on deputation to NHAI should use the APAR format of
NHAI only. However, in case of parent department insist that APAR should be rendered
in the format prescribed by them, in such cases the officers and employees may fill their
APAR in the format prescribed by their parent department(s).
3. The gradings have been revised in line with DoP&T OM No. 21011/1/2005-Estt
(A) (Pt-II) dated 23.07.2009 as below:
Grading Rating and average score for promotion/ upgradation /

appointment/ empanelment, etc.
Between 8 and 10 Outstanding / Score : 9
Between 6 and short of 8 Very Good / Score :7
Between 4 and short of 6 Good / Score :5
Below 4 Zero
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4. The Reporting/ Reviewing officer should strictly follow the gradings prescribed
in the APAR format.
5. Generally, the immediate superior officer will initiate the APAR’s which will be
reviewed by the next superior officer, except in the cases where the channel of
reporting in respect of any officer or employee has been specified otherwise.
Further, in case any officer is not available in hierarchy of channel of reporting,
the next higher officer will report the APAR, which will be reviewed by an officer
senior to the reporting officer.
6. The APAR of the Members will be reported by the Chairman, reviewed by the
Secretary (RT&H) and accepted by Hon’ble Minister (RT&H). The APAR of CGM
(Tech.) will be reported by the concerned Member, reviewed by the Chairman
and accepted by the Hon’ble Minister (RT&H). In all other cases, there will be
only two levels of submission, i.e. report and review.
7. In case the APAR of an officer or employee upto the level of Manager is reported
directly by a CGM of Regional office, such APAR will be reviewed by the CGM
of HQ. In case the officer reports directly to CGM at HQ, the APAR will be
reviewed by the Member concerned. The APAR of the Finance personnel
working in the PIUs/ CMUs will be reported by the Project Director and reviewed
by the Regional Officer. The APAR of Finance personnel working in Regional
Offices will be reported by DGM/ GM of Regional Office and reviewed by the
Regional Officer.
8. Where no CGM is posted in Regional Office, CGM of HQ/concerned Member

(as the case may be) looking after the State will report/ review the APAR, as per
prescribed channel of reporting.
9. In case of APAR of the secretarial officer and employee is reported by an officer

below the rank of GM, in such cases the APAR will require to be reviewed by an
officer (not below the rank of GM) of the concerned Division/office.
10. There will be no APARs for Group- D’ staff and long term/ short term contract
employees, except finance personnel (Accountant/ Jr. JAO / Manager (Fin.) etc)
and technical officers working on long term contract basis.
11. MoRT&H vide OM No. 28022/2/2010- E.I (B) (pt.) dated 10.01.2013 has directed
that Hon’ble Minister (RT&H) has desired that all officers of NHAI should make
special efforts to achieve targets under various schemes of the NHAI for the
preceding Financial year and also that a special focus should be made on
fulfilling the targets set for award and construction of road projects. It has been
observed by the Hon’ble Minister that the performance of the officer with respect
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to targets entrusted to him should be taken into account while evaluating him for
making entries in his APAR.
12. The Reporting Officer and Reviewing Officer are, therefore, advised to evaluate
the performance of their subordinate officers/ staff members with respect to
targets set for them. The Reporting Office and Reviewing Officer should
specifically enter their remarks in appropriate column in Online APAR sheet
while writing / reviewing overall performance of officer/ staff member for the
period of under report.
13. The APARs in respect of regular and finance personal working on long term
contract basis are forwarded to their SPARROW Inbox in due course of time
from Financial Year 2019-20 onwards in line with the DoP&T OM No.
21011/1/2005-Estt (A) (Pt-II) dated 14.05.2009, as amended from time to time.
14. Matters with respect to which no provisions have been made by NHAI will be
governed by the instruction issued by the Central Government in this regard,
from time to time.
15. General Instructions for online writing of APAR in SPARROW:
a. Officers should open the url sparrow.nhai.gov.in preferably in all browser.

The software runs smoothly on chrome browser and thus it is
recommended.
b. The ‘Smart Performance Appraisal Report Recording Online Window’

screen will open up which is essentially a login screen for SPARROW. The
screen will have three fields “Username”, “Password and “Captcha”.
c. The username will be NIC email Id created for this purpose.
d. The password for the application will be same as intimated by NIC over SMS
which has to be changed by the user on Log-in.
e. It is mandatory for all employees to link their Aadhaar Number with the
functional mobile number for e-signing the APAR. A screen would appear
where the officer has to enter Aadhaar number and press Verify and update
button. On pressing, an OTP number will be generated and sent to the
registered mobile. Once this OTP number is fed, the Aadhaar number will
get verified and the SPARROW screen would open.
f. The basic function of the PAR Manager is to define the work flow. The PAR
Manager has to click the tap “workflow” on the left hand side the screen and
then click Create/ update link. The officer’s workflow is to be generated,
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using employee code. The PAR manager would then enter the Reporting
Authority and Reviewing Authority by searching them using their employee
codes and save the workflow.
g. After generation of workflow, the Custodian will generate APAR for the
Officer Reported Upon. Further Custodian will fill the Section-I of PAAR with
details like leaves taken, trainings attended etc. and forward it to the Officer
Reported Upon after e-signing based on OTP received on his linked mobile.
h. Further, the Officer Reported Upon will then write Section –II of APAR and
forward it to the Reporting Officer after e-signing.
i. The Reporting Officer will then fill Section-III of APAR and give grades to
the Officer Reported Upon after e-signing.
j. The Reviewing Officer would then update the numerical grading in tables of
Section III and fill after e-signing, The Reviewing Officer would send APAR
to the Accepting officer or the Custodian, as the case may be.
k. The Accepting Officer, wherever applicable would then record his remarks
and after e-signing, send APAR to the custodian.
l. Custodian will then forward it to the Officer Reported Upon.
m. The Officer Reported Upon can either accept the APAR or can put the APAR
for representation. In case the officer accepts the APAR would go to
Custodian for closure.
n. In case the Officer chooses the option for “Put for representation” the APAR
would be sent to CUSTODIAN who will send it to Competent Authority for
decision through Reporting and Reviewing officers. The Competent
Authority will upload the orders and will forward the same to Custodian who
will communicate it to the Officer Reported Upon.
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VII. Submission of Quarterly Performance Appraisal Report (QPAR) for

1st Quarter of every financial year and subsequent Quarters in
respect of NHAI Employees through SPARROW
[See NHAI Circular NHAI/11027/1/2005/CR/HR-III dtd 20.07.2021]
1. Channel of Submission of QPAR
Designation Reporting Officer Reviewing Officer Accepting

Officer
Chief General
General Manager Member/Chairman
Manager/Member
Deputy General Chief General
General Manager
Manager Manager/Member
Deputy General
General Manager / Chief
Manager Manager / General
General Manager
Manager
Manager (Fin)/ A.O. PD / GM CGM (Fin)
Manager (Fin) / A.
JAO / Accountant PD / General Manager
O.
JAO / Accountant
(Where no Manager PD / GM CGM (Fin)
(F)/ A.O. posted)
Assistant
Manager/ Deputy
Programmer / Asst. General Manager
General Manager
Manager
These may be reviewed at
the level of GM, only in
Private Secretary / case the Officers to whom
Officer to whom
Personal Assistant / they are below the level of
attached
Stenographer / GM. Otherwise, there will
be only one level in such
cases.
2. QPAR Format for GM & below level Officers only:

i. FORM for ADMN.-Cadre
ii. FORM for FINANCE-Cadre
iii. FORM for IT-Cadre
iv FORM for Legal-Cadre
v. FORM for TECH.-Cadre
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3. The timelines for recording of the Quarterly Performance Appraisal Report

(QPAR) in respect of Quarter – 1 of every financial year and subsequent
Quarters in respect of NHAI Employees through SPARROW is as given in the
table below:
Date by which Date by which

QPAR (1st Quarter subsequent
Sl.No. Activity of 2021-22) QPARs activities
activity to be to be completed
completed
Creation of Work Flow by PAR 7th day of July,
i)
Manager October, January
Completion of Section 1 by Custodian 02.08.2021 and April
ii)
and online generation of QPAR
Submission of self-appraisal to 17th day of July,
iii) Reporting Officer by officer Reported 16.08.2021 October, January
upon. and April
22nd day of July,

Forwarding of report by Reporting October, January
iv) 22.08.2021
Officer to Reviewing Officer. and April
30th day of July,

Forwarding of report by Reviewing October, January
v) 31.08.2021
Officer to APAR Cell. and April
4. Process of Online writing of QPAR for NHAI Officers and Employees

For filing the QPAR online, the Officer has to access SPARROW by logging into
sparrow.nhai.gov.in. The flow chart of QPAR in electronic environment and general
instructions for filing the QPAR online are at para 4 and 5 below respectively. User
manual, DSC Handbook and guidelines on SPARROW are available in ‘Help’ section
after login. The Process of filing QPAR online is explained as under:
i. The Officers on position as on closing date of the respective quarters will
determine the status of Reporting / Reviewing Authority.
ii. The Cadre Controlling Division shall furnish the complete details as required in
Part–I of the QPAR as well as details of Reporting /Reviewing Authorities. Special Care
should be taken to ensure the correctness of the names & period of supervision by each
of the Reporting /Reviewing officers. The correctness and completeness of this
information is essential to decide the creation of QPAR by the PAR Manager and
Custodian. These details are to be sent in respect of all employees including those on
deputation/contract and also the employees who have gone on long leave / training to
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PAR Manager through e-mail hkgoswami@nhai.org with a cc to

bijoygopal@nhai.org as per timelines.
iii. Based on the details submitted by the Cadre Controlling Division, the PAR
Manager shall create the Workflow for all employees after logging into the Sparrow
account.
iv. The work flows created by the PAR Manager will be automatically available with
the Custodian. The Custodian should carefully examine if the Work Flow created for
QPAR is correct based on details given by Cadre Controlling Division and if Work Flow
needs amendment, he should delete the Work Flow and create the new Work Flow. The
Custodian should also complete all the details in Part-I. Care should be taken in filling
the name & correct period of supervision by Reporting / Reviewing officers. The
Custodian should complete the Part-I in respect of all employees so that the QPAR is
generated and sent to the Officers Reported Upon electronically after e-signing as per
timelines.
v. The QPAR generated shall be available in the inbox of the officer Reported Upon
who should complete the Self-Appraisal in Part-II in all respects and forward the same
to the Reporting Officer after e-signing as per timelines. In case, the officer does not
forward his QPAR timely, it will be force forwarded electronically by the Custodian to the
Reporting Officer for appraisal without resume.
vi) The Reporting officer shall appraise the officer reported upon in Part-III of QPAR,
complete in all aspects and forward the same to the Reviewing Officer after e-signing
as per timelines. In case, the Reporting Officer does not forward the QPAR timely to
Reviewing Officer, it will be force forwarded by the Custodian to the Reviewing Officer.
vii) The Reviewing Officer shall appraise the officer reported upon in Part-III of
QPAR for numerical grading and complete the Part-IV in all respects and forward the
APAR to the Custodian after e-signing as per timelines. In case, the Reviewing Officer
does not appraise the QPAR timely, he/she will forfeit his right to review and the
Custodian will proceed with the disclosure to the officer.
viii) The Custodian shall disclose the completed QPAR to the Officer Reported Upon
as per the timelines electronically.
ix) In case of any problem being faced related to SPRROW/ QPAR filing, the officer
can send an e-mail giving details of problem being faced to the Helpdesk at e-mail ID
i.e. sparrowhelpdesk@nhai.org or they can contact Helpdesk telephonically (Tele
No.1312). The Help Desk shall revert within 24 hours to resolve the issue.
5. Officers and Employees on deputation to NHAI shall also follow these
instructions.
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6. Work Flow of QPAR in SPARROW:
Cadre Controlling Division

(Offline)
PAR Manager
(Create Workflow)
Workflow for
APAR
Custodian Custodian APAR Represented

(Issue of NRC) (Completion of Part – I)
Communication to Officer
Custodian
Officer Reported Upon. Officer Reported Upon

(Fill Part-II in QPAR)
Reporting Officer
(for comments)
Reporting Officer
(Fill Part – III of QPAR)
Reviewing Officer
(for comments)
Reviewing Officer
(Completing Part-III & Part-IV of
the QPAR
Accepting Officer Competent Authority

Custodian
(If, applicable)
Decision on
Representation
Custodian Officer Reported Upon Custodian

(Closure)
QPAR Accepted
Communication to Officer
Officer Reported Upon

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7. General instructions for online writing of QPAR in SPARROW:
i. Officers should open the url sparrow.nhai.gov.in preferably in all browser. The
software runs smoothly on chrome browser and thus it is recommended.
ii. The ‘Smart Performance Appraisal Report Recording Online Window’ screen will
open up which is essentially a login screen for SPARROW. The screen will have
three fields “Username”, “Password and “Captcha”.
iii. The username will be NIC email Id created for this purpose.
iv. The password for the application will be same as intimated by NIC over SMS
which has to be changed by the user on Log-in.
v. It is mandatory for all employees to link their Adhaar Number with the functional
mobile number for e-signing the QPAR. A screen would appear where the officer
has to enter Adhaar number and press Verify and update button. On pressing,
an OTP number will be generated and sent to the registered mobile. Once this
OTP number is fed, the Adhaar number will get verified and the SPARROW
screen would open.
vi. The basic function of the PAR Manager is to define the work flow. The PAR
Manager has to click the tap “workflow” on the left hand side the screen and then
click Create/ update link. The officer’s workflow is to be generated, using
employee code. The PAR manager would then enter the Reporting Authority and
Reviewing Authority by searching them using their employee codes and save the
workflow.
vii. After generation of workflow, the Custodian will generate QPAR for the Officer
Reported Upon. Further Custodian will fill the Section-I of PAR with details like
leaves taken, trainings attended etc. and forward it to the Officer Reported Upon
after e-signing based on OTP received on his linked mobile.
viii. Further, the Officer Reported Upon will then write Section –II of QPAR and
forward it to the Reporting Officer after e-signing.
ix. The Reporting Officer will then fill Section-III of QPAR and give grades to the
Officer Reported Upon after e-signing.
x. The Reviewing Officer would then update the numerical grading in tables of
Section III and fill after e-signing, The Reviewing Officer would send QPAR to
the Accepting officer or the Custodian, as the case may be.
xi. The Accepting Officer, wherever applicable would then record his remarks and
after e-signing, send QPAR to the custodian.
xii. Custodian will then forward it to the Officer Reported Upon.
xiii. The Officer Reported Upon can either accept the QPAR or can put the APAR for
representation. In case the officer accepts the QPAR would go to Custodian for
closure.
xiv. In case the Officer chooses the option for “Put for representation” the QPAR
would be sent to CUSTODIAN who will send it to Competent Authority for
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decision through Reporting and Reviewing officers. The Competent Authority will
upload the orders and will forward the same to Custodian who will communicate
it to the Officer Reported Upon.
VIII. AIPR (Annual Immovable Property Return) in the NHAI

[See NHAI Circular 1.3.2.24/2018 dtd. 15.03.2018 and DoPT’s OM No. 26/01/2018-
CS.I(PR/CMS) dtd. 30.12.2020]
A. Statutory provisions :
(i) In terms of Rule 18 of the Central Civil Services (Conduct) Rules, 1964
Immovable Property Returns (IPR) as on 31 Dec of each calendar year
every Government servant is required to submit by the employees before
31 Jan of the succeeding year.
(ii) As per NHAI (Conduct, Discipline and Appeal) Regulations, 1997, every
officer and employee of NHAI shall submit Return of Assets and
Liabilities of Immovable properties set out in Third Schedule.
B. Directions from CVC :
CVC, Vide it’s Office Memorandum No. 033/SHT/031-362386 dated 10.11.2017

has advised NHAI that the details of Annual Property Returns and financial
transactions may be obtained in respect of all officers working on deputation in
NHAI at the time of joining NHAI from their respective cadre controlling
authorities and also to digitize the data including any addition / deletion as per
respective Annual Property Returns.
C. Submission of AIPR (Annual Immovable Property Return) in the NHAI

online portal:
1. In terms of Rule 18 of the Central Civil Services (Conduct) Rules, 1964

Immovable Property Returns (IPR) as on 31st December of each
calendar year is required to be filed by the employees before 31st
January of the succeeding year.
2. Based on CVC guidelines for making online filing of property details at the
time of initial joining in NHAI and subsequent Annual Immovable Property
Returns (AIPRs) mandatory, it is intimated that IT Division has developed
an application for computerization of the same.
3. Online filing of AIPR for the year ending is mandatory and that offline
returns will not be accepted. Employees on deputation whose cadre
controlling authorities accept only offline applications may however,
submit offline returns by due date in addition to online filing of the same.
115
Further, the CSS officers currently on deputation at NHAI are requested

to file their online AIPR and submit a signed copy of the returns to AIPR
Cell for records. The officers are also informed that non-submission of
IPR within the stipulated date, would invite the denial of vigilance
clearance for empanelment, deputation and applying to sensitive posts
and assignment to training programme (except mandatory training) as
the IPR status needs to be checked for the said purposes.
4. For filing of AIPR employees may login to the link of nhai website
https://www.nhai.gov.in/#/ NHAI Functional Application →
HR/Administration Division → Annual Property Return with user ID and
password. The used id is a combination of six digit date of birth
(ddmmyy) followed by part of their name as per example given below and
password ‘nhai@123’. Instructions for filling AIPRs are given at Table - I
to this circular.
5. The details of immovable/movable property returns at the time of joining

in NHAI on deputation and direct Recruitment and financial transactions
in connection with acquiring and disposal of immovable/movable property
is handled by concerned cadre controlling Divisions. As such, details in
this regard uploaded by individual officers shall be handled by concerned
cadre controlling divisions for correctness vis-à-vis the documentation
already available in the personal files as per CCS (Conduct) Rules. For
enabling access to cadre divisions to the portal, “Cadreadmin” Panel is
made in the portal and password will be provided to each concerned
cadre division in due course.
6. After filing the AIPR for the year ending 20 __ as on 31.12.20__ in the
NHAI online portal of AIPR a signed copy of the returns may be submitted
to AIPR Cell for records.
7. The AIPR in respect of officers/officials on deputation in NHAI to be

forwarded by HR/Admn-III Division, NHAI (HQ) to their respective Parent
Department for their record.
8. The Officers/officials on deputation in NHAI filing AIPR in the portal of the

Parent Department to furnish the copy of the same to HR/Admn-III
Division, NHAI (HQ) for their record before the cut-off date.
116
Table - I
Sr. Steps
No.
1 Officer and employees who have already registered in the online portal of
AIPR login with password and if forgot password click password tab for
creating new password.
2 If the name and date of birth of an officer is Anuj Kumar Singh and 2 nd May
1964 respectively then the User-ID be 020564anuj and password in
“nhai@123”.
3 If the name and date of birth of an officer is Ram Kumar and 25th Jan 1978
respectively then the User-ID be 250178ramk and password is “nhai@123”.
4 If the name and date of birth of an officer is K V Sharma and 04 th January
1964 respectively then the User-ID be 040164k and password is
“nhai@123”.
5 If the name and date of birth of an officer is Col. Pankaj Kumar and 03rd May
1966 respectively then the User-Id be 030566col. (including dot) and
password is “nhai@123”.
6 If the name and date of an officer is Col. Ajay Singh and 26th April 1970
respectively then the User-ID be be 260470lt. (including dot)
7 If the name and date of birth of an officer is Col Ravi Rai and 25th June 1776
respectively then the User-ID be 25067colrt
8 The initial password is common to all officers/employees and it can be
changed at their discretion after logging in to the system.
9 User id and password as above has been created by IT Division. In case of
employees joining NHAI after issue of this circular, the cadre controlling
Division shall provide the details to IT Division for their further action. After
initial logging the screen shows three separate tabs as under:-
a) First Appointment details
b) Immovable property details.
c) Movable property details.
10 Employees shall complete the following details in “ First appointment details”
sub-head on his own immediately after first login:-
a) Father Name.
b) Category and NHAI employee code.
c) Contact details and email-id.
d) Correspondence address and Permanent address.
e) If deputation, designation in last organization.
f) Present pay.
g) In case of deputation, contact details of cadre controlling officer of
parent department to whom return is required to be forwarded.
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IX. Group Life Insurance for the Employees of NHAI

[See NHAI Circulars 11041/27/2005-Admn.III dtd. 22.08.2005, 11041/27/2005-Admn
dtd. 06.03.2014, 1.3.2.25 dtd. 02.07.2018 and 1.3.2.32 dtd. 22.05.2021]
1. Coverage
All regular officers/employees of NHAI, officers on deputation to the Authority
and all long- term –contract employees, who are in active service of the
Authority, are covered under the scheme.
2. Sum Assured
Uniform Insurance coverage of Rs. 20.00 Lakhs. For deputationists, the
insurance cover will be reduced by the sum for which they are already insured
in their Parent Organization.
3. Risk Covered
Death arising due to illness, accident and natural causes except suicide in the
first year of the policy.
4. Exclusions
Officers/employees on deputation to other organizations, short term contract
employees appointed through the placement agencies or directly by the project
Directors and those on leave on medical grounds for 180 days or more are not
covered by the Group Life Insurance Policy. For keeping the membership
intact, officers/employees on medical leave are required to join duty for a day
before expiry of the ceiling of 180 days.
5. Termination of membership
Membership of the Policy shall be deemed to have terminated on the day one
ceases to be an employee of the Authority due to attaining age of
superannuation, repatriation to the parent organization, termination of contract
and proceeding on leave on medical grounds exceeding 180 days.
6. Enrolment
New employees joining the Authority shall be enrolled as a member from the
date of their joining. Similarly, those returning from leave exceeding 180 days
shall be enrolled as a member of the Policy subject to the employee furnishing
a certificate of good health and his/ her being found fit by the Doctor of the
Insurance Company.
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7. Settlement of Claim
In the unfortunate event of death, the nominee of the deceased employee shall
be entitled to receive a sum of Rs. 5 Lakh or 4 lakh, as the case may be
depending upon the scale of pay in which pay had been drawn. For this
purpose, all officers/ employees have to nominate a member of their family in
the proforma below, who shall be entitled to receive the sum assured. The
nominee of the deputationist officer shall be entitled to receive the sum assured
minus the sum assured in his/her parent organization.
8. Payment of Premium
The Authority has decided to pay the premium to the Insurance Company
without requiring any contribution from its officers/ employees.
9. Budgetary Provisions
Consequent upon decision taken in the 97th Meeting of the Authority held on
22nd October, 2013, the Group Insurance Scheme for NHAI’s Employees shall
be funded through Annual Budget of NHAI w.e.f. January, 2014.
119
Application format for enrolment
1. Name of Officer :
2. Designation :
3. Scale of Pay :
4. Date of Birth :
5. Date of appointment in NHAI :
6. Date of superannuation :
7. Nature of appointment :
(Regular/Deputation/Contract)
8. In case of deputation/ contract :
Employment, date upto which appointed
9. i) Name of Parent organization (In case of :

deputationist)
ii) Amount for which insured in the parent :
organization
10. i) Name, relationship and address of the :

Nominee
ii) Name relationship and address of the :
person to whom the right of nominee shall
pass in the event of his/her predeceasing
(Signature of the officer with date)
Witness :
i)
ii)
120
X. Consolidated emoluments payable to the short term contract

employees in NHAI engaged through Agencies
[See NHAI Circulars 1.3.3.26 dtd. 13.08.2018, and 11041/1/2000-Admn. III (E.F-89097)
dtd. 13.08.2021, 11041/01/2000-Admn. dtd. 21.01.2013, dtd. 28.05.2012 and
11012/11/99-Admn. Dtd.17.07.2008]
The consolidated emoluments payable to the short term contract employees
engaged through Placement agencies along with classification of their posts in NHAI
as under:-
S.No. Name of Post Classification Consolidated emoluments

Payable per month (in Rs.)
(a) Accountant Skilled 31,000/-
(b) Stenographer Skilled 27,100/-
(c) Office Assistant / Semi skilled 23,100/-
Computer Operator
(d) Peon Unskilled 19,100/-
(e) Chowkidar Unskilled 19,100/-
(f) Safaiwala (Part Time) Unskilled 9,550/-
2 The above mentioned consolidated emoluments or minimum wages revised by
the Central Govt. / Concerned State Govt., whichever is higher, shall be paid to the short
term contract employees engaged through Placement Agencies.
3 The EPF/ESI (wherever applicable) at the prescribed rates shall continue to be

deducted by the placement agency/ agencies from the consolidated emoluments and
the equal amount towards EPF will be contributed by NHAI, which will be deposited by
the placement agency/ agencies with the concerned authorities. The payment of EPF,
ESI, Bonus etc., shall be regulated as stated in the Table below. It is also clarified that
in case EPF liability is not applicable in case of any Placement Agency (due to less
number of employees as per provision of EPF Act/ Rules in this regards, the same may
not be payable. In addition to the said consolidated emoluments, the applicable
statutory taxes at the prescribed rates and agency charges not exceeding 10% shall be
payable to the Placement Agency. The Placement agency should be selected on the
basis of the rate of agency charges quoted by them.
EPF Administrative charges @ 1.61% (0.5% EDLI Charges + 1.1% EPF Admin.
Charges + 0.01% EDLI Admn. Charges).
ESI Contribution from Employer @ 4.75%.
Bonus Payment of bonus as per payment of Bonus Act, 1965.

121
4 The consolidated emoluments prescribed above shall be reviewed after a period

of two years in the month of April.
XI. Compensation for victims

[See NHAI Circular 1.3.2.28 dtd. 06.03.2020]
Guideline to deal with claims for compensation to the victims/ families of the
victims who die or become permanently disabled due to negligence and/or
unforeseen causes at the workplaces in NHAI.
As an outcome of directions of Hon’ble Delhi High Court vide its order dated
09.07.2013 in FAO 154/2017 & CM No. 5185/2013, Department of Telecommunications
(DoT) framed guidelines to grant compensation to the victims/families of the victims who
die or became permanently disabled due to negligence and/or unforeseen causes at the
workplaces. Subsequently, the MoRT&H has notified its Policy vide letter No. A-
38020/1/2019-E.I dated 02.07.2019 on the lines of Department of Telecommunication
(DoT) and also forwarded the same to NHAI for adoption. Consequent to approval of
the Competent Authority, following guidelines to deal with settlement of claims of
compensation to the accident victims/ families to the victims who die or become
permanently disable due to negligence and/or unforeseen causes at office premises of
the NHAI and its field offices viz. ROs/PIUs etc. is hereby implemented in NHAI with
immediate effect:
1. Title : These guidelines would be called as Guidelines for Settlement of claims

for Compensation in case of incidents(s) in the course of provision of public
service in National Highways Authority of India (NHAI) and its field offices viz,
Regional Offices/ Project Implementation Unit & Site Offices etc.
2. Effective Date : These guidelines would be effective with effect from the date of
issue of the communication by NHAI for adoption of the Guidelines.
3. Applicability : These guidelines would govern the settlement of compensation

claims arising out of accidents resulting into loss of life or permanent disability of
the Members of general public visiting the premises of National Highways
Authority of India including its Regional Officer (ROs), Project Implementation
Unit (PIUs), for any official purpose and who may not be covered under any
Provisions/Rules/Guidelines for any compensation on account of their not being
an official of Authority or any other Organization/ Undertaking. Provided that an
Employee/Worker of the Contractor/Undertaking/Organization engaged by the
Authority, who is eligible for payment of such compensation under any existing
122
Law/Policy of the Contractor/Undertaking/Organization will not be covered under

the Guidelines.
4. Definitions :
(a) Accident : Any death or permanent disability resulting solely and directly
from any unintended and unforeseen injurious occurrence caused during
the maintenance, operation and provisioning of any public service
undertaken by the Authority.
(b) Competent Authority: Competent Authority means Chairman, NHAI or

any Member, NHAI to whom Power has been delegated by the Chairman
for the purpose of the present Guidelines.
(c) Authority: Means National Highways Authority of India and for the
purpose of the present Guidelines includes all its field offices viz.
ROs/PIUs.
(d) Dependent: As define in the Employee’s Compensation Act, 1923.
(e) Designated Officer : Means in the case of NHAI, HQ at Delhi, the

concerned CGM looking after the establishment at NHAI,HQ and in the
case of Regional Office/ Project Implementation Unit, the respective
Regional Officers of NHAI, under whose jurisdiction the accident has
taken place, shall be the Designated Officer for the purposes of receiving
and processing claims for compensation under the present Guidelines.
(f) Permanent Disablement: A disablement is a classified as a permanent

total disablement under the proviso to Section 2 (1) of the Employee’s
Compensation Act, 1923.
(g) “Premises” : Means an building or part of a Building belonging to or taken

on Lease or requisitioned by, or on behalf of, the NHAI and includes its
Regional Offices and Project Implementation Unit.
(h) “Victim” : Means any person who suffers permanent disablement or dies
in an accident as defined in these Guidelines.
5. Detailed Accident Report: The report prepared by the Police within a period of
30 days from the date of incident as per Schedule – I below of these guidelines.
123
Explanation : For the purposes of the preparation of the detailed accident report,
the word ‘injury’ as referred in Schedule- I below refers to ‘permanent disability’
as mentioned in clause 4 (f) of the Guidelines.
6. Extent of Liability : On the occurrence of any ‘accident’ as defined under these

Guidelines, the Authority shall whatever or not there has been any wrongful act,
neglect or default on its part and notwithstanding anything contained in any other
law, be liable to pay compensation to such extent as prescribed below:
(i) In the event of death or permanent disability resulting from loss of both
(limits : Rs. 10,00,000/- (Rupees Ten Lakh Only)
(ii) In the event of other permanent disability: Rs. 7,00,000/- (Rupees Seven
Lakh Only).
7. Procedure for settlement of claims in respect of compensation :
(I) The victim or his/her dependents would make an application within a period
of 90 days of the accident to the Designated Officer under whose jurisdiction
the accident had occurred. An undertaking is to be given by the applicant that
no other claim before another Government entity has been made for the loss
of life/injury resulting from the accident for which the claim in submitted to a
particular Government entity. The application should be accompanied by the
following documents :
(i) Proof of age of the victim

(ii) Death Certificate of the Victim or Permanent disability Certificate issued
by the Medical Board authorized by the Government.
(iii) Certified Copy of FIR lodged in respect of the accident.
(iv) Proof of applicant’s relating with the Victim/Dependency Certificate.
(v) Detailed Accident Report.
(II) The Designated Officer may seek any further document(s) for settlement of
claim to his/her satisfaction.
Provided that where are more than one dependent, the applicants must
mention their names, addresses and relations with the victims and the
Designated Officer may at his/her own discretion issue notices to all before
releasing the compensation.
The Designated Officer on receipt of above application shall take into

consideration the Detailed Accident Report submitted by the Police Authority
and would process the claim of compensation on priority basis but would not
taken more than 30 days of disposing off the same in any case.
124
(III) The Designated Officer, in case where no application is received from the
victim/ dependents of victims, may, on receipt of the Detailed Accident
Report, process sub-moto to initiate the process for consideration for grant
of the compensation to the victim/dependents of victim. The cash payment
should be restricted and all the payments should be made through bank
mode/ electronic transfer.
(IV) With effect from the date of the present Guidelines, all contracts/agreements
to be entered into by the Authority with any person, agency or firm for
maintenance, operation and provisioning of public service would invariably
include a clause whereby any compensation paid under these guidelines
shall be recoverable from such person, agency or firm.
(V) In no case, a claim for appointment of any of the dependent to a post in

Authority on the compassionate grounds would be entertained by the
Authority.
8. Method of Disbursement of compensation:
(i) The amount of compensation so awarded shall be issued after obtaining

approval of the Competent Authority and deposited in a Nationalized Bank
or if the branch of a nationalized bank is not in existence, it shall be deposited
in the branch of a Scheduled Commercial bank, in the joint or single name of
the victim/dependent(s). Out of the amount so deposited, 75% (seventy five
percent) of the same shall be put in the fixed deposit for a minimum period
of one year and the remaining 25% (Twenty five percent) shall be available
for utilization and initial expenses by the victim/ dependent (s) as the case
may be.
(ii) In the case of minor, 75% of the amount of compensation so awarded shall
be deposited in the fixed deposit account and shall be drawn only on
attainment of the age of majority, but not before one year of the deposit,
provided that in exceptional cases, amounts may be withdrawn for
educational or medical need of the beneficiary at the discreation of the
Authority.
(iii) The interest on the sum shall be credited directly by the bank in the saving
account of the victim/dependent(s) on monthly basis.
125
9. Appeal: An appeal against the decision of the Designated Officer in respect of

the amount of Compensation or rejection of such claim shall be made to
Competent Authority within a period of 30 days of such decision. The Competent
Authority would decide the same within 30 days of receipt of such appeal.
10. Safeguard: The compensation scheme will be applicable subject to the condition
that victims or his/her legal heirs should not have been in receipt of any
compensation for the same loss or injury from any Government Authority(ies).
SCHEDULE – 1
PART-1 : Particulars of the Accident

1. FIR No… Date and relevant Section
2. Name of the Police Station with complete

address
3. Date, Time, Place of the accident
4. Who reported the accident to the Police?
Name of the person who took the victim
5. to the hospital and name of the Hospital
with complete address
6. Whether any Hospital denied treatment to
the Victim?
Nature of the accident:-
7. (i) Whether resulted in death or injury or

both?
(ii) Number of persons injured/died.
8. Name and Contact No. of the

Investigating Officer
9. Name of the witnesses of the accident
10. Description of the accident
126
PART-II: Impact of the accident on the victims

1. Death Cases:
(a) Name and Address of the deceased
(b) Age
(c) Gender
(d) Education
(e) Occupation
(f) Income (Monthly)
(g) Legal Heirs/Guardian:
(i) Name
(ii) Relationship
(iii) Age
(iv) Address
(v) Contact No.
2. Injury Cases (permanent disablement):
(a) Name and Address of the deceased
(b) Age
(c) Gender
(d) Education
(e) Occupation
(f) Income (Monthly)
(g) Details of family dependent of the victim
MLC No.
(h) Nature of injuries
(i) Name of the Hospital where the injured
treated
(j) Whether victim refused medical
treatment?
(k) Period of hospitalization
(l) Period of treatment
(m) Whether treatment continuing?
(n) Name, address and contact number of
the Doctor (s) who treated the injured
(o) Whether the injured underwent any
surgery?
If yes, then given particulars.
(p) Whether suffered any permanent
disability?
127
PART-II: Impact of the accident on the victims

(q) Expenditure incurred on treatment,
conveyance, special diet, attendant, etc.
Give details, if available.
(r) Whether the injured got reimbursement
of medical expenses form his employer or
under a medi-claim policy, Give details, if
available
(s) Whether the injured was provided
cashless treatment by the insurance
Company? Give details, if available.
3. Any other relevant information.
128
PART-III: Relevant documents to be attached
1. First Information Report
2. Photographs of the scene of the accident from all

angles
3. Statement of the Witnesses recorded by the Police
4. Scientific repot, if the Victim was under the influence

of any Liquid/drugs
5. In Case of Death:
(a) Post Mortem Report
(b) Death Certificate
(c) Photograph of the identity of the Dead
(d) Proof of legal representatives of the deceased
(e) Photograph, specimen signature attested by the

bank and identity proof of the legal representatives of
the deceased.
(f) Treatment of the deceases with name and

address of the Hospital.
(g) Bank account no. of the legal representatives of

the deceased.
6. In Case of Injury:
(a) MLC
(b) Multi angled photographs of the injured
(c) Photograph, specimen signatures attested by the

bank and identity proof of the injured
(d) Disability Certificate
7. Any Other relevant information

129
VERFICATION
Verified at……………………………………………. On this

………………………………… Of ………………………..…..that the contents of the
above repot are true and correct and the documents mentioned in Part-II have been
verified.
Station House Officer Assistant Commissioner

of Police
(Name and Stamp) Equivalent
(Name and Stamp)
130
XII. Presenting Mementoes to the officers/staff on their Repatriation

/Superannuation/retirement in NHAI.
[See 11041/217/2007 dtd. 15.03.2016]
In recognition of the services rendered by the officers/staff with NHAI, the

officers/staff leaving NHAI on their repatriation/retirement/superannuation shall be
presented mementoes, as per details given below:
Srl.No. Place of Posting To be presented to To be presented by

1) NHAI HQs On Superannuation of an Chairman
officer/staff (regular/long term
contract) of NHAI
2) NHAI HQs Relieving after serving on Concerned Member
deputation with NHAI
3) Field Offices On superannuation / retirement Concerned Regional
of an officer / staff (regular / long Officer
term contract) / Relieving after
serving on deputation
4) Field Office Regional Officer relieved on New Regional

deputation Officer
5) Field Office On superannuation / retirement Chairman
of a Regional Officer (Regular/
Contract).
2. The mementoes on superannuation/retirement for the officers/staff (regular/long

term contract) relieved from NHAI HQs shall be arranged by NHAI Club. For
others at NHAI HQs, the concerned General Manager of the Division are
delegated powers to procure mementoes costing not more than Rs.2000/-. For
field offices, the concerned Regional Officer are delegated powers to procure
mementoes costing not more than Rs.2000/-.
3. Mementoes alongwith appreciation letter to be presented should be restricted in

the case of officers/officials retiring on superannuation only.
4. The concerned Cadre controlling division to furnish half yearly report of the
officers/officials retiring on superannuation.
131
Section: 1.4. Compliance of Various Laws
Sub Subject
section
I Guidelines for compliance of provisions under the

Contract Labour (Regulation & Abolition) Act, 1970.
II Implementation of Building & Other construction
workers Welfare Cess Act,1996 in NHAI
III Applicability of Building and Other Construction
Workers (Regulation of employment and
Conditions of Service) Act, 1996 and The Building
and Other Construction Workers' Welfare Cess Act
1996- Projects finalized on Public Private
Partnership (PPP) - BOT-Annuity/Toll.
IV Ex-gratia amount to the kins of Workers loosing
their life due to accident at work site.
V Instruction to prevent misappropriation of Provident
Fund dues by the contracts.
132
1. Guidelines for compliance of provisions under the Contract Labour

(Regulation & Abolition) Act, 1970.
The provisions under the contract labour (R&A) Act, 1970 (hereinafter
referred as ‘CLRA Act’, or, ‘the Act’) pertaining to Principal Employer (PE)
and Contractor, as denied in the said act, entail liabilities which are distinct to
each of the aforesaid entities.
2. The CLRA Act applies to the following:-
a) to every establishment in which twenty or more workmen are
employed or were employed on any day of the preceding twelve
months as contract labour
b) to a contractor who employs or who employed on any day of the
preceding Twelve months, twenty or more workmen.
3. There are three categories of contracts entered into by NHAI.
a) Contracts for BOT Projects under PPP mode.
b) Contracts for EPC Projects.
c) Contract for engaging labour through process of outsourcing to an

Outside agencies for the work of security, housekeeping, engagement
of data entry operator, computer operator, etc., which is also known
as short tem contract.
4. As regards contracts under BOT projects, it has been clarified by Ministry
of Labour that the NHAI is the Principal Employer in case of the PPP- BOT
Projects. The clarification has been communicated by MOLE UO F. No.
S-16016/25/2014-LW dated 10.07.20141.
5. Keeping view the provisions of CLRA Act, the following guidelines are
hereby issued for the sake of clarity on matters pertaining to the said Act.
The details of the provision of the Act have to be referred while executing
the requirements stated in these guidelines.
6. Definitions of Principal Employer, Contractor and Contract Labour:-

a) Principal Employer means:
In relation to any office or department of the Government or a local
authority, the head of that office or department or such other officer as
the Government or the local authority, as the case may be, may specify
in this behalf.
1
Inserted vide NHAI Letter No. NHAI/11013/DGM(LA/coord)/FTS-35/59408 dated 05.12.2014
133
b) Contractor means:
Contractor, in relation to an establishment, means a person who
undertakes to produce a given result for the establishment, other than
a mere supply of goods or articles of manufacture to such
establishment, through contract labour who supplies contract labour
for any work of the establishment and includes a sub-contractor.
c) Contract Labour:
A Workman shall be deemed to be employed as "contract labour" in or
in Connection with the work of an establishment when he is hired in or
in Connection with such work by or through a contractor, with or
without the knowledge of the principal employer.
7. Role of Project Director, or any other authorized representative of
NHAI functioning as Principal Employer:-
Project Directors are to discharge the functions of a Principal Employer
(PE) in PPP- BOT projects, EPC project as well as in the contracts
entered into with outsourced agencies for providing labour in PIUs. In
Regional offices, any officer authorised by the Regional Officer: and in
NHAI Hqs, GM (HR-II) or any officer authorized by Member
(Administration) shall function as the PE and will be responsible for
compliance of the provisions of the Act. The PE will ensure the
following:
a. To get registered as the Principal Employer as per the procedure laid
down in Annexure A.
b. To issue Form V to the contractor as per format given in Annexure B.
c. To ensure that workers are paid their earned wages and other dues
well in time as per the minimum Wages fixed by the Govt. from time to
time.
d. To ensure that wages are paid to the workers in the presence of a
representative of PE, by the contractor or his authorised
representative The concerned representative will record, under his
signature, a certificate at the end of entries in the register of wages
cum muster roll, as the case may be, in the form of a certificate as
under (Rule 74):-
"Certified that the amount shown in column no. …. has been paid to
the workmen concerned in my presence on …… at ……”
134
e. To ensure that the contract labour are provided the facilities as per the
provisions of the Act as per Annexure C.
f. To ensure that registers of contractors are maintained at site/ office in
Form XIl, as per the format provided under Annexure D.
g. To ensure that annual returns are sent in duplicate to the Registering
Officer concerned not later than 15th February following the end of the
year to which it relates, in Form no. XXV Rule 82 (2)
h. To Submit a return to the inspector, intimating the actual date of
commencement/ completion, as the case may be, in form VI-B Rule
81 (3)
i. To receive an affidavit (as per the draft enclosed as Annexure E) from
the Contractors that he has disbursed all the due wages to the contract
Iabourers and has also deposited the due contribution of ESI and PF
in the ESI and PF accounts department in each month, before
submitting the contractor's bill to Finance/ accounts department for
payment to the contractor. The PE must ask Contractor to file no dues
certificate issued by the ESI/ PF department and no claim/ dues
certificate issued by the labour department.
j. To ensure that in the aforesaid affidavit, the Contractor has also given
undertaking that if he has not paid any dues to the contract labour
deployed by him and has not deposited the due contribution of ESI
and PF, he shall be responsible to pay such dues to the workers and
the balance contribution of ESI and PF in future.
k. To ensure that if there is any change in particulars specified in the
certificate of the registration, the Principal Employer shall intimate to
the Registering Officer within 30 days from the date when such change
take place RuIe 18 (4). For example non completion of project in time,
awarding any other work to a new contractor etc.
8. Liabilities of Contractor- The liabilities of Contractor are as under:-
a. The contractor has to obtain licence under sec. 12 of the Act.
b. As the Licence is valid only for the period of one year, the contractor
is liable to file an application for renewal in form VII in triplicate not less
than 30 days before the date on which the licence expires.
c. The contractor is responsible for payment of wages to each worker
employed by him as contract labour, and wages are to be paid before
135
expiry of 7th (in case of less than 1000 worker) or by 10th (in case of
more than 1000 worker) in each month.
d. The contractor will ensure disbursement of wages in the presence of
authorised representative of the principal employer.
e. The contractor has to provide amenities to workers as per various5
provisions of the Act.
f. The contractor will display on Notice Board, the wage period and the
place and time of disbursement of wages; and a copy of the same will
be sent by the contractor to the PE.
g. The contractor will maintain all the statutory Registers and Records as
per: Rule 75 to Rule 78; such as register of persons employed by the
contractor muster roll, register of wages, register of deductions,
register of overtime, register of fines, register of advances and wage
slip.
h. The Contractor will submit half yearly return in Form XXIV in duplicate
so as to reach the licensing officer concerned not later than 30 days
from the close of the half year, under Rule 82 (1)
i. The contractor will display an abstract of the Act and rules in English
and Hindi and in the language spoken by majority of workers.
j. The contractor will produce all the registers and records and not to be
maintained under the Act or Rules before the inspector or any authority
under the Act.
9. Principal Employer's Responsibility for payment of Wages:
In case the contractor fails to make payment within prescribed period or
makes short payment, then the principal employer shall be liable to make
payment of wages in full or the unpaid balance due, as the case may, to
the contract labour employed by the contractor and recover the amount
so paid from the contractor either by deduction from any amount payable
to the contractor under any contract or as a debt payable by the
contractor, Certain precautions, to be taken by PEs in such cases, are
listed under Annexure F.
10. Role of Finance/Accounts Department:-
a. Before passing each and every bills of the contractor's, the finance /
accounts department must ensure that an affidavit given by EPC
contractor is enclosed.
136
b. Before making final payment to the contractor, the finance / accounts

department has to ensure that a clearance certificate from all the
departments such as PF, ESI and labour department from the
concerned state government/ central government, as the case may be,
has been submitted by the contractor.
c. At the time of releasing the security money / deposit of the contractor,
the finance/ accounts department must ensure that a clearance
certificate in respect of above mentioned contribution and wage
payment to the contract workers has been enclosed by the concerned
representative of the PE.
11. For the purpose of monitoring, information will be submitted by the PEs
and the Regional Offices of NHAI, in formats given under Annexure G
and Annexure H, on six monthly basis, i.e., on 1st week of April and 1st
week of October every year. The information submitted by the PEs and
ROs will be compiled at Head-Quarters.
II Implementation of Building & Other construction workers Welfare Cess

Act,1996 in NHAI2
(i) The Authority is regularly receiving references from various State Govts,
for implementation of Building & Other Construction Workers Welfare
Cess Act, 196. The Act has come into force from 03 November, 1995. It
applies to the whole of India, and as per Section 2(d), NHAI comes under
its purview.
(ii) As per Section 3 of the Act, a cess not exceeding 2% of construction cost
but not less than 1%, is required to be paid by employers, for building and
other construction workers. Contractors are 'employers' under the Act and
are responsible for payment of the cess. Project Directors are, therefore,
directed to ensure that the cess is collected (as per rates notified by
concerned State Govt.) and deposited with respective designated
Authority (i.e respective State Government's Building & Construction
Workers Welfare Fund), within thirty days of its collection.
(iii) Copy of the Building & Other Construction Workers Welfare Cess Act,
1996 and Building & Other Construction Workers Welfare Cess Rules,
1998 are attached at Annexure - I. Project Directors may peruse the same
and ensure strict compliance with its provisions.
2
NHAI Policy no A/F-9/2007 (1.4.3) dated 29.03.2007
137
III. Applicability of Building and Other Construction Workers

(Regulation of employment and Conditions of Service) Act, 1996 and The
Building and Other Construction Workers' Welfare Cess Act 1996- Projects
finalized on Public Private Partnership (PPP) - BOT-Annuity/Toll.3
(i) The Building and Other Construction workers' Welfare Cess Act 1996
(28 of 1996), an Act provides for levy and collection of Cess on the cost
of construction incurred by employers with a view to augmenting the
resources of the Building and Other Construction Workers' Welfare
Boards which are constituted under the Building and Other Construction
Workers (Regulation of Employment and Conditions of Service) Act,
1996. The Building and Other Construction Workers' Welfare Cess Act.
1996 (the Act) came into force on the 3 day of November, 1995. The Act
provides for levy and Collection of Cess at such rate not exceeding 2
(Two) percent but not less than 1(One) percent of construction cost
incurred by the employers and is to be deposited with Building and Other
Construction Workers' Welfare Board of the Concerned State. Though,
the Act was enacted on 19.08.1996, the different States have made their
own rules, notification and administrative order effective from different
dates.
(ii) In this connection policy circular No. 9/2007 dated 29/3/2007 has already
been issued, which addresses the compliance in respect of Engineering,
Procurement and Construction (EPC) Contract/ Maintenance Contracts
concluded with the Authority. Subsequently we have received reference
from projects about Cess recovery/ payment for Built, Operate and
Transfer-BOT-Toll/ Annuity projects.
(iii) Under Public Private Partnership (PPP) NHAI enters into

Agreement for construction, maintenance and management of roads
under BOT - Annuity/ Toll Agreements. As already stated above, Cess
shall be levied and collected at such rate not exceeding 2 (two) percent
but not less than 1 (one) percent of the cost of Construction incurred by
an employer, as the Central Government may, by notification in the
official Gazette, from time to time, specify. The matter has been
examined and it is clarified that Cess recovery is applicable on payment
made by concessionaires to their contractors for construction and
maintenance of roads as they are employer for the purpose of
3
138
deductions and payment of Cess to Govt. Account. In both the cases of

BOT-Toll and Annuity, NHAI does not make any direct payment to the
EPC contractor which is the liability of the concessionaire.
(iv) The above subject was placed in Weekly Meeting held on

20.10.2008 and 10.11.2008 and it was approved as under:-
“It was noted that under the provisions of Model Concession Agreement,
the Concessionaire is to mandatorily abide by the provisions of relevant
State Acts. However, in order to ensure the same, an undertaking be
obtained from the Concessionaires regarding the fulfillment of the
obligations of various Acts enacted in the States".
(v) Accordingly concerned division/Project Directors are requested to
obtain an annual undertaking (Annexure - J) from the concessionaire
regarding fulfillment of obligations of the various Acts enacted in the
States. Such undertaking may be normally taken at the start of every
financial year.
IV. Ex-gratia amount to the kins of Workers loosing their life due to
accident at work site.4
A case has come to the notice that ex-gratia amount to be paid by the
Concessionaire has not reached the kins of the deceased even after a
lapse of more than one month.
(ii) It is also noticed that considerable time is required by the Regional Labour
Commissioner for verification of the family details of the deceased Worker.
(iii) Manual of Specifications and Standards for Four Laning of Highways IRC-
SP-84-2009 also provides for compensation scheme including:
"A compensation scheme including insurance cover for third party for
workers, road users and road side residents in case of
death/injury/damage to the vehicle/property/resulting from accidents on
the Project Highway, irrespective of the person at fault should be proposed
by the Concessionaire."
(iv) It has been decided that the Contractor/Concessionaire must have a

system in place to maintain data base of all workers employed by the
Contractor/Concessionaire with their bio-data having details of their
4
NHAI Policy no Tech 74/2011 (1.4.5) dated 08.03.2011
139
permanent address, details of their family, next of kin declaration to ensure

that ex-gratia amount to the kins of the deceased workers is released
within 48 hours.
(v) Project Directors through Independent Engineer/Supervision Consultant

will ensure that the system proposed above is effective and meet the
objective to ensure ex-gratia amount for the kins of deceased workers is
released within 48 hours.
V. Instruction to prevent misappropriation of Provident Fund dues by the

contracts.5
Further to the guidelines issued vide Circular No.11041/217/2007-Admn.
dated 07.01.14 for compliance of provisions under the contract labour
(Regulations and Abolition) Act, 1970. The following instructions may be
noted as under:
1) In the tender for labour/manpower supply contracts, compliance by
contractors regarding compliance of EPF & MP Act 1952 needs to be
specified alongwith other labour laws, names of contractors covered
under the EPF and MP Act can be searched and downloaded from
website - eptindia.gov.in. The provisions of EPF & MP Act, 1952 is
applicable to the following:
a) To every establishment which is a factory engaged in any industry
specified in Schedule I and in which (twenty) or more persons are
employed, and
b) To any other establishment employing (twenty) or more persons or
class of such establishments which the Central Government may, by
notification in the Official Gazette, specify in this behalf:
Explanation: (i) A Contractor/ outsourced agency who deployed twenty or
more persons in their establishment is covered under the Act. Whether he is
employing one employee or twenty employees in one place or twenty different
places.
(ii) Once it becomes applicable to any establishment, it will be remain
applicable even the strength of the workman reduces to less than twenty.
2) Principal employers / DDOs should get a copy of ECR, e-challan and
salary/wages register reflecting P.F. deductions before releasing
payments to contractors.
3) Under the statutory provisions, employee wise details of PF dues
deducted from the salary/wages of the employees, alongwith employer
5
140
share are submitted in the form of electronic challan cum return (ECR),
thereafter, e-challan is generated from the EPF website. Since the
consolidated ECR's of the contractor regarding manpower supplied to all
public and private sectors will be very bulky and will create
confusion/excessive time and energy consumption at the level of DDOs,
hence separate ECR's and a separate e-challan as state above are very
important to prevent manipulation. Cheating by the Contractors can be
prevented by demanding separate ECR and e challan every month in
respect of manpower deployed in a particular office/ departments for
which DDO is to release the payments to the contractors.
The percentage of employees/ employers contribution is as under:

(a) 12% of employees contribution
(b) 12% of employer contribution
(c) Administrative Charges 1.61% (as the case may be).
4) DDOs can check the name of all the employees with regard to ECR from
the website of EPFO i.e. epfindia.gov.in.
5) EPF Organisation has provided a facility to the payment of dues with
reference to transaction number of e-challans. Whenever any challan is
received alongwith ECR for crediting PF dues in the accounts of individual
members, a TRRN No. is generated for e-challan. With reference to this
TRRN No. actual deposit can be verified from the EPFO website to
prevent submission of fake challans by the contractors.
6) From April 2012 Onwards, monthly contributions received through ECR
and e-challans are being credited in the individual members account
within one month from the date of deposit. Individual members can also
verify the same by registration on the EPF website. A DDO can ask any
member at random to check whether the dues are being deposited by the
contractor fully without any manipulation/mis-appropriation.
7) At the end of the year, EPFO generates statement of accounts of
individual member's account reflecting opening balance, contributions,
withdrawals, interest and closing balance etc. DDO should ask for
distribution of these annual statements of account in the
Office/Department.
8) Employees may be guided to obtain e-passbooks from EPFO website.
141
Annexure – A
Procedure of registration of NHAI/HO/PD’s/PIU’s as Principle Employer:-
1. Application for Registration should be made in Form 1 in Triplicate.
2. It should be accompanied with a demand draft in favour of PAO, CLC (C) as
Registration Fee.
3. The details of Registration Fee are as under.
a) If the no. is 20 Rs. 60
b) exceeds 20 but does not exceed 50 Rs. 150
c) exceeds 50 but does not exceed 100 Rs. 300
d) exceeds 100 but does not exceed 200 Rs. 600
e) exceeds 200 but does not exceed 400 Rs. 1200
f) If exceeds 400 Rs. 1500
4. It should be accompanied with photocopy of the agreement/agreements.
5. It should be sent wither by registered post or may be delivered personally in the
concerned RLC Office.
6. The jurisdiction of each R.L.C offices are state/ district wise. If the contract work
consists more than one state/distt, the registration certificate may be obtain
where major work is to be carried out.
Format of application for registration of establishments employing contract
labour.
(FORM 1)
1. Name and location of the establishment.
2. Postal address of the establishment.
3. Full name and address of the Principal Employer (furnish father’s name in
the case of individuals.)
4. Full name and address of the Manager or person responsible for the
supervision and control of the establishment.
5. Nature of work carried on in the establishment.
6. Particulars of contractors and contract labour:
a) Names and Addresses of Contractors.
b) Nature of work in which contract labour is employed or is to be
employed.
c) Maximum number of contract labour to be employed on any day
through each contractor
d) Estimated date of commencement of each contract work under each
contract.
e) Estimated date of termination of employment of contract labour under
each contractor.
7. Particular of demand draft enclosed (Name of the Union Bank, amount,
demand draft No. and date).
I hereby declare that the particulars given below are true the best of my
knowledge and belief.
Principal employer
Seal and Stamp
Note:- The location and jurisdiction of RLC’s Offices in different parts of the
country, state/district wise can be seen on internet of ministry of labour and
employment (jurisdiction)
142
Annexure- B
Format of Form V
(to be issued by the principal employer to the contractor.)
Certified that I have engaged the applicant (name of the contractor) as a

contractor in my establishment. I undertake to be bound by all the provisions of
the Contract Labour (Regulation and Abolition) Act, 1970 and the Contract
Labour (Regulation and Abolition) Central Rules, 1971, in so far as the provisions
are applicable to me in respect of the employment of contract labour by the
applicant in my establishment.
Signature of Principal Employer

Name and address of Establishment
(Seal)
Place ………….
Date …………..
143
Annexure C
Facilities to be provided by contractor to contract labourers and specified

period.
1. Wholesome Drinking Water – (Rule 40):- Sufficient supply of wholesome

drinking water shall be made available to the Contract Labour. (Within 7 days
by the contractor failing which within next 7 days by PE).
2. Rest Room – (Rule 41):- Where contract labour is required to halt to night
and the work is likely to be continued for 3 months or more. (Within 15 days
by the contractor failing which within next 15 days by PE).
3. Canteen – (Rule 42):- If the contract labour is likely to be continued for 6

months and no. of contract labours are 100 or more. (Within 60 days by the
contractor otherwise in next 60 days by PE).
4. Latrines and Urinals – (Rule 51):- One latrines and one urinals are required
to be maintained for each 25 workmen. Separate latrines and urinals shall be
maintained for male and female workers and it will be clearly indicated in
writing (only for men/women) with gender figure. (Within 7 days by the
contractor failing which within next 7 days by PE).
5. Washing Facilities – (Rule 57):- Adequate and suitable washing facilities

shall be provided for men and women with proper screen. (Within 7 days by
the contractor failing which within next 7 days by PE).
6. First Aid Facilities – (Rule 58):- One First Aid Box shall be maintained in
case of less than 150 workers. (Within 7 days by the contractor failing which
within next 7 days by PE).
7. PF and ESI Facilities: - Due contribution is to be deposited by contractor

(Within 15 days expiry of each month).
8. Bonus: - It has to be paid by the contractor in proportionate to work done by

contract labour. (Minimum 8.33% Maximum 20% per year). In case any
complaint is received for non-payment of bonus by the contractor, PE may
deducted from the bills of contractor and may be paid to the complainant.
144
Annexure D
Format of form XII

(Register of Contractors)
1) Name and address of the Principal Employer……………………....

2) Name and address of the establishment………………………………..
S. Name and Nature of Location Period of Contract Maximum No.

address of work on of contract From ……… To of workmen
No. Contractors contract work ……… employ red by
contractor
1 2 3 4 5 6 7
Signature of Licensing Officer

Place
Date
145
Annexure E
Draft of affidavit
I (Name of the contractor) s/o ________________ resident of (address of

contractor) ________________________ is/are proprietor/partner/managing
director of M/s. (Name and address of the firm/company) __________________
is working as contractor/concessionaire for construction of (name and address
of work) __________________ of NHAI, solemn declared/deposed as under.
1. That I have already deposited the due contribution of PF/ESI for the month
of ____________ in respect of the workers deployed by me at the
aforesaid site/construction work as per the provision of ESI and
Provisional Fund Act.
2. That I have already paid all due wages for the month of ___________ to
all my workers deployed me at the aforesaid site.
3. I undertake that if I have not paid any dues to the contract labour deployed
by me at the aforesaid site and have not deposited due contribution of
ESI/PF as per the provision of ESI/PF, I shall be responsible/liable to pay
such dues to the workers and to deposit the balance contribution of ESI
and PF in future.
Signature of the Contractor
It is certified that my above statements are true and correct and nothing has been
concealed.
Signature of the Contractor
Note: - The above affidavit must be verified the Oath Commissioner.

146
Annexure- F
Precautions to be taken in case where any due payment to the contractor’s

labour is to be made by the Principal Employer (NHAI)
a) Any complaints/claim/representation regarding non-payment f wages

received by the principal employer from any corner, then thorough
investigation is required in the matter.
b) A details written comments may be sought from the concern contractor in
respect of complaints received by the principal employer along with
reason for nonpayment of wages to the workmen (a photocopy of the
complaints may also be enclosed for ready reference to the contractor).
c) Reply submitted by contractor should be minutely examined and if needed
he may be directed to furnish the relevant documents in support of their
contentions.
d) If the principal employer is fully satisfied that the contractor has failed to
disburse the due wages to the contract labour only then, the principal
employer is liable to pay the due wages to the contract labourers and have
power to recover the same from the contractor.
e) To take abundant precaution, any such payment may be made before the
representative of the appropriate Government.
f) If ant dispute regarding payment of any dues/wages arises between the
contractor and the workers/complainants in such cases, the principal
employer may advise to the complainants to approach appropriate
forum/authority for redressal of their grievances.
147
Annexure G
Sixth Monthly report is to be submitted by the HO/RO’s/PIU’s in respect of their

respective Offices within 1st week of April (w.e.f. 1st October to 31st March) and
1st week of October (w.e.f. 1st April to 30th September) in each year.
Na Nam Max If Wheth Na Skilled Semi-Skilled Unskilled Tot
me e& imu the er the tur al
& Addr m no. PE has e No
Steno Acco Gu Offi Co Sw P Se
Ad ess No. of applied of
graph unta nm ce mpu eep e curi of
dre of of Con /obtain wo
ss the Con tract ed the rk er nt an Assi ter er o ty Co
of Cont tract labo R.C. stan Ope n Gu ntra
the racto labo ur is t rato ard ct
RO r/ ur 20 r lab
’s Outs emp or our
ourc loye mor
ed d or e
Agen to whe
cies be ther
emp the
loye cont
d by ract
cont or
ract has
or obta
ined
the
licen
se
und
er
the
Act
1 2 3 4 5 6 7 8 9 10
148
What is Whether Whether the Whether any If yes, what If any If yes whether
the the workers workers are Inspection has was out complaints it has been
existing are being getting the been carried come of regarding disposed of/
rate of paid facilities out by the inspection non-payment outcome of
minimum minimum provided LEO(c)/ of wages/non- the complaint
wages wages under the act Labour observation of
fixed by fixed by the such as Department of the provisions
the govt. govt. canteen Rest the State of the CL Act
Room for Gove. If so has been
night halt, under which received from
latrine and act and date of any corner.
urinals, inspections.
washing (The
facilities, inspections
First Aid pertains to the
facilities + establishment
PF, ESI, of PE or
Bonus (if Contractor)
applicable)
11 12 13 14 15 16 17
Irregularities detected: Irregularities rectified:
PE:- Principal Employer

RC:- Registration Certificate
LEO(C):- Labour Enforcement Officer (Central)
149
Annexure H
Sixth Monthly report is to be submitted by the RO’s in respect of PIU’s working

under them within 1st week of April (w.e.f. 1st October to 31st March) and within 1st
week of October (w.e.f. 1st April to 30th September) in each year.
Na Site Nam Na Maxi If the Whethe Wha Categories of workers Tota

me Add e& tur mum no. of r the PE t is l
& res Add. e No Contrac has the nos.
Add s Of of of t Labour applied/ prev of
res the Wo Cont is 20 or obtaine ailin wor
s of Contr rk ract more, d the g kme
the actor labo whether R.C. rate n
RO’ / ur the under s of
s/ Outs empl contract the act mini Uns Semi Ski Te S
ource oyed or has mu kile skille lle ch u
PIU d or applied/ m d d d . p
’s prop obtaine wag
Agen osed d the es
cies to be license fixed
empl under by
oyed the Act the
by govt.
contr and
actor whet
her
it is
bee
n
paid
to
the
work
ers.
1 2 3 4 5 6 7 8 9 10
Whethe Whether If yes, Final Detail of Accident If any Amt. If any If yes
r the any what was out of complain whethe
150
workers Inspection out come come of Fat Whether it compensa ts r it has

are has been of Inspecti al/ has been tion has regardin been
getting carried out inspection, on intimated been paid g non- dispos
the by the Notice Min to by payment ed of/
facilities LEO (C) / Issued to or appropriat contractor of outcom
provide State govt. PE/Contra e authority / wages/n e of the
d under and if so ctor for i.e. deposited on- compla
the act under complianc commissio in the observat int
such as which act e / Challan ner office of ion of
canteen and date. proposed employees commissio the
, Rest (The compensa ner provision
Room inspection tion employees s of the
for night s pertains compensa Contract
halt, to the tion Labour
latrine establishm (R&A)
and ent of PE / Act,
urinals, Contractor 1970
washing ) has
facilities been
, First received
Aid from any
facilities corner.
and PF,
ESI,
Bonus
(If
applicab
le)
11 12 13 14 15 16 17 18
Irregularities detected: Irregularities rectified
PE:- Principal Employer

RC:- Registration Certificate
LEO(C):- Labour Enforcement Officer (Central)
151
Annexure I
THE BUILDING AND OTHER CONSTRUCTION
WORKER’ WELFARE CESS ACT, 1996
An act to provide for the levy and collection of a cess on the cost construction
incurred by employers with a view to augmenting the resources of the Building
and Other Construction Workers ‘Welfare Boards constituted under the Building
and Other Construction Workers (Regulation of Employment and Conditions of
Service) Act, 1996
Be it enacted by Parliament in the Forty-seventh Year of the Republic of India as

follows:-
1. Short title, extent and commencement –(1) This Act may be called the
Building and Other. Construction Workers Welfare Cess Act. 1996.
(2) It extends to the whole of India
(3) It shall be deemed to have come into force on the 3 rd day of November,
1995.
2. Definition – In this Act. Unless the context otherwise requires-
(a) “Board” means a Building and other Construction Workers’ Welfare Board
constituted by a state Government under sub-section (1) of section 18 of the
Building and other Construction Workers (Regulation of Employment and
Conditions of Service) Act, 1996;
(b) “Fund” means the Building and other Construction Workers Welfare Fund
constituted by a Board
(c) “prescribed “ means prescribed by rules made under this Act:
(d) words and expressions used herein but not defined and defined in the
Building and Other Construction Workers (Regulation of Employment and
Conditions of Service) Act. 1996 shall have the meanings respectively
assigned to them in the Act.
3. Levy and collection of Cess- (1) There shall be levied and collected a
cess for the purpose of the Building and Other Construction Workers
(Regulation of Employment and Condition of Service) Act. 1996, at such rate
not exceeding two percent, but not less than one percent, of the cost of
152
construction incurred by an employer, as the Central Government may by

notification in the official Gazette from time to time specify.
(2) The cess levied under sub-section (1) shall be collected from every
employer in such manner and at such time including deduction at source in
relation to a building or other construction work of a Government or of a public
sector undertaking or advance collection through a local authority where an
approval of such building or other construction work by such local authority is
required as may be prescribed .
(3) The proceeds of the cess collected under sub-section (2) shall be paid by
the local authority or the state Government collecting the cess to the Board
after deducting the cost of collection of such cess not exceeding one percent
of the amount collected.
(4) Notwithstanding anything contained in sub-section (1) or sub-section (2) ,

the cess leviable under this Act including payment of such cess in advance
may subject to final assessment to be made be collected at a uniform rate or
rates as may be prescribed on the basis of the quantum of the building or
other construction work involved.
COMMENTS
For the purpose of the Building and other Construction Workers (Regulation
of Employment and Conditions of Service) Act, 1996(27 of 1996) a cess at
the rate of one percent of the cost of construction incurred by the employer is
to be levied and collected vide S.O. 2899 dated 26th September 1996
4. Furnishing of returns-(1) Every employer shall furnish such return to such

officer or authority in such manner and at such time as may be prescribed.
(2) If any person carrying on the building or other construction work liable to
pay the cess under section 3 fails to furnish any return under sub-section (I)
. the officer or the authority shall give a notice requiring such person to furnish
such return before such date as may be specified in the notice
153
THE BUILDING AND OTHER CONSTRUCTION

WORKERS WELFARE CESS RULES, 1998
In exercise of the powers conferred by sub-section (1) of section 14 of the

Building and other construction Workers welfare Cess Act, 1996 (Act 28 of
1996), the Central Government hereby makes the following rules, namely:-
1. Short title and commencement-(1) These rules may be called the

Building and other construction Workers Welfare Cess Rules 1998
(2) They shall come into force on the date of their publication in the Official
Gazette.
2. Definitions – In these rules, unless the context otherwise requires-
a) ‘Act’ means the Building and other Construction Workers Welfare Cess
Act, 1996 (Act 28 of 1996).
b) ‘Main Act’ mean the Building and Other Construction Workers
(Regulation of Employment and Condition of Service) Act, 1996 (Act 27
of 1996).
c) ‘Form’ means the form annexed to these rules.
d) All other words and expressions used in these rules but not defined and
defined in the Act or in the main Act shall have the meanings respectively
assigned to them in those Acts.
e) ‘Specified’ means specified means specified by a state Government by
an order published in the Official Gazette.
f) ‘Cess Collector’ means an officer appointed by the state Government for
collection of cess under the Act.
g) ‘Assessing Officer’ means a gazette officer of a State Government or an
officer of a local authority holding an equivalent post to a gazette officer
of the state Government appointed by such state Government for
assessment of Cess under the Act.
h) ‘Appellate Authority’ means an officer, senior in rank to the Assessing
Officer appointed by the state Government for the purpose of section 11
of the Act.
3. Levy of cess- For the purpose of levy of cess under sub-section (1) of
section 3 of the Act, cost of construction shall include all expenditure
incurred by an employer in connection with building or other construction
work but shall not include –
- cost of land;
- Any compensation paid or payable to a worker or his kin under the
Workmen’s Compensation Act, 1923.
154
4. Time and manner of collection – (1) The cess levied under sub-section
(1) of section 3 of the Act shall be paid by an employer, within thirty days
of completion of the construction project or within thirty days of the date
on which assessment of cess payable is finalized , whichever is earlier to
the cess collector.
(2) Notwithstanding the provisions of sub-rule (1) where the duration
of the project or construction work exceeds one year, cess shall be paid
within thirty days of completion of one year from the date of
commencement of work and every year thereafter a the notified rates on
the cost of construction incurred during the relevant period.
(3) Notwithstanding the provisions of sub-rule (1) and sub-rule (2),
where the levy of cess pertains to building and other construction work of
a Government or of a Public Sector Undertaking such Government or the
Public Sector Undertaking shall deduct or Cause to be deducted the cess
payable at the notified rates from the bills paid for such works
(4) Notwithstanding the provisions of sub-rule (1) and sub-rule (2)
where the approval of a construction work by a local authority is required
every application for such approval shall be accompanied by a crossed
demand draft in favour of the Board and payable at the station at which
the Board is located for an amount of cess payable at the notified rates on
the estimated cost of construction
Provided that if the duration of the project is likely to exceed one year, the
demand draft may be for the amount of cess payable on cost of
construction estimated to be incurred during one year from the date of
commencement and further payments of cess due shall be made as per
the provisions of sub-rule.(2)
(4) An employer may pay in advance an amount of cess calculated on

the basis of the estimated cost of construction along with the notice of
commencement of work under section 46 of the Main Act by a crossed
demand draft in favour of the Board and payable at the station at which
the Board is located:
Provided that if the duration of the project is likely to exceed one year the
demand draft may be for the amount of cess payable on cost of
construction estimated to be incurred during one year from the date of
such commencement and further payment of cess due shall be made as
per the provisions of sub-rules (2)
(5) Advance cess paid under sub-rules (3),(4) and (5) shall be
adjusted in the final assessment made by the Assessing Officer.
155
5. Transfer of the proceeds of the cess to the Board- (I) The proceeds of
the cess collected under rule 4 shall be transferred by such Government
office, Public Sector Undertakings, local authority, or cess collector to be
Board alongwith the form of challan prescribed (and in the head of account
of the Board) under the accounting procedures of the state by whatever
name they are known.
(2) Such government office of Public Sector Undertaking may deduct from
the cess collected or claim form the Board, as the case may be actual
collection expenses not exceeding one percent of the total amount
collected
(3) The amount collected shall be transferred to the Board within thirty
days of its collection
156
Annexure J
UNDERTAKING
I/WE the authorized representative of M/s ………………………………….,

the concessionaire of ………………., project hereby certify that we have
fulfilled/ we will fulfill the obligations of various Acts including The Building
and Other Construction workers’ Welfare Cess Act 1996 enacted in the
State of …………, where the project is situated.
Signature
Name & Designation
(With Seal)
Name of the company with address
157
Appendix
List of Policy Circulars superseded:
Sr. Particulars Policy Date Remarks
No. No.
1.4.1 Contract Labour (Regulation & A/F- 19.08.2002 Superseded vide
Abolition) Act, 1970 and Rules 14/2002 policy no 1.4.6
framed thereunder. dated 07.01.2014.
1.4.3 Implementation of Building & A/F- 29.03.2007 Retained
Other construction workers 9/2007
Welfare Cess Act, 1996 in NHAI.
1.4.4 Applicability of Building and other A/F- 26.02.2009 Retained
construction workers (Regulation 47/2009
of employment and conditions of
service) Act, 1996 and The
Building and other construction
workers? Welfare Cess Act 1996-
Projects finalized on Public Private
Partnership (PPP)? BOT- Annuity
toll
1.4.5 Ex-Gratia amount to the kins of Tech- 08.03.2011 Retained
workers looking their life due to 74/2011
accident at work site.
1.4.6 Guidelines for compliance of A/F- 07.01.2014 Retained
provisions under the Contract 132/2014
Labour (Regulations & Abolition)
Act, 1970.
1.4.7 Instruction to prevent A/F- 29.10.2014 Retained
misappropriation fo PS dues by the 153/2014
contracts
1.4.8 Issue of Principal Employer in the Letter No. 05.12.2014 Included in policy
matter of PPP-BOT Projects NHAI/110 no 1.4.6 dated
13/DGM(L 07.01.2014.
A/coord)/F
TS-
35/59408
158
Chapter: 1. प्रशासन
Section: 1.5. राजभाषा

Sub Subject
section
I. राजभाषा के कार्ाा न्वर्न के अंतर्ात मास्टर पररपत्र.

159
I राजभाषा के कार्ाानवर्न
्‍ के अंतर्ात मास्‍टर पररपत्र
(संदभा: फा.सं.11019/1/2010-रा.भा./08 ददनांक 25.01.2012)
भारतीर् राष्‍टर ीर् राजमार्ा प्रादिकरण में राजभाषा द ं दी के प्रर्ोर् को बढावा दे ने के दिए प्रोत्‍सा न
र्ेाजना-।
1. र्ोजना का दवस्‍तार
भारतीर् राषटर ीर् राजमार्ा प्राधिकरण में धनर्धमत/प्रधतधनर्ुक्ति/दीर्ाा वधि संधवदा पर कार्ारत सभी
अधिकारी/कमा चारी इस प्रोतसाहन र्ोजना में भार् ले ने के पात्र हैं । धहं दी अधिकारी तथा धहं दी अनु वादक
प्रोतसाहन र्ोजना के अनु िग्‍नक-। की क्र.सं. ‘ज’ पर उक्तिक्तित प्रोतसाहन र्ोजना को छोड़कर अन्र् धकसी
प्रोतसाहन र्ोजना में भार् ले ने के पात्र नहीं होंर्े।

2. र्ह र्ोजना 01 जनवरी, 2012 से लार्ू होर्ी। र्ोजना उक्तिक्तित धतमाही से तातपर्ा अप्रैल से जू न,
जु लाई से धसतंबर, अकतूबर से धदसंबर तथा जनवरी से माचा धतमाही अवधि से है । वषा से तातपर्ा धवततीर् वषा
से है ।
3. र्ोजना में उक्तिक्तित धनर्ंत्रक अधिकारी से तातपर्ा – आचंधलक कार्ाा लर् में कार्ापालक धनदे शक,
क्षे त्रीर् कार्ाा लर् में मुखर् महाप्रबंिक/क्षे त्रीर् अधिकारी, पररर्ोजना कार्ाा न्वर्न इकाई/कॉरीडोर प्रबंिन
इकाई/धवशेष प्रर्ोजन कंपनी में पररर्ोजना धनदे शक तथा मुखर्ालर् में महाप्रबंिक अथवा उससे उचच स्तर
के अधिकारी से है ।
4. र्ोजना में उक्तिक्तित अधहं दी भाषी से तातपर्ा उन अधिकाररर्ों/कमा चाररर्ों से है धजनकी मातृभाषा
धहं दी, उदू ा , पंजाबी, धसंिी, र्ुजराती व मराठी नहीं है ।
5. प्रोतसाहन र्ोजना में भार् लेने वाले अधिकारी/कमा चारी संलगन अनुलगनक-। में उक्तिक्तित बर्ौरे के
अनु सार प्रोतसाहन राधश पाने के पात्र होंर्े। धहं दी कक्ष में कार्ारत आशु धलधपक अनुलगनक-। में क्रम संखर्ा-
र् पर उक्तिक्तित वाधषिे क पुरस्कार र्ोजना में भार् लेने के पात्र नहीं होंर्े।
6. मू ल कार्ा धहं दी में करने के धलए लार्ू प्रोतसाहन र्ोजना में भार् लेने वाले अधिकाररर्ों/कमा चाररर्ों
को संलगन प्रपत्र-। के अनु सार एक रधजस्टर में धतमाही के दौरान धहं दी में धकए र्ए कार्ा का ररकाडा रिना
होर्ा तथा संलगन प्रपत्र-।। में अपने ररपोधटा र् अधिकारी के प्रमाण पत्र के साथ प्रोतसाहन राधश का दावा धतमाही
आिार पर प्रस्तुत करना होर्ा। रक्तिरों/सेवा पुक्तिकाओं आधद में धहं दी में प्रधवधिर्ों के धलए भी उकत संलगन
160
प्रपत्र-।। में ही संबंधित अधिकाररर्ों को दावा प्रस्तुत करना होर्ा। रधजस्टरों में एक क्रमां क/एक पंक्ति में की
र्ई सभी प्रधवधिर्ों को एक प्रधवधि माना जार्ेर्ा तथा एक ही पत्र जो एक से अधिक वर्क्तिर्ों/एजेंधसर्ों को
संबोधित हो, उसे भी एक पत्र धर्ना जाएर्ा।
7. कोई भी अधिकारी/कमा चारी अनु लगनक-। में क्र.सं. ‘क’ तथा ‘ि’ पर दी र्ई प्रोतसाहन र्ोजनाओं (धहं दी में
पत्र धटपपण/शबद धलिने/टं धकत करने तथा धहं दी में धडकटे शन दे ने) में से एक समर् में एक ही प्रोतसाहन र्ोजना
में भार् ले ने का पात्र होर्ा।
8. अनु लगनक-। क्र.सं. ‘र्’ पर उक्तिक्तित प्रोतसाहन र्ोजना के अंतर्ात वषा के दौरान धहं दी में धकए र्ए
कार्ा के धलए दे र् पुरस्कारों का धनिाा रण चारों धतमा धहर्ों में धकए र्ए कुल कार्ा के आिार पर धकर्ा जाएर्ा
। र्ह पुरस्कार अक्तिल भारतीर् स्तर पर धदए जाएं र्े । इसमें भार् लेने वाले मुखर्ालर्, आं चधलक कार्ाा लर्,
क्षे त्रीर् कार्ाा लर् तथा पररर्ोजना कार्ाा न्वर्न इकाई/कॉरीडोर प्रबंिन इकाई/धवशे ष प्रर्ोजन कंपनी के सभी
अधिकारी/कमा चारी अपने ररपोधटिे र् तथा धनर्ंत्रक अधिकारी के माधर्म से अपना दावा संलगन प्रपत्र-।।। में
प्रधतवषा 30 अप्रैल तक मुखर्ालर् में धहं दी अधिकारी अथवा प्रभारी, धहं दी प्रभार् को प्रस्तुत करें र्े। पुरस्कारों
का चर्न धनमनधलक्तित अधिकाररर्ों की एक सधमधत द्वारा धकर्ा जाएर्ा:-
1. महाप्रबंिक (प्रशासन)
2. महाप्रबंिक (धवतत)
3. महाप्रबंिक (तकनीकी)
सधमधत को धहं दी अधिकारी अथवा प्रभारी, धहं दी प्रभार् द्वारा सहर्ोर् प्रदान धकर्ा जार्ेर्ा।
9. प्रबोि, प्रवीण, प्राज्ञ, धहं दी टं कण तथा धहं दी आशु धलधप परीक्षा पास करने वाले
अधिकाररर्ों/कमा चाररर्ों को संलगन प्रपत्र-IV में प्रोतसाहन राधश का दावा प्रस्तुत करना होर्ा।
10. उपर्ुाकत क्र.सं. 8 में उक्तिक्तित दावों को छोड़कर शेष सभी दावे धनमन प्रकार प्रस्तुत/स्वीकृत
धकर्े जाएं र्े:-
मद दजसे दावा प्रस्‍तुत दकर्ा जाना ै स्‍वीकृतकताा
मु खर्ालर् में कार्ारत अधिकारी/कमा चारी धहं दी अधिकारी अथवा प्रभारी, धहं दी महाप्रबंिक (प्रशासन)
प्रभार्
आं चधलक कार्ाा लर्ों, क्षे त्रीर् कार्ाा लर्ों में ररपोधटा र् अधिकारी कार्ापालक धनदे शक, मु खर्
कार्ारत अधिकारी/कमा चारी महाप्रबंिक/क्षे त्रीर् अधिकारी
161
पररर्ोजना कार्ाा न्वर्न ररपोधटिं र् अधिकारी पररर्ोजना धनदे शक

इकाइर्ों/कॉरीडोर प्रबंिन
इकाइर्ों/धवशेष प्रर्ोजन कंपधनर्ों में
कार्ारत अधिकारी/कमा चारी
(प्रबोि, प्रवीण, प्राज्ञ तथा धहंदी आशु धलधपक/टं कण परीक्षा पास करने पर प्रोतसाहन राधश का दावा मुखर्ालर् में
प्रशासन प्रभार् के माधर्म से प्रस्तुत धकर्ा जाएर्ा)
11. इस प्रोतसाहन र्ोजना में भार् ले ने वाले अधिकारी/कमा चारी के धहं दी में धकए र्ए कार्ों की धकसी भी
समर् जॉच की जा सकती है । र्धद दावा असतर् पार्ा जाता है तो संबंधित अधिकारी/कमाचारी को एक वषा
के धलए प्रोतसाहन र्ोजना में भार् ले ने से वंधचत कर धदर्ा जाएर्ा। इसके अलावा संबंधित अधिकारी/कमा चारी
के धवरूद्ध अनुशासधनक कारा वाई भी की जा सकती है ।
12. इस र्ोजना से संबंधित धकसी भी धववाद की क्तस्थधत में महाप्रबंिक (प्रशासन) का धनणार् अंधतम माना
जाएर्ा।
भारतीर् राषटर ीर् राजमार्ा प्राधिकरण में राजभाषा धहं दी में प्रर्ामी प्रर्ोर्ों को बढावा दे ने के धलए प्रोतसाहन
र्ोजना धनमन ताधलका में प्रस्तुत है :-
भारतीर् राष्‍टर ीर् राजमार्ा प्रादिकरण में राजभाषा द ं दी के प्रर्ामी प्रर्ोर् को बढावा दे ने के दिए
प्रोत्‍सा न र्ोजना
1 2 3
क. मूि द ं दी पत्राचार (दतमा ी में दिखे, टं दकत दकए र्ए पत्र/दटप्‍पण/शब्‍द) के दिए दतमा ी में दे र्
प्रोत्‍सा न रादश द
द ं दी भाषी अदिकाररर्ों/कमाचाररर्ों के अद ं दी भाषी प्रोत्‍सा न रादश
दिए अदिकाररर्ों/कमाचाररर्ों के दिए
100 पत्र/धटपपण र्ा 10 हजार शबद 80 पत्र /धटपपण र्ा 8 हजार शबद रू. 2400/-
75 पत्र/ धटपपण र्ा 7500 शबद 60 पत्र/धटपपण र्ा 6 हजार शबद रू. 2000/-
50 पत्र/धटपपण र्ा 5 हजार शबद 40 पत्र/धटपपण र्ा 4 हजार शबद रू. 1600/-
ख. द ं दी में दिक्‍टे शन (दतमा ी में द ं दी में ददए र्ए दिक्‍टे शन) दे ने के दिए दतमा ी में दे र् प्रोत्‍सा न
रादश
द ं दी भाषी अदिकाररर्ों के दिए अद ं दी भाषी अदिकाररर्ों के दिए प्रोत्‍सा न रादश
100 पत्र/धटपपण र्ा 10 हजार शबद 80 पत्र /धटपपण र्ा 8 हजार शबद रू. 2400/-
75 पत्र/ धटपपण र्ा 7500 शबद 60 पत्र/धटपपण र्ा 6 हजार शबद रू. 2000/-
50 पत्र/धटपपण र्ा 5 हजार शबद 40 पत्र/धटपपण र्ा 4 हजार शबद रू. 1600/-
162
ग. रदजस्‍टरों/सेवा पु स्तिकाओं आदद में (दतमा ी के दौरान की र्ई प्रदवष्‍दटर्ां) द ं दी में प्रदवष्‍दटर्ां
करने पर दे र् दतमा ी प्रोत्‍सा न रादश
200 प्रधवधिर्ां 150 प्रधवधिर्ां रू. 1000/-
एक क्रमां क/एक पंक्ति में की र्ई सभी प्रधवधिर्ां को एक प्रधवधि माना जाएर्ा ।
घ. वषा के दौरान मूि द ं दी पत्राचार (द ं दी में दिखे, टं दकत दकए र्ए र्ा दिक्‍टे शन ददए र्ए
पत्र/दटप्‍पण/शब्‍द) के दिए वादषाक पु रस्‍कार
प्रथम पुरस्कार (दो) प्रथम पुरस्कार (दो) रू. 5000/- प्रतर्ेक
को
धद्वतीर् पुरस्कार (दो) धद्वतीर् पुरस्कार (दो) रू. 4000/- प्रतर्ेक
को
तृतीर् पुरस्कार (दो) तृतीर् पुरस्कार (दो) रू. 3000/- प्रतर्ेक
को
प्रोतसाहन पुरस्कार (चार) प्रोतसाहन पुरस्कार (चार) रू. 2000/- प्रतर्ेक
को
उपर्ुा क त हर वर्ा में दे र् दो पु र स् कारों में से एक पु र स् कार धहं दी में सबसे अधिक पत्र धलिने / टं धकत
करने वाले को तथा दू सरा पु र स् कार सबसे अधिक धडक टे श न दे ने वाले अधिकारी को धदर्ा जाएर्ा ।
ङ. भाराराप्रा में कार्ाभार ग्र ण करने के उपरांत द ं दी परीक्षाएं पास करने पर दे र् प्रोत्‍सा न
परीक्षा का नाम 60 से 74 प्रदतशत अं क प्राप्‍त करने पर 75 प्रदतशत एवं
उसके अदिक अं क
प्राप्‍त करने पर
धहं दी प्रबोि रू. 2000/- रू. 2400/-
धहं दी प्रवीण रू. 2400/- रू. 2800/-
धहं दी प्राज्ञ रू. 2800/- रू. 3200/-
उपर्ुाकत के अलावा धहं दी प्राज्ञ परीक्षा पास करने पर एक वषा तक प्रधतमाह धहं दी भाषी को एक तथा अधहं दी
भाषी को दो वेतनवृक्तद्ध के बराबर वैर्क्तिक वेतन दे र् होर्ा। दीर्ाकाधलक संधवदा पर कार्ारत
अधिकाररर्ों/कमा चाररर्ों के धलए र्ह वैर्क्तिक वेतन उनके समकक्ष धनर्धमत वेतनमान में कार्ारत
अधिकाररर्ों/कमा चाररर्ों को दे र् वेतनवृक्तद्ध के बराबर होर्ा ।
163
च. भाराराप्रा में कार्ाभार ग्र ण करने के उपरांत द ं दी टं कण/द ं दी आशुदिदप परीक्षाएं पास करने पर
दे र् प्रोत्‍सा न
परीक्षा का नाम 85 से 94 प्रदतशत अं क प्राप्‍त करने पर 95 प्रदतशत एवं
उससे अदिक अं क
प्राप्‍त करने पर दे र्
अदतररक्‍त
प्रोत्‍सा न रादश
धहं दी टं कण रू. 2000/- रू. 2400/-
धहं दी आशु धलधप रू.3000/- रू. 4000/-
उपर्ुाकत के अलावा धहं दी टं कण/आशु धलधप परीक्षा पास करने पर एक वषा तक प्रधतमाह धहंदी भाषी को एक तथा
अधहं दी भाषी को दो वेतनवृक्तद्ध के बराबर वैर्क्तिक वेतन दे र् होर्ा । दीर्ाकाधलक संधवदा पर कार्ारत
अधिकाररर्ों/कमा चाररर्ों के धलए र्ह वैर्क्तिक वेतन उनके समकक्ष धनर्धमत वेतनमान में कार्ारत
अधिकाररर्ों/कमा चाररर्ों को दे र् वेतनवृक्तद्ध के बराबर होर्ा। र्धद कोई कमा चारी अपने प्रर्ासों से धहं दी आशु धलधप
तथा धहं दी टं कण परीक्षा पास करता है तो उसे क्रमश: रू. 4800/- तथा रू. 2400/- की एकमु शत राधश अलर्
से दे र् होर्ी।
छ. द ं दी प्रदतर्ोदर्ताओं के दिए दे र् पु रस्‍कार रादश
पु रस्‍कार र प्रदतर्ोदर्ता में दे र् पुरस्‍कारों की पु रस्‍कार रादश
संखर्ा
्‍
प्रथम पुरस्कार एक रू. 5000/-
धद्वतीर् पुरस्कार एक रू. 4000/-
तृतीर् पुरस्कार एक रू. 3000/-
प्रोतसाहन पुरस्कार दो रू. 2000/- प्रतर्ेक
को
प्रधतर्ोधर्ताओं में भार् ले ने वाले अधहं दी भाषी प्रधतर्ोधर्र्ों को 20 प्रधतशत बोनस अंक दे र् होंर्े ।
ज. कमाचाररर्ों के बच्‍चों के दिए द ं दी प्रोत्‍सा न पु रस्‍कार र्ोजना (दो बच्‍चों तक सीदमत)
परीक्षा का नाम द ं दी दवषर् में 75 से 89 प्रदतशत अं क द ं दी दवषर् में 90
प्राप्‍त करने वािे दे र् प्रोत्‍सा न रादश प्रदतशत एवं उससे
अदिक अं क प्राप्‍त
करने पर दे र्
प्रोत्‍सा न रादश
10वीं कक्षा रू. 1600/- रू. 2000/-
12वीं कक्षा रू. 2000/- रू. 2400/-
झ. प्रादिकरण के कार्ों से संबंदित प्रकादशत हुए मूि तकनीकी/र्ैर तकनीकी िेख/तकनीकी
पु स्‍तक/र्ै र- तकनीकी पु स्‍तक दिखने के दिए दे र् प्रोत्‍सा न रादश*
तकनीकी लेि रू. 2200/-
164
र्ैर-तकनीकी ले ि रू. 1000/-

तकनीकी पुस्तक रू. 50000/-
र्ैर-तकनीकी पुस्तक रू. 25000/-
* र्ह प्रोतसाहन राधश एक उचच स्तरीर् सधमधत, धजसमें , सदस्र् (प्रशासन), सदस्र् (धवतत) और सदस्र् (तकनीकी)
शाधमल होंर्े, की अनु शंसा के आिार पर प्रदान की जाएर्ी ।
द ं दी में दिखे/टं दकत दकए र्ए/दिक्‍टे शन ददए र्ए पत्रों/दटप्‍पणों अथवा उनमें दिखे र्ए शब्‍दों का
ब्‍र्ौरा दे ने से संबंदित प्रपत्र :-
प्रपत्र-।
श्री/श्रीमती/कुमारी................. द्वारा............ धतमाही के दौरान धलिे /टं धकत धकए र्ए/धडकटे शन धदए र्ए
पत्रों/धटपपणों अथवा उनमें धलिे र्ए शबदों का बर्ौरा
तारीख फाइि संखर्ा

्‍ द ं दी में दिखे/टं दकत ररपोदटा र् अदिकारी के
दकए र्ए/दिक्‍टे शन ददए स्‍ताक्षर (मा में एक
र्ए पत्रों/दटप्‍पणों अथवा बार)
उनमें दिखे र्ए शब्‍दों
की संखर्ा
्‍
165
प्रपत्र-।।
द ं दी में मूि कार्ा के दिए दावा

अधिकारी/कमा चारी का नाम :
पदनाम :
धनर्ुक्ति स्थान :
मातृभाषा :
धतमाही अवधि :
दावा धववरण :
क्र.सं. मद कुि पत्र/दटप्‍पण/शब्‍द/ दावा की र्ई

प्रदवदिर्ां प्रोत्‍सा न रादश
(क) धतमाही के दौरान धहं दी में धलिे /टं धकत धकए

र्ए कुल पत्र/धटपपण अथवा शबद
(ि) धतमाही के दौरान धहं दी में धडकटे शन धदए र्ए

कुल पत्र/धटपपण अथवा शबद
(र्) धतमाही के दौरान रधजस्टरों/सेवा पुक्तिकाओं

में की र्ई कुल प्रधवधिर्ां
कुल प्रोतसाहन राधश
नोट: कोई भी अधिकारी/कमा चारी एक समर् में उपर्ुाकत क्र.सं. (क) और (ि) में से केवल एक र्ोजना
में ही भार् ले सकता है ।
हस्ताक्षर ..................
ररपोदटा र् अदिकारी का प्रमाण पत्र
प्रमाधणत धकर्ा जाता है धक श्री/श्रीमती/कुमारी........ ने.......... धतमाही के दौरान............. पत्र/धटपपण/शबद
धहं दी में धलिे र्ा धडकटे शन धदए तथा रधजस्टरों/सेवा पुक्तिकाओं में ........ प्रधवधिर्ां धहं दी में कीं।
ररपोधटा र् अधिकारी के हस्ताक्षर .........................
नाम...............................
पदनाम...........................
दनर्ंत्रक अदिकारी*
*धनर्ंत्रक अधिकारी से तातपर्ा पररर्ोजना धनदे शक र्ा महाप्रबंिक र्ा उससे उचच अधिकारी से है।
166
प्रपत्र-।।।
द ं दी में मूि कार्ा के दिए वादषाक आिार पर पु रस्‍कार रादश े तु दावा

1. अधिकारी/कमा चारी का नाम :
2. पदनाम :
3. धनर्ुक्ति स्थान :
4. मातृभाषा :
5. दावा वषा :
6. दावा धववरण :
दतमा ी अवदि कुि दिखे/टं दकत दकए र्ए कुि दिक्‍टे शन ददए र्ए
पत्र/दटप्‍पण/शब्‍द पत्र/दटप्‍पण/शब्‍द
अप्रैल से जू न
जु लाई से धसतंबर
अकतूबर से धदसंबर
जनवरी से माचा
कुल र्ोर्
(कृपर्ा सतर्ापन के धलए चारों धतमाधहर्ों में धकए र्ए दावों की फोटोप्रधत संलगन करें )
हस्ताक्षर ...................
ररपोदटा र् अदिकारी का प्रमाण पत्र
प्रमाधणत धकर्ा जाता है धक श्री/श्रीमती/कुमारी........... ने ................. वषा के दौरान...........
पत्र/धटपपण/शबद धहं दी में धलिे/टं धकत धकए र्ा धडकटे शन धदए।
ररपोधटा र् अधिकारी के हस्ताक्षर .........................

नाम...............................
पदनाम...........................
दनर्ंत्रक अदिकारी*
*
धनर्ंत्रक अधिकारी से तातपर्ा पररर्ोजना धनदे शक र्ा महाप्रबंिक र्ा उससे उचच अधिकारी से है।
167
प्रपत्र-IV
द ं दी अशुदिदप/टं कण, द ं दी प्रबोि/प्रवीण/प्राज्ञ परीक्षा पास करने पर प्रोत्‍सा न रादश के दिए दावा
प्रपत्र
1. अधिकारी/कमा चारी का नाम :
2. पदनाम :
3. धनर्ुक्ति स्थान :
4. मातृभाषा :
5. दावा धववरण :
परीक्षा का नाम संस्‍थान का नाम ज ां से वषा प्राप्‍तांक दे र् प्रोत्‍सा न

परीक्षा पास की प्रदतशत में रादश
धहं दी आशु धलधप
धहं दी टं कण
धहं दी प्रबोि
धहं दी प्रवीण
धहं दी प्राज्ञ
(कृपर्ा परीक्षा पास करने से संबंधित प्रमाण प्रस्तुत करें )

6. कर्ा प्राधिकरण में धनर्ुक्ति से पूवा
आप धहं दी आशु धलधप/टं कण जानते थे र्ा
ऐसी कोई परीक्षा पास कर चुके/चुकी हैं? : हां /नहीं
7. कर्ा आप इससे पूवा धहं दी आशु धलधप/टं कण
परीक्षा पास करने पर प्रोतसाहन राधश
प्रापत कर चुके/चुकी हैं ? : हां /नहीं
8. मैं एतद्द्वारा र्ोषणा करता/करती हूँ धक उपर्ुाकत दी र्ई सूचना मे री अधिकतम जानकारी
और धवशवास के अनु सार सही है । र्धद उकत सूचना र्लत र्ा असतर् पाई जाती है तो मैं उकत राधश
लौटाने का वचन दे ता/दे ती हूँ । मु झे र्ह भी मालूम है धक र्लत र्ा असतर् सूचना दे ने पर मेरे धवरूद्ध
अनु शासधनक कारा वाई की जा सकती है । उपर्ुाकत के अधतररकत मु झे प्राधिकरण की प्रोतसाहन र्ोजना
के तहत............... से एक/दो वेतनवृक्तद्ध के बराबर वैर्क्तिक वेतन प्रदान करने की कृपा करें ।
धदनां क: हस्ताक्षर .........................
168
प्रशासन प्रभार् द्वारा सत्‍र्ापन के दिए

प्रमाधणत धकर्ा जाता है धक श्री/श्रीमती/कुमारी........... की प्राधिकरण में धनर्ुकधत धहं दी
आशु धलधपक/वैर्क्तिक सहार्क/सधचव/टं कक के तौर पर नहीं हुई है तथा हमारे ररकाडा के अनु सार
प्राधिकरण में धनर्ुक्ति के समर् वे धहं दी आशु धलधप अथवा टं कण का ज्ञान नहीं रिते थे /रिती थी
और उन्होंने धहं दी प्रबोि/प्रवीण/प्राज्ञ अथवा इसके समकक्ष अथवा उचचतर कोई धहं दी परीक्षा पास
नहीं की है।
ददनांक: प्रबंिक (प्रशासन)
्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍्‍अनु िग्‍नक
भारतीर् राष्‍टर ीर् राजमार्ा प्रादिकरण द्वारा ददनांक: ......... तक जारी पररपत्र
क्र.सं. नीदतर्त पररपत्र संखर्ा,्‍ जारी करने की दतदथ सद त दवषर् का दववरण

1. 122/2006
दवषर्: भाराराप्रा में द ं दी के प्रर्ोर् को बढावा दे ने के दिए नई प्रोत्‍सा न र्ोजना।
09.05.2006
2. 10/2007
दवषर्: भाराराप्रा में द ं दी के प्रर्ोर् को बढावा दे ने के दिए नई प्रोत्‍सा न र्ोजना में
संशोिन।
30.03.2007
3. 71/2011
दवषर्: सरकारी कामकाज में द ं दी के प्रर्ोर् को बढावा दे ने के दिए द ं दी
आशुदिदप/टं कण जानने वािे दनजी सदचवों/वै र्स्तिक स ार्कों/आशुदिदपकों की
सेवाओं का उपर्ोर् ।
13.07.2011 (इससे संबंधित सूची समर्-समर् पर अद्यधतत की जाती है । धदनां क
01.06.2021 को प्रशासन प्रभार् से अद्यधतत सूची प्रापत की र्ई ।
4. फा.सं.ई.11019/1/2010-रा.भा./08
दवषर्: भारतीर् राष्‍टर ीर् राजमार्ा प्रादिकरण में द ं दी के प्रर्ोर् को बढावा दे ने के दिए
संशोदित द ं दी प्रोत्‍सा न र्ोजना।
25.01.2012
169
Section: 1.6. Establishment of Offices
Sub Subject
section
I Opening of site offices.

II Setting up of permanent office / residential
buildings of NHAI at different locations.
III Norms to establish the Regional Offices and/or
State level offices at State capitals
IV Norms for Standard Manpower prescribed for field
offices
V Maximum Limits for Procurement of the Furniture
and Fixtures for Setting up/ Furnishing of
ROs/PIUs/CMUs/Site Offices in NHAI.
VI Estate & Building Management.
VII Deployment of Secretariat Staff to the officers at
NHAI HQ
Annexure Standard RFP/ Bidding Document & Contract

I- Agreement
170
I. Opening of Site Offices

[See NHAI Policy Circular 11041/21/2002-Admn.III (22/2002) dtd. 22.10.2002]
All the proposals for opening of Site Offices would be routed through
Administration Division and the office order for opening Site Offices would be issued by
Administration Division only for providing manpower support, logistics and giving
transfer grants to the officers.
II. Setting up of permanent office /residential buildings of NHAI at

different locations
[See NHAI Policy Circular 11041/21/2002-Admn. (40/2003) dtd. 03.04.2003]
i) NHAI should avoid owning permanent office / residential complexes in places

other than Delhi.
ii) The on-going constructions, if any, should be reviewed by the respective
PIUs in the light of above decision, so as to decide further course of action.
Wherever it is proposed to continue the constructions, prior approval of the
Headquarters (Chairman) may be obtained. GM (EM) will be the Nodal
Officer in the Headquarters for this purpose.
iii) The effective use of the existing buildings, which are already owned by NHAI,
may be suggested by the respective PIUs and GM (EM) at the Headquarters
will coordinate with them in this regard.
iv) As regards payments in respect of items of furniture, etc. provided by the
contractor at locations where it has been decided not to take up construction
of the building, the same will be made as per actuals subject to the ceiling
specified in the contract in respect of such items.
III. Norms to establish the Regional Offices and/or State level offices at
State capitals
[See NHAI Policy Circular 11041/59/2006-Admn. (40/2003) dtd. 01.09.2009]
The Maximum Carpet Area for Regional Offices headed by CGM shall be 4500
Sqft.
I. The Ceiling of monthly rent shall be maximum Rs. 60,000/- for ‘X’ cities
(old A-1) and Rs. 50,000/- for other cities. However, the rent be restricted
to the Government commercial rent.
171
II. The maximum cost of office furniture and furnishing including DG Sets,
may be Rupees Sixty Lakhs (one time). The cost does not include office
equipments.
2. With a view to have a uniform procedure for hiring Regional Office

accommodation, RO should follow the following procedures: -
a) To hire an office accommodation, an open advertisement in two regional dailies

should be given, in-variably. Out of the two regional dailies one should be of the
vernacular.
b) In case there is necessity of committing any annual rent increase in the lease
agreement, the same should be negotiated with the owner and in no case the
annual rent increase should be more than 10%.
c) Annual increase of maximum of 10% will be admissible only on annual extension
of tenancy and no on new hiring.
d) In case of non-availability of office accommodation within the prescribed monthly
rent ceiling the carpet area should be reduced upto 75%.
e) In case of any relaxation sought by a Regional Office from the above guidelines,
the same should be referred to the HQs with full details / justification.
3. For furnishing the Regional Office, an open advertisement in at least two regional
dailies should be given for inviting the tenders. A committee should also be constituted
consisting of at least three officers of the rank of Manager and above for evaluating the
tenders. An officer from NHAI HQ Admn Div should also be involved while evaluating
the tenders. The recommendation of the Tender Committee should be submitted to HQ
for final approval of the Competent Authority.
172
IV. Norms for Standard Manpower prescribed for field offices
[See NHAI Policy Circular No. 1.3.3.27/2019 dated 09.08.2019]

I. The norms of support staff to be engaged in ROs are given at Table 1, 2, 3 and
4 below. Besides the Office Assistant, ROs may hire a record keeping agency for
record management, on the lines of record keeping agency hired at NHAI, HQ.
Table 1
S. No. Support staff Proposed Norms Remarks

1 Stenographer 1. One for Regional Officer Consequent upon
2. One each for GM & DGM level posting of
officers in RO. PS/PA/Steno from
3. One on sharing basis between Two HQs, the
Managers / Dy. Manager. (in case of services of
ROs where only one Manager/Dy. Stenos engaged
Manager is posted, no separate Steno shall in Regional
be provided and the services of already Office through
available CO/OfficeAssistant in the placement agency
RO shall be Utilized). shall be
discontinued.
2. Young One Consequent upon
Professional Young Professional (Finance) to be posting ofJAO/
(Finance)/ engaged as per Policy Guidelines on Accountant from
Accountant EP/YP. In any case, the YP (Fin.) HQs, theservices
should not be engaged through of jAccountant(s)
manpower agency. If YP(Fin. ) is not engaged in the
available, then only Accountant Regional Office
through manpower supply agency be through placement
engaged. agency shall be
discontinued.
3. Asst. Advisor One A retired
Land To be engaged as per Policy revenue officer
Acquisition Guidelines on of State Govt,
(LA) EP/YP and not through manpower
supply agency. On contract
basis (pay minus
pension)
173

4. Asst. Advisor One A retired forest
Forest To be engaged as per Policy officer of State
Approval Guidelines on EP/’YP and not through Govt.
manpower agency.
On contractbasis
(pay minuspension)
5. Site One On contract
Engineer/YP YP (Tech.) to be engaged as per Policy basis
(Tech.) Guidelines on EP/YP. In any case, the
YP (Tech.) should not be engaged
through manpower agency.
6. Computer Two
Operator
7. Office One
Assistant
8. Peon Not more than two
9. Chowkidar / Not more than three (3) Security

SecurityGuards Guards (in three shifts) for roundthe
clock supervision
10. Sweeper One on part time basis.
174
Table 2
S. Structure Nu GM DG Manag Tot Support Staff for RO

No. Regional Office * mbe s Ms ers / al
r of Dy. Offi
Designat Stren PIU Manag cer St **You **AA **AA Site C Offi Pe Chow Swe Tot
ion gth er en ng (LA) (Fore Engin O ce on kidar eper al
o Profes st eer/ Ass Sup
sional Appr YP t. port
(Fin.)/ oval) (Tech) Staf
Accou f
ntant
1 RO 1 1-3 0 1 1 7 3 1 1 1 1 2 1 2 3 1 16
PIU
s
2 Technical Depen
Officers ding
(GM / upon
DGM / the
Managers numbe
) r of
PIUs
175
3 Non-
Technical
Officers
Manager 1
(Finance)
Accounta 1
nt
LA&EM 1
Officer
Contract 1 (on
Managem requir
ent ement
Spedalist basis)
* The norms/ structure for regular manpower is indicative and actual deployment may depend upon no. of regular officers posted for
ROs & as per Appendix-1 (Norms for standard Manpower Prescribed for ROs)
**To be engaged in accordance with Policy Guidelines dated 21.06.2017 on EP/ YP

176
Table 3
S. Structure Num G DG Mana Tot Support Staff for RO

N Regional Office ber M Ms gers / al
o. of s Dy. Offi
Design Streng PIU Mana cer Ste **Youn **AA( **AA Site C Offi Pe Chow Swee Total
ation th ger no g LA) (Fore Engin O ce on kidar per Sup
Profess st eer/ As port
ional Appr **YP st. Staff
(Fin.)/ oval) (Tech
Accoun )
tant
1 RO 1 4-6 1 1 3 9 4 1 1 1 1 2 1 2 3 1 17
PIUs
2 Technic Depen
al ding
Officers upon
(GM / the
DGM / numbe
Manage r of
rs) PIUs
177
3 Non-
Technic
al
Officers
Manage 1
r
(Financ
e)
Account 1
ant
LA&EM 1
Officer
Contrac 1 (on
t require
Manage ment
ment basis)
Speciali
st
* The norms/ structure for regular manpower is indicative and actual deployment may depend upon no. of regular officers posted for ROs
& as per Appendix-1 (Norms for standard Manpower Prescribed for ROs)

178
Table 4
S. Structure Num G DG Manag Tota Support Staff for RO

No. Regional Office *ber Ms Ms ers / l
of Dy. Offic
Designat Strengt PIU Manag er Ste **Young **AA( **AA Site C Offi Pe Chowki Swee Total
ion h er no Professi LA) (Fores Engin O ce on dar per Supp
onal t eer/ Ass ort
(Fin.)/ Appro YP t. Staff
Account val) (Tech)
ant
1 RO 1 7-9 2 2 3 10 5 1 1 1 1 2 1 2 3 1 18
PIUs
2 Technical Dependi
Officers ng upon
(GM / the
DGM / number
Manager of PIUs
s)
179
3 Non-
Technical
Officers
Manager 1
(Finance)
Accounta 1
nt
LA&EM 1
Officer
Contract 1 (on
Manage require
ment ment
Specialist basis)
* The norms/ structure for regular manpower is indicative and actual deployment may depend upon no. of regular officers posted for
ROs & as per Appendix-1 (Norms for standard Manpower Prescribed for ROs)

180
II. The norms of support staff to be engaged in PIUs are given at Table 1 and
Table 2 below.
Table - 1
1 Stenographer 1. One for Project Director Consequent upon
2. One each for DGM level officer. posting of PS/PA/Steno
3. One on sharing basis between Managers / from HQs, the
Dy. Manager. (in case of PIUs where only services of
one Manager/Dy. Manager is posted, no Stenos engaged In the
separate Steno shallbe provided and the PIU/CMU through
services of already available CO/Office placement agency shall
Assistant in the PIU/CMU shall be bediscontinued.
Utilized).
2. Young Professional 1. One Upon posting of JAO/

(finance) / 2. In case of PIUs where the project Accountant from HQs,
Accountant cost is more than Rs. 1000 crores, the services of
one additional Accountant shall be Accountant(s) engaged
engaged. in the PIU/CMU through
3. Young Professional (Finance) to be placement agency shall
engaged as per Policy Guidelines bediscontinued.
on EP/YP. In any case, the YP
(Fin.) should not be engaged
through manpower agency. If YP(Fin.
) is not available, then only
Accountant through manpower
supply agency be engaged.
3. Land One Preferably a local

Acquisition LA To be engaged as per Policy retired revenue officer
(Assistant) Guidelines on EP/YP of State Govt,
On contract basis (pay
minus pension)
4. Site One On contract
Engineer basis
5. Computer Two --
Operator
6. Office One --
Assistant
7. Peon Not more than two --
8. Chowkidar / Not more than three (3) Security

SecurityGuards Guards (in three shifts) for roundthe clock
supervision
9. Sweeper One on part time basis.
181
Table - 2
S. Structure PIUs* G DG Technical Tota Support Staff for PIUs Tot

Ms Ms Officers l al
No. Designation Strength (Manager/ offic Sup
Dy. er por
Manager) t
Staf
f
Sten **Young **LA Site CO Offi Peo Cho Sw

o Professio Asst Engine ce n wkid ee
nal (Fin.)/ . er ar pe
Asst r
Accounta .
nt
1 PD 1
2 Technical (01 to for

Officer (TO) every 1.5
Effective
(GM/DGM/Mana number of 1 or 4 10 5 1 1 1 2 1 2 3 1 17
gers) packages 1
3 Site Engineer/ One for

Young every DPR
Professional package
182
4 Non-Technical
Officers
Account Officer 1
1 (in case
there are 6
or more
effective
package,
one
Manager(Fi
n) may be
posted in
Manager(Financ
lieu of AO)
e)
Accountant 1
Revenue 1
Assistant
* In case of PIUs where the project cost is more than Rs.1000 crores, one additional Accountant shall be engaged.
** The norms/ structure for regular manpower is indicative and actual deployment may depend upon no. of regular officers posted for ROs & as
per Appendix-I (Norms for standard Manpower prescribed for ROs)
** To be engaged in accordance with Policy Guidelines dated 21.06.2017 on EP/YP

183
III. The norms of support staff to be engaged in Site Offices are given at Table
below:
Sr. Support Staff Proposed Norms Remarks
No.
1. Stenographer One -
2. Peon One -
3. Chowkidar/ Security Guard One -
4. Safaiwala One safaiwala on part -

time basis
2. The support staff as per prescribed norms shall be engaged only through the
Outsourcing/Placement Agencies. The support staff so deployed by the outsourcing /
placement agencies shall be on the payrolls of such agencies. In the event, the NHAI is not
satisfied with the Services of any of the support staff deployed by the outsourcing / placement
agencies, such support staff shall be replaced by the agency(s) within a maximum period of 15
days.
3. Educational Qualifications and other eligibility conditions: The details of educational

qualifications and experience, post-wise are given in Table below:
SI. Post Educational Qualification Essential Experience

No. in relevant field
(i) Accountant B. Com with minimum 50% Five years'

marks experience in accounts
and related matters.
(ii) Stenographer i) Graduate from a Three years' working
recognized experience in
University/ Board. relevant fields.
il) Shorthand speed: 80
w.p.m.(Hindi/English).
iii) Transcription speed
of 30
w.p.m. (Hindi/English).
iy) Good working knowledge
184
SI. Post Educational Qualification Essential Experience

No. in relevant field
of MS office .
(iii) Computer i) Graduate from a At least three years'

Operator/Office recognized experience in
Assistant University/ Board. relevant field.
ii) Good working knowledge of
MSoffice.
iii) Typing Speed of 35
w.p.m. inEnglish/ 30 w.p.m.
in Hindi.
(iv) Peon Minimum pass in 1Ot h NA
Standard or
higher qualifications will
be
preferred
(v) Chowkidar/ i) Should be minimum 8 t h NA
Security pass.
Guard ii) Should have undergone
formal security /file arms
training Institute of repute and
should not more than 45
years of age.
(vi) Safaiwala Part time basis
4. Remuneration: The consolidated emoluments payable to the short term employees for the above
posts engaged through the Outsourcing/ Placement Agencies shall be in accordance with the policy
guidelines issued by NHAI, HQ from time to time. In addition, the payment of EPF, ESl, Bonus etc. to these
short term employees shall be regulated in accordance with the guidelines issued by NHAI, HQ from time to
time. EPF and ESI at the prescribed rates shall be deducted by the Outsourcing/ Placement Agencies from
the consolidated emoluments and the equal amount towards contribution of EPF will be contributed by NHAI,
which will be deposited by the Outsourcing/ Placement Agencies with the concerned authorities. The
consolidated emoluments will be paid as per the amount agreed with the Outsourcing/ Placement
Agencies, subject to the condition that they are not below the minimum wages prescribed by the Central
185
Government/respective State Governments and a condition to this effect should be stipulated while inviting
bids/quotations from the Outsourcing/ Placement Agencies by the field offices.
5. Procedure for selection of Outsourcing/ Placement Agencies:-
(i) The support staff/ short term staff shall be engaged through the Outsourcing/ Placement
Agencies only.
(ii) In terms of Section-65(68) of The Finance Act, 1994, as amended, the Outsourcing /
Placement / Manpower Recruitment or Supply Agency is defined as under :-
“Manpower Recruitment or Supply Agency” means any person engaged in providing any
service, directly or indirectly, in any manner for recruitment or supply of manpower,
temporarily or otherwise, [to any other person}
(iii) The broad eligibility criteria for selection of Outsourcing / Placement agency is detailed
below :
Sr. Criteria Supporting Document

No.
1. The Registered Office or one Self-attested copies of
of the Branch Offices should be Telephone
located either in the location of Bill/ Electricity Bill/ Registered
PIU or the concerned Regional Lease Deed in support of the
Office where PIU falls and be address.
functional for atleast last 2-3
years.
2. The firm should be registered Certificate of lncorporation
with them appropriate registration in
authority and should be in respect of the applicant
existence for not less than five organization issued by the
years before the bid due date. Registrarof Companies or a
partnership deedduly registered
under the Partnership Act.
3. Income/ Revenue from Copies of audited balance
Recruitment (Man Power Services) sheet/
of the firm should be decided by CA Certificate should be attached
RO depending upon the for the last three financial years.
classification of the city of the PIU/ Attested copy of the latest IT
RO. Revenue from other business return filed by agency also to be
will not be considered furnished.
4. Should have served for minimum Certified documents in support
of 5 No. of Clients as of
186

No.
Manpower Service Provider past contracts with
out of which minimum 3 No. of Govt/PSUs
Clients should be Govt/ PSUs. from the concerned client.
5. The Agency should have been Attested copy of PAN
registered with Income Tax and Card;
Service Tax / GST Attested copy of GST
Departments; Attested copy of registration certificate in respect
PAN Card; Attested copy of of Manpower Services, etc.
GST registration certificate in
respect of Manpower Services
6. Annual Average Turnover during A certificate from the
the last three financial years, Chartered
ending 31st March of the Accountant (Registered) as a
previous financial year, should proofof turnover for the last 3
be at least 30% of the years.
estimated cost.
7. Maximum Number of Self attested declaration by
manpower on pay the Agency.
roll deployed at one office
(Ministry / Govt. department /
PSUs / Autonomous bodies /
reputed Private Sector)
during last one year.
8. The Agency should be Attested copy of the
registered with appropriate Employee
authorities under Employees Provident Fund registration
Provident Fund and letter/ certificate. Attested
Employees StateInsurance copy of theLabour License
Acts or any other labour under the Contract Labour
authorities including under the (Regulation & Abolition) Act.
Contract Labour (Regulation Attested copy of the
and Abolition Act). EmployeeState Insurance
registration letter / certificate.
187

No.
9. The agency or any of its Self-attested declaration by
partners/directors etc should he Agency.
not have been blacklisted/
debarred by any of the
government agencies or
department or should not have
been found to be guilty of
moral turpitude or convicted
of any economic offense or
with violation of any labour
laws etc. by any court or any
authority appointed to
enforce any labour laws or
regulations.
(iv) To hire the Outsourcing/ Placement Agency, an open advertisement in two widely
circulated regional dailies shall be given invariably. Out of the two regional
dailies, one shall be a vernacular.
(v) The bids shall be invited through e-tendering process only. Single Stage Two Cover
Bidding System, i.e., one for technical bid and another for financial bid shall be
followed. The financial bids of the shortlisted and technically qualified bidders shall
only be opened.
(vi) The bids received in this regard shall be evaluated by a duly constituted
committee of Officers’ consisting of atleast two officers of the rank of Manager above
and one Finance Representative, not below the rank of Junior Accounts Officer.
(vii) The bids as per the Standard RFP/ Bidding Document enclosed at Annex-I will
be invited by RO.
(viii) The Outsourcing/Placement Agency should be selected on the basis of the lowest
quoted rate of the agency charges (not exceeding 10%).
(ix) The Selected Agency may be offered contract initially for a period of two years,
which may further be extended for a maximum period of another one year on yearly
basis depending on the satisfactory performance of the Agency. A standard
contract agreement to be entered with the Outsourcing/ Placement Agency is
enclosed at Annex-I.
188
(x) After selection of the Outsourcing/‘ Placement Agency, the concerned Field Units
shall ensure that the Agency deploys well qualified, efficient and competent staff,
meeting all the eligibility criteria prescribed for the posts in these guidelines.
(xi) The process for engaging new Agency shall be initiated well before expiry
(preferably 06 months) of the term of the existing Outsourcing/ Placement Agency.
6 Power to engage/ extension of services of Support Staff: The respective

ROsfor Regional Offices and PlUs/ CMUs/ Site Offices under their jurisdiction are hereby
delegated the powers for engaging/ extending the services of support staff within their
authorized limits as prescribed herein. However, in case of engagement of support staff in
excess of the prescribed limits, under exceptional circumstances, the powers to engage/ extend
their services shall vest with Member (Admn.). In such a case, prior approval of Member (Admn)
shall be mandatory before such engagements /extension of services of the additional support
staff.
7. Engagement of support staff under these guidelines shall further be subject to the following
conditions: -
(i) Except the support staff as authorized above, no field office is allowed to
engage additional staff. In case situations warrant engagement of additional
staff in any of the field office (required either because of large volume of work
or because the work has to be completed within a short-time), the proposals
for engagement of such additional staff in excess of what has been authorized
herein, shall be referred to NHAI, HQ with the recommendation of concerned
RO justifying the requirement for such engagement along with the details of
tasks to be accomplished by the staff during the period of proposed
engagement/ extension.
(ii) Based on the justification furnished by the field offices for engagement of
additional staff as per the procedure prescribed herein, the concerned
HR/Admn Division dealing with the proposals of short-term contract staff for
field units at NHAI, HQ will examine the proposal in consultation with the
concerned Technical Division (if required) at HQ and obtain the approval of the
Competent Authority.
(iii) In case of requirement of engagement of additional staff in excess of prescribed limit

(unless exceptionally warranted), prior approval of Competent Authority [i.e.,
Member (Admn.)] shall be mandatory before such engagement/ extension.
(iv) The concerned Regional Officer shall ensure that no staff in excess of the
189
prescribed limits are engaged without the approval of the Competent

Authority in the field offices under his/ her jurisdiction. The concerned RO shall
furnish a monthly report on the payment made to the
Outsourcing/Placement Agency with breakup.
(v) In case of any deviation to the guidelines by any of the field offices, the concerned
RO shall take immediate steps to discontinue the services of such excess short-
term staff and report the matter to the HQ. The responsibility for any violation/
irregularity on this account by any field office under their jurisdiction vests with the
concerned Regional Officer / PD.
(vi) The field units shall ensure that after posting of regular staff by NHAI HQ in
their units, the services of concerned support staff/ short-term staff engaged
through Outsourcing/ Placement Agency shall be discontinued immediately.
(vii) The above norms for standard manpower/ short-term staff in the field offices
are prescribed keeping in view the effective length of the projects and
workload handled by the PIUs, The controlling officers of the field units shall
assess the actual requirement of staff in the light of workload handled by them
and if it is found that the workload of the PIU is reduced on account of
completion of the project and there is no requirement for continuation of any
short-term staff prescribed in the limits, the services of such staff may be
discontinued.
8. Power delegated to hiring of Manpower for meeting emergent requirements:
Delegation Extent of Delegation
Member (Admn.) Full Powers
Regional Officer Engagement/extension of services of short term

staff/support within the authorized limits under
respective RO/PIU/CMU and Site Office for a period
of two years, which may further be extended for a
maximum one year on annual basis depending on the
satisfactory performance of the Outsourcing/
Placement Agency.
190
For extension of services beyond 2nd year, the

approval of Member (Admn.) will be required.
V. Maximum Limits for Procurement of the Furniture and Fixtures for Setting up/
Furnishing of ROs/PIUs/CMUs/Site Offices in NHAI.
[See NHAI Policy Circular 1.1.21/2017 dtd. 06.06.2017]
The following furniture, fixture and office equipment of reputed makes shall be procured on
the basis of actual requirement for setting up/furnishing of ROs/PIUs/CMUs/Site Offices with the
maximum limits as follows:
(i) Fixture/Fitting/Equipment and other items
Sl. No. Item/ Asset Maximum Limit

Description RO PIU/CMU Site Office
1. Telephone with 2 2 2
Broad Band Internet (Not exceeding (Not exceeding (Not exceeding
Connection Rs. 15000/- p.m.) Rs. 10000/- p.m.) Rs. 5000/- p.m.)
2. Intercom system/ One Intercom Extn. For each officer/ employee

EPABX
3. Fax Machine 1 1 1
4. Silent Diesel One One NA

Generator Set (Max. upto (Max. upto
40KVA*) 30KVA*)
*Requirement to assess by Certified by Electrical
Engineer in case the DG Set is to be installed above 30
KVA for RO & 15 KVA for PIU/CMU. Where NHAI have
own office building-cum-Residential complex including
(including guest block, if any) the maximum capacity of
Silent Diesel Generator required may be got assessed by
Certified by Electrical Engineer subject to a maximum limit
of 40 KVA for ROs and 30 KVA for PIUs. In case the RO
as well as PIU co-exist in one building the maximum limit
shall not exceed 40 KVA.
5 UPS 6-10 KVA 5 KVA 3 KVA
191

Battery 15 10 5
6. Multifunctional 1 1 01 Desktop
Copier with Printer Photocopier
7. Air Conditioner 1.5- 8 5 1
2.0 Ton (Split/
Window) including
for Conference room
8. Ceiling Fan/ Stand 8 6 3
Fan/ Wall Stand Fan
9. Water Cooler 1 1 1
10. RO/Water Purifier 1 1 1

11. Refrigerator (165- 1 1 1
180 Ltr.)
12. Microwave Oven 1 1 1
13. LCD/LED TV (Size- 1 1 NA
32-42”)
14. Vacuum Cleaner 1 1 1
15. Coffee/ Tea Machine 1 1 NA
16. Over Head Projector 1 NA NA

with LCD Screen
17. TV Set for Video 1 NA NA

Conferencing 42”
18. Carpet As per actual As per actual NA

requirement (not requirement (not
more than Rs. more than Rs.
25000) 20000)
Venetian blinds As per actual As per actual As per actual
requirement (not requirement (not requirement
more than Rs. more than Rs. (not more than
25000) 20000) Rs. 15000)
Curtains As per actual requirement
19. Fire Extinguishers As per recommendation by Local Fire Office
192

20. Partition As per actual As per actual As per actual
requirement requirement requirement
(max. Rs. 25000) (max. Rs. 20000) max. Rs.
10000)
21. Steel Almirah with 10 8 4
locker facility or steel
racks
22. Filing cabinets 10 8 1
23. Book Case 2 1 NA
24. Reception Table & 1 1 NA
Chair
25. Visitor’s Chair 20 15 8
26. Meeting/ Conference 1 1 NA
Table & Chair With 20 chairs With 12 chairs
27. Sofa Set [(3+2)/ 1 1 NA
(3+1+1)]
28. Small Office Table & 1 1 1
Chair for Dispatch
Section
29. Mobile Pedestal/ One for each Officer/ Employee
Drawer
30. Induction - - 1
(ii) Furniture for the officers:-
Sl. No. Designation Item Description Max.

Limit
1. CGM (T)/ Regional Officer (i) Executive Office Table 1
(ii) Executive Office Chair 1
(iii) Revolving Mid Back Chair for 6

Visitor
(iv) Sofa Set [(3+2)/ (3+1+1)] 1
2. Project Director (i) Executive Office Table 1

193
Sl. No. Designation Item Description Max.

Limit
(ii) Executive Office Chair 1
(iii) Revolving Mid Back Chair for 6

Visitor
3. GM (i) Executive Office Chair 1
(ii) Very High Back Revolving Chair 1
(iii) Visitor Chair 4
4. DGM (i) Executive Office Table (4”x7) 1
(ii) High Back Revolving Chair 1
5. Manager/ Dy. Manager/ (i) Office Table (3”x6) 1

AM
(ii) Revolving Mid Back Chair 1
6. Sr. PPS/PPS/Accounts (i) Office Table (3”x6) 1

Officers
7. PS/PA/JAO/Sr. (i) Office Table (3”x6) 1

Accountant/ or any staff as
required on temp. or
permanent basis
8. Steno/ Accountant (i) Office Table (2”x4) 1
9. Office Assistant/ Computer (i) Smaller Computer/ Office Table 1

Operator
(ii) Small Revolving Chair with 1
Armrest
3. The procurement of above furniture/fitting/fixture/equipment/ etc. shall be subject to the

following condition:-
(i) The maximum cost of office furniture/fitting/fixture/equipment is fixed upto a maximum

limit of Rs. 60 lakh in the case of RO, Rs. 25 Lakh in the case of PIU/CMU and Rs. 10
Lakh in the case of Site Office.
194
(ii) ROs/ PIUs/CMUs/Site Offices will be allowed to purchase items mentioned in the Policy
Circular upto the maximum quantity (as per actual requirement) against each item only.
Purchase of any item which are not mentioned in proposed Policy Circular or purchase
of items beyond the maximum limit, shall not be allowed.
(iii) The procurement of above items shall be made through Government e-market place
(www.gem.gov.in) ROs/PDs shall ensure to register themselves in respective website
within 15 days from the issue of this order. In case items are not available in above portal
an email be addressed to GeM for inclusion of required item.
(iv) If the required items are not available with GeM, a certificate to the effect be obtained by
applying online in the above portal. In that case, the provision of GFR 2017 be followed
while procuring items not available with GeM.
(v) In case of non-availability of office furniture, fixture and equipment, etc., within prescribed
limit the requirement of procurement items may be reduced by 20% so as to procure
within the prescribed ceiling.
(vi) In case of merger/ closure of PIUs/CMUs/Site Offices with another office, the furniture/
office equipment be utilized by the respective PIUs/CMUs office and the maximum
procurement limit be reduced proportionately.
(vii) After following procedure as per GFR rules/ Government e-market place (GeM),
responsibility arising out of any irregularity on this account at the time of inspection/audit
by HQ teams or otherwise will rest with Regional Officers/Project Directors only.
(VIII) The Dead Stock Register (DSR) of the equipment/ furniture items must also be
maintained at ROs/PIUs/CMUs/Site Offices and action should be taken for disposal for
obsolete articles in time as per rule”.
195
VI. Estate & Building Management.
[See NHAI Policy Circular 1.1.26 dtd. 13.02.2018]
Sl. Powers To whom delegated Extent of delegation

No.
1. Appointment of casual labour
on daily wages
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
1.1 Estate Officer Full Powers
2. Advance rent for hired/ leased
Accommodation adjustable in
the monthly rent (both office
and residence)
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
2.1 Member (Admn.) Full Powers
2.2 CGM RO (HQ) The amount of rent up to 6
months
2.3 Estate Officer The amount of rent up to 3
months
3. Security deposit to the landlord
for hired/ leased
accommodation
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
3.2 Member (Admn.) Amount equal to the rent up to
12 months
3.3 CGM RO ( HQ) Amount equal to the rent up to
6 months
3.4 Estate Officer Amount equal to the rent up to
3 months
4. Insurance of Assets
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
196

No.
4.2 CGM RO (HQ) Full Powers ( for insurance
from public sector insurance
companies)
5. Expenditure for the purpose of
petty building maintenance
works, security and
housekeeping including stores
required for repairs/ sanitary
fitting/ water supply/ electricity
installations etc.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
5.2 CGM RO (HQ) Up to Rs.10 lakh in each case
subject to ceiling of Rs.1 Cr per
annum.
5.3 Estate Officer Up to Rs.2.5 lakh in each case
subject to ceiling of Rs.25 Lakh
per annum.
6. Additions / alterations to hired/
owned office accommodation
by NHAI HQ
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
6.2 Member (Admn.) Up to 100 Lac in each case,
subject to ceiling of Rs.500 Lac
per annum
6.3 CGM RO (Admn.) Up to Rs.25 Lac in each case,
subject to ceiling of Rs. 125
Lac per annum
6.4 Estate Officer Up to Rs. 2.5 Lac in each case,
subject to ceiling of Rs. 25 Lac
per annum
7. Hiring of manpower for
meeting emergent
requirements.
197

No.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
7.1 Estate Officer Up to 89 Day with the approval
of CGM RO (HQ)
7.2 CGM RO ( HQ) Extension 3+3+3 months up to
One Year
7.3 Member (Admn.) More than one year
8. Annual Maintenance and repair
of installations in building
including DG Set, Elevators,
Cooling towers, Fire Fighting
system, RO Plant, glow
Signage etc.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
8.2 CGM RO (HQ) Up to Rs. 25 Lac in each case
8.3 Estate Officer Up to Rs. 2.5 Lac in each case
9. Repairs, up-keep and
maintenance of furniture/
fixture.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
9.1 CGM RO (HQ) Full Powers
9.2 Estate Officer Up to Rs.50,000/- in each case
10. Payment of electricity, water &
Other charges of recurring
nature to Government Depts.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
10.1 Estate Officer Full Powers
11. Municipal rates & Taxes
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
198

No.
11.1 CGM RO (HQ) Full Powers
12. Purchase of items for office
building like Coolers, ACs, Air
purifiers, Fans etc.
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
12.1 Member (Admn.) Full Powers.
12.2 CGM RO (HQ) Up to Rs. 2.5 Lac in each case
12.3 Estate Officers Up to Rs.50,000 in each case
13. Purchase of Furniture &
Fixtures
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
13.1 Member (Admn.) Full Powers.
13.2 CGM RO (HQ) Up to Rs. 2.5 Lac in each case
13.3 Estate Officers Up to Rs.50,000 in each case
14. Approval of petty purchase
through Imprest
Admn./Fin. 1.1.26/2018
dtd. 13.02.2018)
14.1 CGM RO (HQ) Full Powers.
VII. Deployment of Secretariat Staff to the officers at NHAI HQ.
[See NHAI Policy Circular 11019/01/2017-Admn. dtd. 04.01.2018]
Srl. Designation Deployment of Secretariat

No. Staff
A Chairman/ As per requirement of the

Member officer
B CGM / GM/ DGM / Manager & equivalent One PPS/PS/PA/Steno
C Dy. Manager / Asstt. Manager & One PA/Steno to be shared

equivalent by two officers
199
Annexure – I
Standard RFP/ Bidding Document & Contract Agreement
NOTICE INVITING TENDER
(E-TENDERING MODE ONLY)

200
SECTION-I
Notice Inviting Tender
(National Competitive Bidding through e-Tendering mode only)
1. The Regional Office _______, National Highways Authority of India (NHAI) hereby invites bid
through e-tendering from experienced firms / organizations whose corporate office / branch
office is located either in Regional Office _____________ or in ______, ___________,
________(CITY OF PIUs) for the following work.
Sl. Description of work Estimated Cost for Bid Security

No. Two years
(1) Facility Services in NHAI’s Regional Rs.___________ Rs.___________

Office and its Project
Implementation Units. (Providing {2% of the estimated
manpower viz. Stenographers, cost for works up to
Accountants, Computer Operators/ Rs. 20 crore (subject
Office Assistants, Site Engineers / maximum of Rs. 30
Peon / Chowkidar / Security Guards, lacs), or 1½% of the
Sweepers) for two years. estimated cost for
works between Rs. 20
crore to Rs. 50 crore
(subject to maximum
of Rs. 50 lacs}
 Cost of Bid Document (Non-Refundable) :Rs. 1500/-

 e-Tender Processing fee (Non-Refundable) :NIL
Note:- A copy of valid NSIC registration certificate or MSME certificate should be attached for
claiming exemption from payment of bid security. However, payment of bid price shall be compulsory
without which bid will be rejected.
2. The preliminary requirements (detailed requirements are given in the Bid Document)
of bidding firm / contractor for above works are mentioned as under:-
Average Annual Turnover Completed work of similar nature Time period for
during last 3 years (in Rs.) during last 5 years Facility Services
Annual Average Turnover Should have served for minimum of 5 No. of 24 Months
during the last three financial clients as Manpower Service Provider out of
which minimum 3 No. of clients should be
years, ending 31st March of the
Govt/PSUs.
previous financial years,
201
should be at least 30% of the

estimated cost.
3. To Participate in the E-Bid submission, it is mandatory for the bidders to get themselves
registered with the NHAI e-Tendering Portal (https://etenders.gov.in) to get a user ID &
Password free of cost through online mode only. Validity of online registration is for one year.
a) After making the online payment, bidders have to send an e-mail intimation at the e-mail
address: support-eproc@nic.in.
b) All profile activations will be done only during NHAI working days.
c) No profile activations will take place during NHAI Holidays & gazetted holidays.
d) The tender can be viewed/ downloaded from NHAI e-tendering portal
(https://etenders.gov.in) free of cost till prescribed last date & time for submission of the
of the Bids.
Following may be noted:-
i) Applications can be submitted only during the validity of registration with the NHAI e-
Tendering Portal being managed by National Informatics Centre (NIC) i.e.
https://etenders.gov.in
ii) The amendments/clarification to the tender, if any, will be posted on the NHAI website
(www.nhai.gov.in) and NHAI e-Tendering Portal (https://etenders.gov.in).
e) To participate in bidding, bidders have to pay Application/Document Fee (non-
refundable) to National Highways Authority of India (NHAI) as per the amount
mentioned in the tender document through Demand Draft mode only (offline).
‘Application Fee’ is mentioned in individual tender document as published at NHAI e-
Tendering Portal (https://etenders.gov.in).
f) Cost of Bid document is only DD mode (offline).
g) Bid security is offline and through DD mode (offline).
h) Bidders have to use CLASS III DSC with Signature and encryption Component.
i) The authorized signatory holding Power of Attorney shall only be the Digital Signatory. In
the case of Authorized Signatory holding Power of Attorney and Digital Signatory
are not the same, the bid shall be considered as non-responsive.
If the Applicant has already registered with NIC for NHAI e-Tendering Portal usage and
validity of registration has not expired, then such applicant does not require fresh
registration.
For any clarifications on the above, may contact 0120-4200462, 0120-4001002 or send
email at the address: support-eproc@nic.in
4. The detailed tender document can be viewed/downloaded from the website

http://etenders.gov.in or (www.nhai.gov.in) free of cost from __.06.2019 to __.07.2019 (upto
14:30 hrs.) after furnishing the payment particulars. The bidders shall furnish the details of
demand drafts against the cost of bid document and bid security at the time of submission of
e-bid.
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5 The amendments/ addendums / clarifications to the bid document if any will be hosted on the
above website.
6. The bid should be submitted online in the prescribed format given in the website. No other
mode of submission would be accepted.
7. The last date for online submission of the Bid is ____ upto 14:30 Hrs (as mentioned on the
e-portal only) (“Bid Due Date”). The due date for physical submission of Technical Bid is
__.__.2019 upto 14:30 Hrs. The online bids would be opened on __.__.2019 at 15:00 Hrs,
at Regional Office _______, NHAI on the date and time as mentioned above. However, such
representatives shall be allowed to attend the opening of the bids only if they produce letter of
RO-XXX on the letterhead of the bidder, at the time of opening of bids as mentioned above.
For any clarification, the office of the undersigned may be contacted.
Shri ________________,
__________________________
Regional Office _________________
National Highway Authority of India
<Address>
email : __________________
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SECTION-II:
(Term and Conditions Including Eligibility Criterion of the Bid)
1- INSTRUCTIONS TO BIDDERS (ITB)
A. General
1. Scope of Work
1.1 The Regional Office __________, National Highways Authority of India (NHAI) hereinafter
called "RO-XXX (Name of RO)" invites bids through the process of E-tendering for Facility
Services for NHAI’s Regional Office – XXX (as defined in these documents, hereinafter
referred to as "the Works") as detailed in the bid document.
1.2 The work consists for providing Facility Services in NHAI’s Regional Office _________, and
its Project Implementation Units (PIUs) located at ________________ as detailed in the
Technical Specifications, Scope of Work.
1.3 The works under this Contract shall be carried out in accordance with the bidding documents
constituting the contract and shall consist of various salient items as generally described
below:
1.4 Availability of the Project Area:
The successful bidder shall deploy its staff at Regional Offie________NHAI, and its PIUs
located at _______________________ or any other place (under the jurisdiction of Regional
Office) as determined by the Regional Office of NHAI.
1.5 The successful bidder is required to commence the Work within the period stipulated in
Letter of Award i.e. within 15 days, failing which NHAI may terminate the award.
1.6 The RO-XXX shall deploy an officer acting as the Employer’s representative.
2. Source of Funds
THE EXPENDITURE ON THESE WORKS WILL BE MET BY REGIONAL
OFFICE _________, NATIONAL HIGHW AYS AUTHORITY OF INDIA.
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3. Eligible Bidders
3.1 This invitation for bids is open to bidders who are Authorized Service Provider/contractor
with relevant experience, as stipulated at Clause 4 below.
3.2 Bids from joint ventures, consortiums, combination or any sort of arrangement between two
or more than two entities are not allowed and such bid shall be treated as non-responsive.
4. QUALIFICATION OF THE BIDDERS & SUPPLY OF INFORMATION
4.1 To be qualified for award of Contract, bidders must upload the scanned duly digitally signed
copies of the following documents along with online bid document containing all the prescribed
documents.
a) Achieved an average financial turnover equal to the amount indicated in NIT during
last three years ending 31st March of the previous financial year duly certified by a
registered Chartered Accountant. The Chartered Accountant should have his/her
registration number allotted by ICAI.
b) Submit a written Power of Attorney duly authorizing the signatory of the bid to commit the
bid. The Power of Attorney is also required to be given on a stamp paper of requisite value
and in the format (Annexure-I), duly notarized by the Public Notary.
c) To qualify for award of the Contract, the bidder should have successfully & timely completed
Works of similar nature with minimum one work of Rs._______ or two works of
Rs.________each or three works of Rs._________ each during last 5 years in Government
Organization, Public Sector Undertaking, Autonomous Body duly funded by Govt. of India/
State Govt., Private Sector of repute only. Contractor should submit documentary evidence,
Letter of Award, copy of contract agreement, and certificates of satisfactory completion of
work from the previous Employer otherwise, the experience will not be considered for
evaluation and the bids will be rejected. “Works of Similar nature” means providing
manpower services of skilled and unskilled manpower for routine office work in Govt.
organization/Public Sector organizations/Autonomous Body, Private Sector of repute only,
but does not include catering services etc. Timely completion means, the work should have
been successfully completed and date of completion should fall before xxxxx (Date as the
case may be).
d) The bidder should have minimum of 5 years experience in providing facility services in
Government Organization, Public Sectors Undertaking, Autonomous Body, Private Sector
of repute only.
e) The bidder shall submit the following information/documents on eligibility and
qualification:-
i) General information
ii) Annual audited turnover for last 3 years duly verified by a Chartered Accountant
(Registered).
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iii) A certificate from Chartered Accountant as a proof of turnover for the last 3 years.
iv) Additional information regarding litigation, debarment, arbitration or blacklisting etc.
v) The firm/ organization should submit the CV of at least one senior Person, well
experienced in similar type of job for site in-charge post, whose particulars such as
Name, Age and Experience should be furnished.
vi) The bidder should submit Affidavits & Power of Attorney duly notarized by notary
on Stamp Paper(s) of requisite value, in original, as per enclosed formats, without which
the bid shall be rejected.
vii) Bidder should submit the self attested photocopies of registration certificates of ESI,
PF, PAN No., PPF, Labour license and GST Regn. number duly certified by the authorized
signatory. An indemnify bond for any failure on this account may be given by the bidder for
100% of monetary value of the above Statutory deductions w.r.t. number of short term
manpower deployed.
viii) The Certificate of incorporation of the Company issued by the Registrar of

Companies concerned etc.
ix) Legal status of Bidder (Proprietorship/Partnership or Pvt. Ltd. firm)
[Upload scanned copy of original]
x) Place of registration:
____________________________
xi) Principal place of business:

____________________________
Note : (i) Power of Attorney of signatory of Bid [Upload scanned copy & also supply Original copy
(in envelop of physical form]
(ii) Total value of work done in the last three years (in Rs.) (Upload scanned copies of
certificate from Chartered Accountant)
2016 - 2017 : --------------
2017 - 2018 : --------------
2018 - 2019 : --------------
Total : -------------
Average per year:_____________

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f) It is desired to furnish the information/documents in the following order for which

proper indexing giving serial numbers, details/particulars and page numbers of the
documents may be given in the beginning of the bid document :-
(i) Company’s profile
(ii) Demand Drafts towards cost of bid document and Bid Security.
(iii) Annexure-I to VIII
(iv) ‘Experience-cum-Work Completion Certificate issued by the organization where the

agency has provided manpower services for routine office works (preferably in Annexure-
VIII), followed by copies of contract agreements etc.
(v) Annual Audited Turn Over for the last 3 years duly verified by a Chartered Accountant
(Registered)
(vi) A certificate from Chartered Accountant as a proof of turn over for the last 3 years
(vii) CV of at least one Senior Person, well experienced in similar type of job for site-in-
charge post, whose particulars such as Name, Age and experience
(viii) Photocopies of ESI, PF/EPF, PAN No, Labour License No., GST Reg. No. duly
certified by authorized signatory.
(ix) Relevant documents in support of technical evaluation criteria, in the absence of which
no marks shall be allocated against that specific criteria.
(x) Any other documents.
g) Apart from the above, the following eligibility criteria is also prescribed for selection of
outsourcing/ placement / manpower agency:-
S.no. Criteria Supporting Document
(a) The Registered Office or one of the Branch Self-attested copies of Telephone
Offices should be located either in the bill/Electricity Bill/Registered Lease
location of PIU or the concerned Regional Deed supporting the address.
Office where PIU falls and be functional for at
least last 2-3 years.
(b) The firm should be registered with the Certificate of Incorporation in

appropriate registration authority and should respect of the applicant organization
be in existence for not less than five years issued by Registrar of Companies
before the bid date. or a partnership deed duly
registered under the Partnership
Act.
(c) Income/Revenue from Recruitment (Man Copies of audited balance sheet/CA

Power Services) of the firm should be Certificate should be attached for
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S.no. Criteria Supporting Document
decided by RO depending upon the the last three financial years.

classification of the city of the PIU/RO. Attested copy of the latest IT return
Revenue from other business will not be filed by agency
considered
(d) Should have served for minimum of 5 No. of Certified documents in support of
clients as Manpower Service Provider out of past contracts with Govt /PSUs from
which minimum 3 No. of clients should be the concerned establishment.
Govt/PSUs.
(e) The Agency should have been registered Attested copy of PAN Card;
with Income Tax and Service Tax Attested copy of GST registration
departments; Attested copy of PAN Card; certificate in respect of Manpower
Attested copy of GST registration certificate Services etc.
in respect of Manpower Services
(f) Annual Average Turnover during the last A certificate from Chartered
three financial years, ending 31st March of Accountant (Registered) as a proof
the previous financial year, should be at least of turnover for the last 3 years.
30% of the estimated cost.
(g) Maximum Number of manpower on pay roll Self-attested declaration by the

deployed at one office (Ministry / Govt. Agency.
department / PSUs / Autonomous bodies /
reputed Private Sector) during last one year.
(h) The Agency should be registered with Attested copy of the Employee
appropriate authorities under Employees Provident Fund registration letter /
Provident Fund and Employees State certificate. Attested copy of the
Insurance Acts or any other labour Labour License under the Contract
authorities including under the Contract Labour (Regulation & Abolition) Act.
Labour (Regulation and Abolition Act). Attested copy of the Employee
State Insurance registration letter /
certificate.
(i) The agency or any of its partners/directors Self-attested declaration by the

etc should not have been black Agency.
listed/debarred by any of the government
agencies or department or should not have
been found to be guilty of moral turpitude or
convicted of any economic offense or with
violation of any labour laws etc. by any court
or any authority appointed to enforce any
labour laws or regulations.
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4.2 EVALUATION CRITERIA
The tendering evaluation shall be done on weightage with 70% to Technical Evaluation and
30% to financial evaluation. The bidder meeting the minimum eligibility criteria and with the highest
marks/rank (i.e. the total of technical evaluation marks and financial evaluation marks) shall be
deemed as the successful Bidder and shall be considered eligible L 1 Bidder for further process.
4.2.1 Technical Bid:
(a) The technical bid evaluation shall be done based on the following criteria:-
(b) During the technical evaluation stage, each bidder shall be assigned different marks out of
a total 100 marks, as per the criteria specified below:
S. Particulars Max Scoring mechanism

No. Marks
Values Marks
(i) Number of years in 20 (a) 5 years 05 marks

operation
(supported with (b) More than 5 years and up to 10 years 10 marks
documentary proof
(c) More than 10 years (10 + 02 mark for 12-20
for validation)
each additional completed year) marks
(ii) Number of Similar 15 (a) 1 to 2 Nos. 5 marks

nature of
completed works (b) 3 to 4 Nos. 10 marks
during the last 05
(c) More than 4 Nos. (10 + 01 mark for 11-15
years (Supply of
each additional completed work) marks
Manpower/ Facility
Management
Services) costing
Rs. _________or
above.
(iii) Annual Average 25 (a) Up to 10 crores 05 marks

Turnover during the
last 03 financial (b) More than 10 crores and upto 25 10 marks
year. crores
(c) More than 25 crores and upto 50 15 marks

crores
(d) More than 50 crores and upto 75 20 marks

crores
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(e) More than 75 crores (20 + 01 mark 21 - 25

for each additional 5 crores) marks
(iv) Maximum Number 25 (a) Up to 100 05 marks

of Manpower on
pay roll deployed at (b) More than 100 and upto 300 10 marks
one office
(c) More than 300 and upto 500 20 marks
(Ministry/Govt.
Department/PSUs/ (d) More than 500 (20 + 01 mark for each 21-25
Autonomous additional 100 manpower) marks
bodies/Reputed
Private Sector)
during last one
year.
(v) Quality Related 15 ISO 14001 05 marks

Marks (Supported
with valid SA 8000 05 marks
certificates)
OHSAS 18001 05 marks
(c) Similar nature of services means providing manpower services of skilled and unskilled
manpower for routine office work in Govt. organization/Public Sector
organizations/Autonomous Body, Private Sector of repute only, but does not include security
services, catering services etc.
(d) A bidder should secure mandatory of a minimum of 70% marks (i.e. 70 marks out of
total 100 marks as per table) in Technical Evaluation in order to be a qualified bidder for
being eligible for Technical weightage and subsequently for opening of financial bids.
(e) The total marks obtained by a Bidder in technical bid shall be allocated 70%
weightage and the financial bids shall be allocated 30% weightage and thereby making a
total of 100% final weightage for the complete bid.
4.2.2 FINANCIAL BID
(a) The financial evaluation shall be carried out and financial bids of all the bidders shall be
given 30% of the weightage.
(b) The Bidder with the lowest bid Prices (L-1) shall be assigned full 30 marks (i.e. 30% x
100) and his total scores of the bid shall be as per illustration below:
4.2.3 Illustrations:
(a) If a bidder has secured 80 marks out of the total 100 marks in technical evaluation,
his technical evaluation value shall be : 56 i.e. (80 x 70%).
(b) If the bidder at (a) above is L1 Bidder and quoted Rs.100 for being L1, then his total
value shall be : 86 i.e. (56 Technical Value + 30 Financial Value).
(c) The financial scores of the other bidders (i.e. L2, L3 and so on) shall be computed
as under and as explained in (d) below:
30 x Lowest Value (L1 Price) / Quoted Value (L2 or L3…)
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(d) If the Bidder at (a) above is L2 Bidder and he quoted Rs.125, therefore 30% being
the weighted value, the financial scores for L2 shall be computed as under:
30 x 100 (lowest price L1) / 125 (quoted price L2) = 24 (financial score)
Therefore, L2 Bidder shall have total value of 80 (56 Technical Value + 24 Financial Value)
(e) The bidders’ ranking shall be arranged depending on the marks obtained by each of
the bidder both in Technical Evaluation and Financial Evaluation.
4.2.4. The marks of technical evaluation and financial bid shall be calculated upto 02 decimals
points.
4.3 Disqualification
Even though the Bidders may meet the above criteria, they are subject to disqualification for
any of the following reasons:
a) Misleading or false representation/declaration made in the Affidavit or in the other forms,
statements and attachments submitted and included in Bid application.
b) Record of poor performance such as abandoning the work, rescinding of contract for the
reasons which are attributable to the non-performance of the contractor/bidder, consistent
history of litigation awarded against the applicant or financial failure due to bankruptcy.
c) Has been identified by the RO-XXX as poor performer in implementation of past and/or
ongoing NHAI works.
d) If any bidder quoted the rates abnormally below the estimated tender value, the same shall
be summarily rejected by the RO-XXX without assigning any reason thereof and the decision
of RO-XXX shall be final. The Bidder may be disqualified for the period of 5 years by the
RO-XXX.
4.4 Debarment / Black listing
Notwithstanding the above, the RO-XXX may debar or blacklist any of the bidder(s) for their
misleading or false representations in the forms, statements and attachments submitted and
included in Bid application for the period to be decided by the RO-XXX besides taking legal
action.
5. One Bid per Bidder
Each bidder shall submit only one bid. A bidder who submits or participates by way of more
than one bid in same tender notice, all such bids will be rejected and the bidder will be
disqualified for one year.
6. Cost of Bidding
The bidder shall bear all costs associated with the preparation and submission of his E-Bid
and the RO-XXX will, in no case, be responsible or liable for those costs.
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7. Site Visit
7.1 The bidder is advised to visit and inspect the Site of Work and its surroundings and obtain
all information that may be necessary for preparing the bid and entering into a contract for
execution of the Work. The costs of visiting the Site shall be borne by the bidder.
7.2 The bidder and any of its authorized personnel or agents will be granted permission by the
RO-XXX upon request by the bidder in writing to enter its premises and open area inside the
premises of RO-XXX for the purpose of such inspection.
B. Bidding Documents
8. Contents of Bidding Documents
8.1. The set of bidding documents comprises the documents listed below and should be read in
conjunction with any Addenda issued.
Section- I. Notice inviting tender (e-tendering mode only)

Section- II. Terms and conditions including eligibility criterion of the
bid.
Section-III. Procedure for e tendering
Section-IV. Staff Deployment
Section-V. Scope Of Work
Section-VI. General Conditions Of Contract
Section –VII. Special Conditions Of Contract
Section-VIII. Form Of Application, LOA & Agreement
8.2 The bidder is advised/expected to examine/study carefully the contents of all the
above bid documents along with addendum/amendments. Failure to comply with the
requirements of bid documents will be at the bidder's own risk. If Bids which are not
substantially responsive to the requirements of the bidding documents will be
rejected.
9. Clarification of Bidding Documents
A prospective bidder requiring any clarification of the bidding documents may notify
the RO-XXX in writing or by fax (hereinafter, the term "fax" is deemed to include
electronic transmission such as facsimile, cable and email) at the Employer's
address indicated in the Invitation for Bid. The RO-XXX will respond to any request
for clarification which he receives prior to holding of Pre-Bid Meeting. Copies of the
Employer's response will be forwarded to all purchasers of the bidding documents,
including a description of the enquiry but without identifying its source.
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10. Amendment/Addendum of Bidding Documents
10.1 At any time prior to the deadline for submission of bids, the RO-XXX may, for any
reason, whether at his own initiative or in response to a clarification requested by a
prospective bidder, amend the bidding documents by issuing Addendum.
10.2 Any Addendum thus issued shall be part of the bidding documents and shall be
communicated in writing or by fax/email to all purchasers of the bid documents.
Prospective bidders shall acknowledge receipt of each addendum by fax/email to the
RO-XXX.
10.3 In order to afford prospective bidders reasonable time in which Addendum is to be

taken into account in preparing their bids, the RO-XXX may extend the deadline for
submission of bids.
C. Preparation of Bids
11. Language of Bid
The bid, and all correspondence and documents related to the bid exchanged
between the bidder and the RO-XXX shall be written in the English language.
Supporting documents and printed literature furnished by the bidder may be in
another language provided they are accompanied by an accurate translation duly
certified by authorized signatory of the relevant passages in the English language,
in which case, for purposes of interpretation of the bid, the English translation shall
prevail.
12. Documents comprising the Bid
The following documents, which are not submitted with the bid, will be deemed to be
part of the bid.
Section Particulars
Section- I. Notice inviting tender (e-tendering mode only)

Section- II. Terms and conditions including eligibility criterion of the
bid.
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Section-III. Procedure for e tendering

Section-IV. Staff Deployment
Section-V. Scope Of Work
Section-VI. General Conditions Of Contract
Section –VII. Special Conditions Of Contract
Section-VIII. Form Of Application, LOA & Agreement
Part-II Financial Bid:

i) Form of Bid – duly filled in and online
13. Bid Prices
13.1 The Contract shall be for the whole Works, as described in Clause 1.1 based on the
priced Bill of Quantities submitted by the Bidder online only.
13.2 The bidder shall quote service charge in percentage in prescribed format enclosed
as part of tender document on e-tender portal of NHAI.
13.3 All duties & taxes (except GST), shall be payable by the Contractor under the
Contract, or for any other cause, shall be included in the rates, prices, and total Bid
price submitted by the Bidder. The GST shall be reimbursed (if applicable) subject
to production of proof of such payment by the contractor specific to the subject work.
13.4 The rates and prices quoted by the Bidder shall be fixed for the period duration of
the Contract and shall not be subject to adjustment.
14 Currencies of bid and payment

14.1 The unit rates and the prices shall be quoted by the bidder entirely in
Indian rupees.
14.2 All payments including advances, if any, shall be made in indian rupees .
15. Bid Validity

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15.1 Bids shall remain valid for a period of 120 days (one hundred twenty days)
after the deadline date for bid subm ission specified in clause 22. A bid
valid for a shorter period shall be rejected by the RO-XXX AS NON-
RESPONSIVE.
15.2 In exceptional circumstances, prior to expiry of the original bid validity

period, the RO-XXX may request the bidders to extend the period of validity for a
specified additional period. The request and the responses thereto shall be made
in writing or by fax. A bidder agreeing to the request will not be required or
permitted to modify his bid but will be required to extend the validity of his Bid
Security for the period of the extension in all respects.
16. Bid Security
16.1 as part of its bid, the bidder shall furnish, a bid security and cost of the
bid document in addition to other specified/prescribed documents in favour
of national highways authority of india and shall be in the form of a demand
draft from any scheduled indian bank in india, duly approved by the
Reserve Bank Of India (RbI). for value of bid security and cost of bid
document, instructions given under the nit & pro cedure under e-tendering
may please be seen.
16.2 Any bid not accompanied with Bid Security, cost of bid document, and other requisite
documents shall be rejected by the RO-XXX and the bid shall be treated as non –
responsive.
16.3 The Bid Security of the unsuccessful bidders will be returned as promptly as possible.
16.4 The Bid Security may be forfeited for the following reasons:
a) if the bidder withdraws his bid during the period of bid validity;
b) if the bidder does not accept the correction of his bid price, pursuant to Clause 27;
c) in the case of a successful bidder, if the bidder fails within the specified time limit to
furnish the required Performance Security or sign the Agreement.
d) If it is found at any stage that the bidder has furnished wrong information or
misrepresented facts.
16.5 In case of forfeiture of Bid Security, the bidder shall also be debarred from
participation in NHAI works for a period as decided by NHAI.
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17. Alternative Proposals by Bidders
Bidders shall submit offers, which comply with the requirements of the
bidding documents, including the conditions of contract and conditional
offer or alternative offers will not be considered further in the process of
bid evaluation.
18. Format and Signing of Bid
18.1 The documents to be submitted in the physical form along with the demand draft for
fees/security shall be typed or written in ink and shall be signed by a person duly
authorized to sign on behalf of the bidder. All the pages of the documents as
mentioned here shall be signed by the person/persons signing the bid. Documents
as mentioned here in shall contain no overwriting, alterations or additions, except
those to comply with instructions, issued by the RO-XXX or as necessary to correct
errors made by the bidder, in which case such corrections shall be made by striking
out the cancelled portion, writing the correction and signing and dating it along with
the stamp by the person or persons signing the Bid.
19. Sealing and Marking of Bids
19.1 The documents to be submitted in physical form as per clause 2(ii) of Procedure
under E-Tendering (Section-II) shall be submitted in a sealed envelope superscribed
as “Documents in Physical Form” at the top left corner.
In case of any discrepancy between documents submitted online and documents

submitted in the physical form, the documents submitted in physical form shall
prevail over the documents submitted through online process.
20. Deadline for Submission of Bids
20.1 The Bidder shall ensure that the complete e-Bid is uploaded on NHAI e-tender portal
on or before the last date prescribed for submission of bids, as specified in NIT/e-
portal. The Bidder is further required to submit Documents in Physical Form on or
before the last date of Bid and before the time of submission as specified in NIT, at
the following address:
Sh.______________
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Regional Office,
National Highways Authority of India,
<Address>
In the event of the specified date for the submission of documents in Physical form
being declared a holiday for the RO-XXX, the same will be received up to the
specified time on the next working day.
20.2 RO-XXX assumes no responsibility for inability of a bidder to submit bids through
NHAI’s e-tendering portal on account of delay in submission at bidder's end. Bidder
shall ensure that they submit the bid well before the "Due Date & Time of Bid-
Submission". RO-XXX shall not be responsible if bidder is not able to submit the bid
on account of failure in network/internet connection or any other technical reason.
20.3 The RO-XXX may extend the deadline for submission of bids by issuing an
amendment in accordance with Clause 10, in which case all rights and obligations
of the RO-XXX and the bidders subject to the original deadline, will then be subject
to the new deadline.
21. Late Submission of Document in Physical Form:
Any document in physical form if received by the RO-XXX after the deadline
prescribed in Clause 22 will not be accepted and returned unopened to the Bidder
and also the e-bid submitted by such bidder shall not be considered.
22. Modification and Withdrawal of Bids
22.1 Bidders may modify or withdraw their e-bids as directed on the e-tendering portal,
before the Bid Due Date and time.
22.2 No bid may be modified after the last date of deadline for online submission of bids.
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22.3 Withdrawal or modification of a Bid between the deadline i.e. the last day of
submission of bids and the expiration of the original period of bid validity specified
in Clause 15.1 above or as extended pursuant to Clause 15.2 shall result in the
forfeiture of the Bid security pursuant to Clause 16.
22.4 Bidders may modify the prices of their bids before deadline of online submission of
bid.
22.5 No Late and delayed bids after Bid Due date/time shall be permitted in e tendering
portal System. Time being displayed on our e-Tendering Portal shall be final and
binding on bidder and bids have to be submitted by bidders considering this time
only and not the time as per their location.
E. Bid Opening and Evaluation
23 Opening of Technical Bids
23.1 The RO-XXX will open the outer envelope of all the bids received for the work (except
those received late) containing the sealed technical bid and the sealed financial bid
and announce the names of (i) bidders, (ii) bidders who have submitted
technical/financial bids, and (iii) bidders who have given notice for withdrawal of their
bids in the presence of bidders or their representatives who choose to attend on the
date and time mentioned in the ITB (Instructions to Bidders). In the event of specified
date of bid opening being declared as a holiday for the RO-XXX, the Technical Bids
will be opened at the appointed time and location on the next working day.
23.2 Bids for which acceptable notice of withdrawal has been submitted pursuant to
Clause 24 shall not be opened and shall be returned.
23.3 Envelopes marked Technical Bid shall then be opened. Bidder’s names,
‘Modification of Technical Bid’, the presence/or absence of Bid Security, the amount
and validity of Bid Security furnished with each bid and such other details, as the
RO-XXX may consider appropriate will be announced by the RO-XXX at the time of
opening.
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23.4 The bidders or their representatives who are present shall sign attendance sheet
evidencing their attendance.
23.5 The sealed envelope containing the Financial Bid shall not be opened at this stage.
23.6 The RO-XXX shall prepare besides the record of bid opening, minutes of the Bid
opening, including the information disclosed to those present in accordance with Sub
Clause 25.3 hereof.
24. Examination of Technical Bids and Determination of Responsiveness of

Technical Bid
24.1 Prior to evaluation of Technical Bids, the RO-XXX will determine whether the bid is
accompanied by the required Bid Security.
24.2 If the Bid Security furnished does not conform to the amount and validity period as
specified in the Invitation for Bid and has not been furnished as specified in Clause
16, the bid shall be rejected by the RO-XXX as non -responsive as per Clause 16
and the Technical Bid and the sealed Financial Bid will be returned to the bidder.
24.3 The Technical Bid will further be examined to determine whether the bid has been
properly signed, meets the eligibility and qualification criteria, is accompanied by the
requisite certificates, undertaking, Affidavit and other relevant information specified
in the bid documents and is substantially responsive to the requirement of the bidding
documents and provides any clarification for ascertaining the correctness of the
information/details that the RO-XXX may require pursuant to Clause 29.
24.4 If the Technical Bid is not substantially responsive, it will be rejected by the RO-
XXX and will not subsequently be made responsive by correction or modification or
withdrawal of the non-conforming deviation or reservation.
24.5 The RO-XXX shall inform, in writing, the bidders, whose Technical Bid is found to
be responsive, the date, time and place of opening of Financial Bid. In the event of
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the specified date being declared a holiday for the RO-XXX, the Financial Bid will
be opened at the appointed time and location on the next working day.
25. Opening of Financial Bids
25.1 The Financial bids shall be opened for the work in the serial order listed in the ITB
for evaluation and award.
25.2 The RO-XXX will open the ‘Financial Bid’ (including ‘Modification pursuant to Clause
22) of those bidders whose Technical Bid has been determined to be substantially
responsive, in presence of the bidders or their representatives who choose to attend
on the date intimated to such bidders. In the event of specified date of Financial Bid
opening being declared a holiday for RO-XXX, the ‘Financial Bids’ shall be opened
at the appointed time and location on the next working day.
25.3 The names of the bidders whose Technical Bid is found to be substantially
responsive, the bid prices, the total amount of each bid, any discount, ‘modifications
of Financial Bids’ and such other details, as the RO-XXX may consider appropriate
will be announced by the RO-XXX at the opening of the Financial Bid. Any bid price,
which is not read out and recorded at the bid opening, will not be taken into account
in Bid Evaluation.
25.4 The bidders or their representatives who are present shall sign attendance sheet
evidencing their attendance.
25.5 The RO-XXX shall prepare besides the record of bid opening, minutes of the
Financial Bid opening including the information disclosed to those in accordance with
Clause 27.
25.6 If any bidder quoted the rates abnormally below the estimated tender value, the same
shall be summarily rejected by the RO-XXX without assigning any reason thereof.
26. Correction of Errors

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26.1 Financial bids determined to be substantially responsive will be checked

by the ro-xxx for any arithmetic errors. Arithmetic errors will be rectified
on the following basis:-
i) Where there is a discrepancy between the amount in figures and in words for any
rate in the unit rate column, the amount in words will govern.
ii) Where there is a discrepancy between the unit rate and the line item total resulting
from multiplying the unit rate by the quantity, the unit rate as quoted will govern and
the line item total will be corrected accordingly.
iii) If there is a discrepancy between the total bid amount and the sum of total costs per
item, the sum of the total costs per item shall prevail and the total bid amount will be
corrected.
27. The amount stated in the Form of Bid will be adjusted by the RO-XXX in accordance
with the above procedure for the correction of errors and shall be considered as
binding upon the bidder. If the bidder does not accept the corrected amount of bid,
his bid will be rejected, and his Bid Security shall be forfeited in accordance with
Clause 16.
28. Evaluation and comparison of financial bids
28.1 The RO-XXX will evaluate and compare only those Financial Bids whose technical
bids are determined to be substantially responsive and qualified for award of
Contract.
28.2 In evaluating the Financial Bids, the RO-XXX will determine for each Financial Bid
the evaluated Bid Price by adjusting the Bid Price as follows:-
a) Making any correction for errors pursuant to Clause 29;

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b) Making appropriate adjustments to reflect any price modifications offered in

accordance with Clause 24.
28.3 If the Bid of the successful Bidder/s is seriously unbalanced in relation to cost for
contract profit/service charge (including cost of uniforms, washing allowances and
any other charges etc.) of the works, the RO-XXX may require the bidder to produce
detailed price analysis. After evaluation of the price analysis, the RO-XXX may
require that the amount of the performance security set forth in Clause 4 of section
VI (GCC) be increased up to an additional 5 (five) per cent at the expenses of the
successful bidder to protect the employer against financial loss in the event of default
of the successful bidder under the contract.
29 Clarification of Bids
29.1 To assist in the examination, evaluation and comparison of bids, the RO-XXX may,
at his discretion, ask any bidder for authentication the correctness of the
information/details furnished by him in his bid. Such request by the RO-XXX and the
response by bidder shall be in writing or by cable/fax, but no change in the price or
substance of the bid shall be sought, offered or permitted except as required to
conform to the correction of arithmetical errors discovered by the RO-XXX in the
evaluation of the bids in accordance with Clause 27.
29.2 Subject to Sub Clause 30.1, no bidder shall contact the RO-XXX on any matter
relating to his bid from the time of bid opening to the time contract is awarded.
29.3 Any effort by the bidder to influence the RO-XXX in the bid evaluation, bid
comparison or contract award decisions may result in the rejection of his bid.
30. Process to be Confidential
30.1 Information relating to the examination, clarification, evaluation and comparison of

bids and recommendations for the award of a contract shall not be disclosed to
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bidders or any other persons not officially concerned with such process until the
award to the successful bidder has been announced. Any effort by a bidder to
influence the Employer's processing of bids or award decisions may result in the
rejection of his bid.
31. Award
Subject to Clause 34, the RO-XXX will award the Contract to the bidder whose bid
has been determined to be substantially responsive and with the highest marks (i.e.
the total of technical evaluation marks and financial evaluation marks).
32. Employer's Right to accept any Bid and Reject any or all Bids
The RO-XXX reserves the right to accept or reject any bid and to annul the bidding
process and reject all bids, at any time prior to award of Contract, without thereby
incurring any liability to the affected bidder or bidders or any obligation to inform the
affected bidder or bidders of the grounds for the Employer's action.
33. Notification of Award

33.1 Prior to expiration of the period of bid validity prescribed by the RO-XXX, the RO-
XXX will notify the successful bidder by email/fax and confirmed by registered letter
that his bid has been accepted. This letter (hereinafter and in the Conditions of
Contract called "the Letter of Acceptance") shall mention the name of the firm
including quoted amount accepted by the RO-XXX which will pay the Facilitator in
consideration of the execution, completion and maintenance of the Work by the
Facilitator as prescribed by the Contract (hereinafter and in the Conditions of
Contract termed "the Contract Price").
33.2 The notification of award will be subject to signing of the Contract by the RO-XXX &
the successful bidder.
34. Signing of Agreement

34.1 At the same time that the RO-XXX notifies the successful bidder that his bid has
been accepted, the RO-XXX will direct him to submit performance bank guarantee
and after verification of which to direct him to attend the Employer's office on a date
determined by the RO-XXX for signing the Agreement.
34.2 Within 28 (twenty eight) days of the date of signing the Agreement, the successful
bidder shall, if required, have the same engrossed, have the correct amount of stamp
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duty adjudicated by the Inspector General of Registrations, New Delhi and return the
same duly signed and executed on behalf of the successful bidder to the RO-XXX.
35. In case the successful bidder fails to comply with the requirements of Clause 34,
sufficient grounds will be construed for cancellation of the award and forfeiture of the
Bid Security.
36. Corrupt or Fraudulent Practices
i) The RO-XXX will reject a proposal for award if it is found that the Bidder
(recommended for award) has engaged in corrupt or fraudulent practices in
competing for the contract in question. The RO-XXX will declare such bidder
ineligible, either indefinitely or for a stated period of time, to be awarded a contract
by National Highways RO-XXX of India if it at any time determines that the firm has
engaged in corrupt or fraudulent practices in competing for the contract, or during
execution.
ii) In case at any stage, it is revealed that for getting the contract, the bidder has
misrepresented/suppressed/twisted the facts or created an extraneous outside
pressure, the bid security and/or Performance Bank Guarantee shall be forfeited,
besides any other remedy available with the NHAI.
Note : Latest conditions as provided by CVC guidelines /Manual as amended from time
to time, shall be followed in this regard.
SECTION-III
[A] Procedure under E-Tendering
(Note: RFP stands modified to the extent required as per these instructions)
1. Accessing / Purchasing of bid documents
(i)To Participate in the E-Bid submission, it is mandatory for the bidders to get
themselves registered with the NHAI e-Tendering Portal (https://etenders.gov.in)
to get a user ID & Password free of cost through online mode only. Validity of
online registration is one year.
a) After making the online payment, bidders have to send an e-mail intimation at
the e-mail address: support-eproc@nic.in.
b) All profile activations will be done only during NHAI working days.
c) No profile activations will take place during NHAI Holidays & gazetted holidays.
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d) The tender can be viewed/ downloaded from NHAI e-tendering portal

(https://etenders.gov.in) free of cost till prescribed last date & time for submission
of the of the Bids.
Following may be noted:-
 Applications can be submitted only during the validity of registration with the
NHAI e-Tendering Portal being managed by National Informatics Centre (NIC)
i.e. https://etenders.gov.in
 The amendments/clarification to the tender, if any, will be posted on the NHAI
website (www.nhai.gov.in) and NHAI e-Tendering Portal
(https://etenders.gov.in).
e) To participate in bidding, bidders have to pay Application/Document Fee (non-

refundable) to National Highways Authority of India (NHAI) as per the amount
mentioned in the tender document through DD mode only (offline). ‘Application
Fee’ is mentioned in individual tender document as published at NHAI e-
Tendering Portal (https://etenders.gov.in).
f) Cost of Bid document is only DD mode (offline).
g) Bid security is offline and through DD mode (offline).
h) Bidders have to use CLASS III DSC with Signature and encryption Component.
i) The authorized signatory holding Power of Attorney shall only be the Digital
Signatory. In the case of Authorized Signatory holding Power of Attorney and
Digital Signatory are not the same, the bid shall be considered as non-responsive.
ii) If the Applicant has already registered with NIC for NHAI e-Tendering Portal usage
and validity of registration has not expired, then such applicant does not require fresh
registration.
For any clarifications on the above, may contact 0120-4200462, 0120-4001002 or

send email at the address: support-eproc@nic.in
iii) The Complete Bid Document can be viewed / downloaded from the NHAI e-tendering
portal free of cost (https://etenders.gov.in). or www.nhai.gov.in after furnishing the
payment particulars. The bidders shall furnish the details of demand draft against the
cost of RFP at the time of submission of e-bid.
iv) Detailed tender document can be viewed/downloaded from e-tender portal of NHAI
(https://etenders.gov.in) or www.nhai.gov.in from ______.2019 to ______.2019 (upto
14:30 Hrs.)
2. Preparation & Submission of bids:
(i) Detailed tender documents may be downloaded from e-tender portal of NHAI
(https://nhai.eproc.in) or www.nhai.org from ______.2019 to ______.2019
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(upto 14:30 hrs) and tender may be submitted online following the instructions
appearing on the screen. A buyer manual containing the detailed guidelines for
e-tendering system is also available on e-tendering portal of NHAI.
(ii) The following documents shall be prepared and scanned in different files (in
PDF or JPEG format so that the file size is not more than 5 MB) and uploaded
during the online submission of Bid. These documents shall also be submitted
in ‘ORIGINAL’ to NHAI on or before _____.2019 (up to 14:30 Hrs). For
submission of Bids.
(a) Bid security [Rs.________/-] in the form of DD in favour of NHAI payable
at, New Delhi or a copy of valid NSIC registration certificate or MSME
certificate should be attached for claiming exemption from payment of bid
security. However, payment of bid price shall be compulsory without
which bid will be rejected.
(b) Cost of tender document of Rs.1500.00 (Rs. One Thousand Five Hundred
Only) through offline mode only.
(c) Power of Attorney duly notarized for signing of Bid in the format at
Annexure-I;
(d) Affidavit in the format given at Annexure-II.
(e) An Undertaking from the person having POA referred to in Sub.Cl. (c)
above that they agree and abide by the Bid documents uploaded by NHAI
and amendments uploaded, if any (as per format given at Annexure-III &
IV).
(iii) The bid (Price bid) should be submitted online only in the prescribed format
given in the website. No other mode of submission is accepted.
(iv) For documents except as mentioned at Sl.(ii) above of Bid, shall be digitally
signed by the Authorized Signatory of the bidder & submitted “on-line” only. No
hard copy is required to be submitted.
(v) It may be noted that scanned copies can be prepared in different file format
(PDF, JPEG) duly signed digitally.
(vi) It may also be noted that bidders can upload a single file of size of 5 MB only
but can upload multiple files.
(vii) The Documents as specified in para 2 (ii) above shall be placed in a sealed
envelope. The envelope superscribed the following:
ATTN. OF Shri ____________
DESIGNATION _______________________
ADDRESS Regional Office______________
National Highways Authority of India
<Address>
Phone No: _______________________
E-MAIL ADDRESS: _____________________

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3. Modification / Substitution / Withdrawal of bids:
(i) The Bidder may modify, substitute or withdraw its e-bid after submission, prior
to the last date of Bid at 12:30 Hrs. No Bid shall be modified, substituted or
withdrawn by the Bidder on or after the Bid Due Date.
(ii) Any alteration/ modification in the Bid or additional information supplied
subsequent to the Bid Due Date, unless the same has been expressly sought
for by the RO-XXX, shall be disregarded.
(iii) For modification of e-bid, bidder has to detach its old bid from e-tendering portal
and upload / resubmit digitally signed modified bid.
(iv) For withdrawal of bid, bidder has to click on withdrawal icon at e-tendering
portal and can withdraw its e-bid prior to the Bid due date.
(v) Before withdrawal of a bid, it may specifically be noted that after withdrawal of
a bid for any reason, bidder cannot re-submit e-bid again.
4. Opening & Evaluation of bids.
(i) Opening and evaluation of bids will be done through online process.
(ii) The RO-XXX shall open on-line received Bids at 15:00 Hrs. on the Bid Opening
Date, in the presence of the Bidders/ Authorised Signatory /Authorised
representative who choose to attend. The RO-XXX will subsequently examine
and evaluate the Bids in accordance with the provisions set out.
(iii) Prior to evaluation of Bids, the RO-XXX shall determine whether each Bid is
responsive to the requirements of this RFP.
(iv) ‘Financial Bid’ of non-responsive bidders shall not be opened.
(v) The bid shall be opened of those bidders only who submit bid documents in
original as mentioned in para 2(ii) above. The bid submitted on-line but without
submission of original documents as required shall not be opened and same
shall be rejected.
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SECTION:IV
Staff Deployment
1. The Facilitator may exhibit their staff deployment chart. All statutory requirements
and compliance will be the responsibility of the bidders like safety and labour laws
etc.
2. Facilitator shall provide qualified, trained and disciplined manpower as per the table
given below. The employment of these manpower will be with the facilitator as he is
a service provider.
Sl Category No of Minimum Educational Essential
Post Qualification Experience in
No relevant field of
. service
1 Accountant ___ B. Com with minimum 50% marks Five years’

experience in
accounts and
related matters.
2 Stenographer ___ i) Graduate from a recognized Three years’

University/ Board. working
experience in
ii) Shorthand speed: 80 w.p.m. relevant fields.
(Hindi/English).
iii) Transcription speed of 30

iv) Good working knowledge of

MS office.
3 Computer ___ i) Graduate from a recognized At least three

Operator/ Office University/Board. years’
Assistant experience in
ii) Good working knowledge of relevant field.
MS office.
iii) Typing Speed of 35 w.p.m. in

English/ 30 w.p.m. in Hindi.
4 Site Engineer ____ Holding Degree in Civil At least One

Engineering. year’s
228

. service
experience in
relevant field
5 Peon ___ Minimum pass in 10th Standard or ____

higher qualifications will be
preferred
6 Chowkidar/ ___ i) Should be minimum 8th pass. ___

Security Guard
ii) Should have undergone formal
security/fire arms training
Institute of repute and should not
more than 45 years of age.
7 Safaiwala (Part- ___ ___ --

time)
 The total number of manpower may increase or decrease as per the requirement,
payment for extra manpower will be paid pro-rata only for each category.
 The Consolidated salaries of the manpower as per table above shall be as per
policy of NHAI or the minimum wages prescribed by respective State Government
from time to time, whichever is higher.
Working hours: RO-XXX observes five days working (i.e Monday to Friday) in a
week from 9.30 am to 6.00 pm with a lunch break of 1/2 an hour. Besides, the RO-
XXX also observes the Gazetted holidays notified by the Govt. from time to time.
All above agency personnel however, may be required to attend the office on
Saturday for which no extra payment shall be made. They may also be required to
attend the office on Sundays / Gazetted Holidays or attend office before / after
office hours also in exigencies of work for which the RO-XXX will make payment
on pro-rata basis on verification of attendance through biometric.
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SECTION: V
SCOPE OF WORK
Facility Services for the Regional Office ___________ and its PIUs located at
______________ of National Highways Authority of India.
1. The Facilitator may exhibit their staff deployment chart. All statutory requirements
and compliance will be the responsibility of the bidders like safety, labour laws and
the wages act etc. The bidders may also state the additional specific staff
requirement, if any.
2. Facilitator shall provide qualified, trained and disciplined manpower as per the table
given below. The employment of these manpower will be with the facilitator as he is
a service provider
. service
1 Accountant ___ B. Com with minimum 50% marks Five years’

experience in
accounts and
related matters.
2 Stenographer ___ i) Graduate from a recognized Three years’

University/ Board. working
experience in
ii) Shorthand speed: 80 w.p.m. relevant fields.
(Hindi/English).
iii) Transcription speed of 30

iv) Good working knowledge of

MS office.
3 Computer ___ i) Graduate from a recognized At least three

Operator/ Office University/Board. years’
Assistant experience in
relevant field.
230

. service
ii) Good working knowledge of

MS office.
iii) Typing Speed of 35 w.p.m. in

English/ 30 w.p.m. in Hindi.
4 Site Engineer ____ Holding Degree in Civil At least One

Engineering. year’s
experience in
relevant field
5 Peon ___ Minimum pass in 10th Standard or ____

higher qualifications will be
preferred
6 Chowkidar/ ___ i) Should be minimum 8th pass. ___

Security Guard
ii) Should have undergone formal
security/fire arms training
Institute of repute and should not
more than 45 years of age.
7 Safaiwala (Part- ___ ___ --

time)
 The total number of manpower may increase or decrease as per the requirement,
payment for extra manpower will be paid pro-rata only for each category.
 The Consolidated salaries of the manpower as per table above shall be as per
policy of NHAI or the minimum wages prescribed by respective State Government
from time to time, whichever is higher.
Working hours: RO-XXX observes five days working (i.e Monday to Friday) in a
week from 9.30 am to 6.00 pm with a lunch break of 1/2 an hour. Besides, the RO-
XXX also observes the Gazetted holidays notified by the Govt. from time to time.
All above agency personnel however, may be required to attend the office on
Saturday for which no extra payment shall be made. They may also be required to
attend the office on Sundays / Gazetted Holidays or attend office before / after
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. service
office hours also in exigencies of work for which the RO-XXX will make payment
on pro-rata basis on verification of attendance through biometric.
Police Verification of all the above categories of personnel shall be arranged by agency and
record be kept with agency. In case of any criminal activity, facilitator will be
summarily responsible to local police. Also the medical fitness certificate from
Registered Medical Practitioner/Govt. Hospital/State Hospital shall be arranged by
the agency and record kept with agency in respect of staff deployed. Confirmation in
this regard shall be given by the agency to the RO-XXX.
4. If any staff is required to visit any office of NHAI or MoRT&H, or any other Ministry /
Department of Government of India or any other local area related with official work
assigned by their controlling officers, he/she will be paid local conveyance allowance
@ Rs.4.00 per km and TA as per actual or as decided by NHAI. The amount of local
conveyance will be reimbursed to the Facilitator by NHAI.
5. The Facilitator shall issue photo identity cards at his own cost, with the details viz.
name, Father’s Name, Date of Birth, Name of the Organization with address and
telephone No., blood group etc. to each and every staff, supervisor.
6. The Facilitator shall also make arrangements to provide 2 sets of summer uniforms
(with firm’s logo and name of worker) and 2(two) sets of winter uniform with pullover
(with firm’s logo and name of worker) to each of the employee per year at its own
cost and will be distributed well before the onset of the season in the presence of
representative of RO-XXX. The cost of the same is not reimbursable.
7. The Facilitator shall ensure and certify the credentials of persons deployed for
Facility Services and submit the proof duly signed by each worker for record. Any
change of manpower, if required, during the currency of agreement will be permitted
with prior permission of NHAI.
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8. The facilitator shall provide 01 Casual Leave (CL) per month to the persons
deployed. The unused CL shall lapse on 31 st December of every year or the end of the
contract whichever is earlier.
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SECTION: VI
GENERAL CONDITIONS OF CONTRACT
1. Supply of Manpower
1.1 The successful bidder (to whom Contract has been awarded) hereinafter called
“Facilitator”, shall get the works supervised by designated Supervisor officer, who shall
be qualified and experienced to supervise.
1.2 The Facilitator shall be responsible for all pay & allowances of persons deployed, local
laws including minimum wages etc. The contractor shall supply the manpower as
listed in Section – IV “Staff- Deployment” of the Bidding Document, based on the
demand given by NHAI from time to time, within 02 weeks of the Written Notice. In
case of failure against any category, the NHAI shall get the Staff from other Agency
by Nomination, at the Risk & Cost of the Bidder- Contractor/Facilitator. The payment
to Nominated Agency shall be debited from the account of facilitator/contractor.
1.3 The Facilitator should ensure payment of wages to all the workers through their Bank
account by 7th of each month or by 6th (in case of 7th is a Sunday/Holiday) and submit
the Bank statement with next month bill. Non compliance of this condition will result in
a penalty of Rs.10,000/- on each occurrence. (A notice of non-compliance will be
issued by NHAI).
1.4 The payment of the salaries of staff shall be through Electronic clearing Services
(ECS) mode only or through Bank account only. EPF number of all persons and Proof
of EPF payments shall be provided to RO-XXX by the Facilitator.
1.5 The Facilitator shall indemnify the NHAI against any payment to be made under and
for observance of the above mentioned various laws & rules. In case of any liability
which falls on NHAI / RO-XXX for non-compliance of the applicable law by the
Facilitator / Contractor, the Facilitator / Contractor shall fully indemnify NHAI including
legal expenses incurred by RO-XXX to defend itself.
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1.6 The Facilitator undertakes any liability arising out of any dispute raised by the
deployment of Manpower and indemnify the RO-XXX against any such claim including
legal expenses if any incurred by the RO-XXX.
1.7 It is agreed & understood by the contractor that this Contract shall non-transferrable.
The Facilitator is not permitted to sub contract any job arising under this contract
further. The Contractor will neither appoint any sub-agency nor assign any burden or
benefit of this contract to any third party. In case of breach of this condition, the
contract is liable to be terminated by giving one week notice to the contractor.
1.8 A notice showing the wage period and the place and time of disbursement of wages
shall be displayed at the place of work and the copy is to be sent by the Facilitator to
the Principal Employer under acknowledgement.
1.9 The Facilitator shall in respect of labour employed by him, comply with the provisions
of Contract Labour (Regulations & Abolition) Act, 1970 in regard to all matters
provided therein, including obtaining a valid license from the RO-XXX under
Contract Labour (Regulations & Abolition) Act, 1970.
1.10 The Facilitator shall get the work supervised from trained/ experienced supervisor.
2. Contract Period
The contract period of Facilitator shall be valid initially for a period of 02(two) years
from the date of execution of agreement/issue of work order. The Contract can
further be extended as mutually agreed to, between the parties at same rate, terms
and conditions for one more year. Before the expiry of the stipulated period, either
party shall give in writing its intention to extend the contract. If the contract is agreed
to be extended by both the parties, the same shall be in writing and a fresh
Agreement shall be executed for the said period.
3. Bid Security
The Facilitator shall be required to furnish a security Bid Security of requisite value
to NHAI, in the form of Demand Draft. In the event of award of work. Bid Security
shall be released to the successful bidder on submission of Performance Security in
235
the form of Bank Guarantee and signing of the contract. In case of non-submission
of performance guarantee, the Bid Security of successful bidder shall be forfeited.
The Bid Security of non-responsive bidder(s) shall be returned as promptly as
possible. The Bid Security of the responsive bidder(s) shall be returned after signing
of the contract.
4. Performance Security
The successful bidder shall submit a performance security in form of an

unconditional Bank Guarantee from schedule Bank, acceptable to NHAI,
equivalent to 5% of the bid amount and the same shall remain valid for the contract
period + 2 months, i.e. 26 months from date of signing of Agreement.
5. Payments
RO-XXX shall pay the monthly bills within a reasonable time in the succeeding month
of billing month after 15th day after receiving a valid bill with all required supporting
documents. While submitting the bills for payment, the agency shall enclose the
proof of remittance of contributions by employer as well as employee for EPF, ESI,
GST for preceding month of the billing month.
6. Statutory Requirements
6.1 The facilitator shall comply with the statutory provisions of all labour laws statutes,
ordinances, rules and regulations applicable to the employment of the workers and
the services agreed to be provided pursuant to this Agreement and shall obtain all
necessary registration, licenses, approvals, sanctions from the Competent Authority
as are required under Employees Provident Funds and Miscellaneous Provisions
Act, 1952 along with Rules (EPF), Employees State Insurance Act, 1948 along with
Rules & Regulations (ESI), Contract Labour (Regulation & Abolition) Act, 1970 along
with Rules, 1971 and under any other applicable laws providing that any approvals
and registration that are required to be taken by the contractor/facilitator due to the
nature of its business. In case the facilitator contravenes any conditions of license
granted under the Contract Labour Act, the contractor/facilitator shall be wholly
responsible for the consequences thereof. Further, the facilitator shall maintain all
statutory registers, records as required under the applicable laws and shall produce
the same, on demand to the NHAI “RO-XXX” or any other authority under law. The
NHAI reserves the right to withhold invoices if the facilitator fails to produce proof of
236
having remitted the PF/ESI dues or records are not maintained. The facilitator shall
be held wholly responsible for any action taken by the Statutory Authorities for
violation/non-compliance of any such provision/rule.
6.2 The facilitator will comply with all the requirements of the Statutory Authorities under
Contract Labour (Regulation & Abolition) Act, EPF Act ESI Act, Employees
Compensation Act, Minimum Wage Act, Payment of Wages Act, Professional Tax
etc. including monthly contribution to be deposited with the Statutory Authorities in
respect of the employment of workers by him. The wages of every person employed
as contract worker shall be paid without any deductions of any kind except those
specified by the Central Govt. by general or special order in this behalf or permissible
under the Payment of Wages Act, 1936. The facilitator shall ensure the disbursement
of wages in the presence of an authorized representative of NHAI by obtaining a
certificate under the signature of such authorized representative, at the end of the
entries in the register of wages. If the facilitator fails to comply with any of the
provision under any Act or rule or regulation applicable to it and as a consequence
of which the NHAI is compel to bear any additional financial burden such as fine,
penalty, lose or of any other nature, the NHAI reserves the right to recover such
amounts from the invoices of the facilitator along with interest without prior notice.
i. The Facilitator shall maintain prescribed Attendance Register for the deployed
manpower regularly and submit for inspection on demand by NHAI even after
expiry of the period of present contract.
ii. The Facilitator shall be required to submit to NHAI consolidated monthly salary,
deduction, allowances statement of each employee deployed to work duly signed
along with the bills of payment for records.
iii. The Contractor shall ensure for holding of valid licenses for providing facility
services from the concerned Govt. Departments including RO-XXX under all
statutory orders/notifications etc. and laws applicable.
iv. The Contractor shall submit an affidavit on due contribution of PF/ESI for the
previous month, stating that they have disbursed all the due wages and has also
deposited the due contribution of ESI and PF in the ESI and PF department in
each month, before submitting the contractor’s bill to finance/accounts
department for payment to the Contractor.
v. All the statutory obligations relating to Gratuity, PF, ESI, Bonus weekly off,
minimum wages, workman compensation, Leave etc. and other requirements like
uniform/washing allowance to be provided to the workers in facility services shall
be the sole responsibility of the Agency.
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vi. To ensure compliance, the facilitator has also to give an undertaking on an

Affidavit that if they have not paid any dues to the contract personnel deployed
by them and has not deposited the due contribution of ESI and PF, Contractor
shall be responsible to pay such dues to the workers and the balance contribution
of ESI and PF in future including the interest & penalty if any imposed by any
Statutory Authority of Competent Jurisdiction.
7. Compensation
The Facilitator shall ensure that the property of NHAI is not damaged in anyway due
to carelessness of deployed manpower. In case of any injury of major accident the
agency shall be required to compensate to the deployed manpower suitably due to
the negligence and for not exercising due diligence. RO-XXX will not be responsible
on this account in any way. The Facilitator/ agency will also ensure proper
compensation to the deployed manpower on account of injury/death during the
course of their deployment. The Facilitator /agency shall make necessary insurance
arrangements for the manpower deployed and deposit the policy with NHAI.
Insurance policy will cover all staff deployed under contract for any injuries / fatal
accident / death in any accident.
8. Force Majeure
Neither party shall be considered in default in the performance of its obligation under
this agreement, if such performance is prevented or delayed on account of war, civil
commotion, epidemics, fire, unprecedented floods, acts of god or events beyond the
reasonable control of the Affected Party which could not reasonably have been
expected to occur, exceptionally adverse weather conditions, lighting, earth quake,
cyclone, or because of promulgation of any law or regulations by the govt. or any
judgment of any court of Competent Jurisdiction or Statutory Authority in India made
against the Contractor/Facilitator in any proceedings for any reason other than failure
of Contractor/Facilitator to comply with any Applicable Law or Applicable Permits or
on account of breach thereof. At the time of occurrence of a force-majeure condition,
the affected party shall give a notice in writing within 15 days from the date of
occurrence of the force-majeure condition indicating the cause of force-majeure
condition and the period for which the force-majeure condition was likely to subsist.
In the event the affected party is prevented from fulfilling its obligation under the
agreement owing to the force-majeure condition continuing for more than 30 days,
both Parties shall consult each other regarding the continuation of this agreement
including early termination.
9. Deduction of income tax and payment of service tax

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(i) Income tax shall be deducted from all the accepted payment to be made so far,
in accordance with the provisions of Income Tax Act, 1961. Firm must be registered
for work contract tax and also quote their PAN number.
(ii) Service Tax or any other tax as applicable for the service provided to NHAI
shall be borne by the bidder/contractor to whom the contract is awarded.
10. Termination and penalty
i) The Contract may be terminated even before the stipulated period by either party
giving the other one month’s notice in writing.
ii) Either party may also Pre-Terminate for any just cause like Force- Majeure upon
one month’s advance notice in writing to the other party. Any violation of
agreement or suppression of facts will attract termination of agreement by giving
30 days’ notice. Any Pre-Termination of this agreement shall not prejudice the
rights or claims of either party which may have accrued prior to such termination.
iii) In case the agency fails to abide by the terms and conditions, the NHAI besides
termination will be at liberty to obtain the Facility Services from any other agency
at the risk and cost of the successful bidder/Agency.
iv) If any personnel is deployed by Facilitator without uniform NHAI may impose
penalty @Rs. 2000/- per day.
11. Additional Services
If required by the RO-XXX, the agency shall also be required to provide additional
services / manpower of the categories which are not covered under Section relating
to Staff Deployment at the offices of RO/PIUs, at the rates as decided by the RO-
XXX or minimum wages, whichever is higher.
12. Enhancement
a) No enhancement in the rate (%) quoted against service charges / contractor’s

profit will be allowed during the contract period on any account. However, only
on statutory increase in wages, enhanced rate of wages shall be paid by NHAI to
the Facilitator for payment to workers deployed in NHAI.
b) The total number of Manpower may be increased or decreased as mentioned in

scope of work as per requirement, after approval of competent authority, NHAI.
The wages of all additional manpower will be as per contract only.
239
c) RO-XXX may ask the Facilitator for requirement of manpower of the post /
category which are not mentioned in scope of work.
d) Any increase/s in minimum wages as revised by the State Government from time
to time shall be brought to the notice of the RO-XXX by the Facilitator.
Accordingly, if applicable, the same shall be enhanced along with the applicable
rate of PF & ESI and any other statutory dues thereon.
e) Salary/wages etc. of all categories of staff deployed under facility services shall
be paid by the facilitator and shall be reimbursed by the RO-XXX after submission
of the bills along with supporting documents in this regard by the Facilitator.
f) The facilitator in addition to weekly off shall provide 01 Casual Leave (CL) per
month to the persons deployed and the same shall be reimbursed to the facilitator
by NHAI. The unused CL shall lapse on 31st December of every year or the end
of the contract whichever is earlier.
13. Insurance under Group Insurance Policy (GIP):
The Service Provider shall maintain at its own expense, professional liability insurance
including coverage for errors and omission caused by Services Provider’s negligence
in the performance of their duties under the Contract: (A) for the amount equivalent to
total payments for remuneration and reimbursable expenditure made or expected to
be made to the Service Provider hereunder or (B) the proceeds that the Service
Provider may be entitled to receive from any insurance, maintained by the Service
Provider, to cover such as liability, whichever of (A) or (B) is higher. The Policy should
be issued only from nationalized insurance company. The Service Provider shall not
cancel the policy mid-term without the written consent of the Employer and shall
submit an undertaking from the Insurance Company in this regard.
14. Over payments & underpayments
14.1 Wherever any claim for payment of a sum of money to NHAI arises out of or under
this contract against the Facilitator, the same shall be deducted by NHAI from any
subsequent payment due to the Agency & if fall short all such remaining payment shall
be recoverable by the RO-XXX from the security deposit.
15. If any damage / theft are caused to the assets / property / office equipment by staff or
supervisor of the Facilitator then the Facilitator shall bear the cost and NHAI may
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deduct and withhold the payment equal to the sum of assets and property without
serving any notice.
16.1.Cancelation of contract in full or in part
(i) If the Facilitator at any time defaults in proceeding with the work and continues
to do so for 30 days from the date of receiving a notice in writing from RO-XXX.
(ii) Commits default in complying with any of the terms and conditions of contract
and does not take effective steps to rectify it within 15 days from the date of
receiving a notice in writing from RO-XXX.
(iii) Fails to provide the services stated in the scope of work and does not complete
them within 15 days from the date of receiving a notice in writing from RO-XXX.
In the event of default by the facilitator on any of the above, the RO-XXX may
without prejudice to any other right to remedy which shall have accrued or shall accrue
thereafter to RO-XXX by written notice, cancel the Contract as per whole or only such
work where the facilitator is in default. The balance or the work withdrawn from the
facilitator will be got executed through other agency at the Risk & Cost of the defaulting
facilitator. The excess expenditure if any in completion of the balance work or the work
withdrawn will be recovered from the defaulting facilitator.
Besides above, a penalty as deemed fit to the RO-XXX shall be recovered from
the facilitator. In case of part cancellation, the services shall be taken by NHAI from
any other agency by nomination as decided by the Competent Authority at the risk
and cost of the contractor / facilitator.
16.2 RO-XXX shall on such cancellation have powers to take possession of the site and
any materials thereon; and /or carry out the incomplete work by any means at the risk
and cost of the Facilitator. Any excess expenditure incurred or to be incurred by RO-
XXX in completing the works or part of the works or the excess, loss or damages
suffered or may be suffered by as aforesaid after allowing such credit as shall be
recovered from any money due to the Facilitator on any account and if such money is
not sufficient the Facilitator shall be called upon in writing to pay the same within 30
days.
17 Dispute Resolution
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17.1 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,
whether during the execution of the work or after the completion 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 as
set forth below.
17.2 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 reasonable access to all the records, information and data
pertaining to any dispute.
17.3 conciliation- In the event of any dispute between the parties, either party may require
such dispute to be referred to the Member (A) NHAI for amicable settlement thereof,
and upon such reference the Member (A) NHAI shall refer the dispute to one
conciliator of the rank of General Manager and the parties shall agree on the name of
a sole conciliator appointed by Member (A) NHAI, for commencement of conciliation
proceedings. The conciliation proceedings shall be in accordance with the procedure
prescribed in PART III “CONCILIATION” of the Arbitration and Conciliation Act, 1996
as amended by the Arbitration and Conciliation (Amendment) Act 2015.
17.4 The Parties agree that the process of Conciliation and Amicable Settlement
Mechanism will be a Pre-requisite condition before taking recourse to the operation of
the Arbitration Clause.
18. Arbitration
18.1 The parties agree that any dispute or difference arising under or out of or in relation to
this agreement, which is not resolved amicably by conciliation, as provided above,
shall be finally decided by reference to Arbitration by a sole Arbitrator and shall be
referred to SAROD (Society for Affordable Redressal of Disputes) for resolution by
Arbitration in accordance with rules and procedure of SAROD and the provisions of
the Arbitration and Conciliation Act, 1996 as amended by the Arbitration and
Conciliation (Amendment) Act 2015. It is mutually agreed upon by the parties that the
sole Arbitrator shall be appointed in compliance of the Rules and Procedure of
SAROD. The parties shall choose the sole Arbitrator from the panel of Arbitrator
empanelled by SAROD (subject to compliance of furnishing of disclosure in writing as
per Section 12, Schedule 5th & 7th and in the form prescribed in Schedule 6th of
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Arbitration & Conciliation (Amendment) Act, 1996 as amended up to date). The terms
of appointment of sole Arbitrator including the fees of Arbitrator and the expenses
likely to be incurred in the Arbitration shall be governed by relevant Rules of SAROD.
18.2 The place of Arbitration and the venue of hearings of the Arbitral Tribunal shall be at
NHAI HQ or at any nearby alternate accommodation at New Delhi only.
19. 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 respective State shall have jurisdiction over all
matters arising out of or relating to this agreement.
20. General
a) In the event of any dispute over the interpretation of any of the clauses of this
agreement or any part thereof including definitions, the decision of Member
(Admn.), NHAI shall be final and binding on agency.
b) The jurisdiction of legal complaints shall be confined to New Delhi only.
c) The RO-XXX and Facilitator shall make every effort to resolve amicably by direct
negotiations, any disagreement or dispute arising between them under the
contract or in connection with it.
d) In the case of a dispute or difference arising between the NHAI and
Facilitator/Contractor relating to any matter arising out of or connected with this
contract, such dispute or difference shall be referred to Hon’ble Courts in
respective State only and the decision of Hon’ble Court i.e. Lower Court, High
Court & Supreme Court shall be bidding on both the parties.
21. The Facilitator shall issue photo identity cards at his own cost with the details viz.
name, Father’s Name, Date of Birth, Name of the Organization with address and
telephone No., blood group etc. to each and every worker, supervisory staff. Security
staff shall be at liberty to exercise check on any of the works, supervisors while
entering, search them in the premises during the work and while leaving from the
premises. The Facilitator shall also make arrangements to provide 2 sets of summer
uniforms in the month of March (with firm’s logo and name of worker) and 2(two) sets
of winter uniform in the month of October with pullover (with firm’s logo and name of
worker) to each employee, per year at its own cost and will be distributed well before
the one set of the season in presence of representative of NHAI.
243
22. All the statutory obligations relating to Gratuity, PF, ESI, Bonus weekly off, minimum
wages, workman compensation, Leave etc. and other requirements like
uniform/washing allowance to be provided to personnel in facility services shall be the
sole responsibility of the Agency.
23. Inter-se-relations:
23.1 In all circumstances it is clearly understood by the parties that the personnel deployed
by the Facilitator shall have no connection whatsoever with the RO-XXX and the
relationship of master and servant or employer and employee shall be only between
the Facilitator and the personnel. NHAI will have no administrative, supervisory and
managerial control over the personnel deployed by Facilitator.
23.2 In case of termination of this contract on its expiry or otherwise, the personnel deployed
by the service providing agency shall not be entitled to and will have no claim for any
absorption nor for any relaxation for absorption in the regular / otherwise capacity in
the NHAI.
23.3 The Contractor / facilitator shall at all times (including after employment ends for any
reason):
i) Hold all confidential information in confidence and not discuss, communicate

or transmit to others or make any unauthorized copy of or use the information
held by you in fiduciary capacity or in any other capacity, position or business
unrelated to NHAI and unauthorized by NHAI;
ii) Use the confidential information in confidence only in furtherance of proper
RO-XXX related reasons for which such information is disclosed or
discovered; Take all reasonable action, that NHAI deems necessary or
appropriate, to prevent unauthorized use or disclosure of, or to protect NHAI’s
interests in, the confidential information excepts as required by law to do so.
24. Other terms & conditions of the contract
24.1 Removal of Workmen: The Facilitator shall replace the person from the works who in
the opinion of the NHAI officer, misconducts himself or is incompetent or negligent in
the proper performance of his duties. Such person shall not be again employed upon
the works without permission of the NHAI officer.
24.2 Instruction and Notices; All notices required to be given by one party to the other party
on the address given by agency and all other communications, documentations and
244
proceedings which are in any way relevant to this Agreement shall be in writing and
in English language.
All notices to be given by the RO-XXX or by the Manager (Admn) to the Facilitator
under the terms of contract which shall be served upon them by Registered Post or
Speed Post or delivering the same to the contractor’s place of business, herein given
above.
245
SECTION: VII
Special Conditions of Contract
1. The Facilitator shall make arrangement to issue Plastic Identity cards with
Photographs to each of the staff for entry into the premises. These I cards shall be
issued by the Facilitator at his cost. Security staff shall be at liberty to exercise check
on any of the workers, supervisors while entering, search them in the premises during
the work and while leaving from the premises.
2. In case it is felt by the NHAI officer or his authorized representative that any workman
or supervisor of the Facilitator is not suitable for carrying out the job or for supervision
then the workmen or the supervisor is to be replaced immediately by the Facilitator on
receiving official communication from NHAI.
3. All work under and in course of execution shall at all times be open to the inspection
and supervision of the NHAI officer or his authorized subordinates. Orders given to
the contractor’s agent shall be considered to have the same force as if these have
been given to the Facilitator himself.
4. The facilitator shall undertake unconditional certificate to comply with all the provision
provided in the Labour Law and responsibilities of the Principal Employer and
indemnify the RO-XXX against any claim whomsoever arising out of this assignment
5. Period of contract
The Contract shall be valid initially for a period of 02 (two) years from the date of
execution of agreement/issue of work order. The Contract can further be extended on
mutual consent on the same terms and conditions.
6. Extension of contract
If the Facilitator shall desire an extension of contract he shall apply in writing to the
NHAI officer within 30 days before the expiry of contract. NHAI will decide whether the
Contract can be extended or not and shall communicate the same to the Facilitator
7, During the tenure of the contract the Facilitator has to coordinate his work with other
agencies working inside or outside the building while attending to his jobs.
8. Overtime rate per day (8 hrs) for working on Sundays, Gazetted holidays and beyond
working hours (as applicable) will be paid on pro rata basis of the daily quoted rate for
respective manpower. No overtime will be paid for working from 9.30 to 6.00 pm on
Saturdays.
9. If any staff is required to visit MoRT&H, or any other Ministry / Department of

Government of India or any other local area related with official work assigned by their
246
controlling officers, he/she will be paid local conveyance allowance @ Rs.4.00 per km.
The amount of local conveyance will be reimbursed to the Facilitator by NHAI.
10. The Facilitator shall pay & continue to pay during contract and also pay till full
settlement with the labour(s) or workers for all statuary requirements applicable as per
rules and applicable law, including gratuity / retrenchment benefits pertaining to the
currency of the contract. He shall indemnify NHAI and shall keep NHAI indemnified
against such claims.
11. In the event of the Facilitator committing any breach of any terms and conditions
herein contained and /or required to be observed and performed by the Facilitator for
the satisfactory and faithful performance of the contract, NHAI shall be at liberty to
terminate this contract by giving three month’s notice and without assigning any
reason and NHAI shall be entitled to forfeit the security deposit or any part thereof.
12. In case of non-compliance of contract obligations with regard to and also in case of
any damages or breakages to the buildings and fittings attributable to Facilitator’s
labour, Facilitator will be responsible for repairing /replacing the same at his cost failing
which cost with suitable penalty shall be imposed on the Facilitator by officer of RO-
XXX whose decision shall be final and binding on the Facilitator.
13. Indemnity
13.1 The Contractor/Facilitator shall indemnify and undertakes to keep indemnified and
save harmless and defend the NHAI including all its officers, directors, employees,
agents and its affiliates and subsidiaries from and against any and all claims,
demands, actions, proceedings, costs, expenses (including, but not limited to, legal
and other professional fees and expenses) losses, damages and other liabilities etc.
of any nature whatsoever, suffered or incurred by NHAI and that may be raised by its
workmen or by any third party in connection with the obligations under this contract
and/or instituted as a result of any breach or default on the part of the
Contractor/Facilitator of any applicable laws, rules or regulations with respect to the
workmen supplied or otherwise because of non-payment of taxes/failure to comply
with applicable laws relating to the Contractor’s Business.
13.2 The Contractor/Facilitator shall indemnify and compensate the NHAI, if the NHAI as
principle employer under the Contract Labour (Regulation & Abolition) Act, 1970 or
under any other Statutory Legislation becomes liable to assume any liability, penalties
and/or obligations arising out of and from the aforesaid Acts or other similar
legislations.
13.3 NHAI shall not be held liable vicariously or otherwise for any deeds, promises,
offences or misconduct committed by the Contractor/Facilitator or any of its workers
deployed. The persons deployed by the Contractor/Facilitator shall be bound to
247
exercise a duty of care in the rendition of any service and/or in the conduct of any
activities pursuant thereto and shall keep NHAI indemnified from and against any lose
caused to or suffered by the NHAI due to any act of omission or commission or
negligence or willful misconduct whatsoever or any declaration found to be false or
incorrect of the Indemnifying Party.
14. Confidentiality
That the contractor/facilitator and the workers deployed by it and/or any of its
personnel staff shall not either during the period of this contract or at any time
thereafter, divulge or use or disclose to any third party, the secrets or confidential
information including but not limited to details of office, operation process, technical
know-how, security/administrative/organizational matters or any information relating
to business or affairs of NHAI and/or its affiliates which the contractor/facilitator is
exposed to or is received or which may have acquired during the course of the
performance of the outsourced services or pursuant to any activities conducted for
NHAI, and the Contractor/Facilitator shall indemnify and keep indemnified the NHAI
from any loss or damage arising from breach of this undertaking. The
Contractor/Facilitator/Service Provider shall take the necessary steps to cause its
officers/employees to observe the confidentiality provisions hereof.
248
(SECTION-VIII)
Annexures, forms of Application, LOA & Agreement

249
Annexure-I
Power of Attorney for signing of Bid
[Refer Clause 5.1(b) of Section-III, ITB)]
(To be given on Non-judicial stamp paper and duly notarized)
Know all men by these presents,
We, …………………………… (name of the firm and address of the registered office) do
hereby irrevocably constitute, nominate, appoint and authorise Mr.
/ Ms (Name), ………………… son/daughter/wife of ……………………………… 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
“Attorney”) 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 bid for …………………………………………………………. Project
proposed or being developed by the National Highways Authority of India (the “RO-XXX”)
including but not limited to signing and submission of all applications, bids and other documents
and writings, participate in bidders’ and other conferences and providing information /
responses to the RO-XXX, representing us in all matters before the RO-XXX, signing and
execution of all contracts including the Concession Agreement and undertakings consequent
to acceptance of our bid, and generally dealing with the RO-XXX in all matters in connection
with or relating to or arising out of our bid for the said Project and/or upon award thereof
to us and/or till the entering into of the Concession Agreement with the RO-XXX.
AND we hereby agree to ratify and confirm and do hereby ratify and confirm all acts,
deeds and things done or caused to be done by our said Attorney 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 Attorney 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.
250
2.
Accepted Notarized
(Signature, name, designation and address of the Attorney)
Notes: 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. 50 (fifty) and duly notiarised by a notary
public.
Wherever required, the Bidder should submit for verification the extract of the
charter documents and documents such as a board or shareholders resolution/
power of attorney in favour of the person executing this Power of Attorney for the
delegation of power hereunder on behalf of the Bidder.
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, the Power of Attorney provided by Bidders from
countries that have signed the Hague Legislation Convention, 1961 are not
required to be legalised by the Indian Embassy if it carries a conforming Apostle
certificate.
251
ANNEXUE-II
AFFIDAVIT
(To be given on a Non-judicial stamp paper and duly notarized)

1. I, the undersigned, do hereby certify that all the statements made in the required
attachments and bid application are true and correct.
2. The undersigned also hereby certifies that neither our firm ______________________
______________________ nor any of its constituent partners if any have abandoned any
work or works on National Highways Authority of India nor any contract awarded to us for
such works has been rescinded during last five years prior to the date of this bid. We also
hereby declare that neither our firm nor any partner/ director has even been black listed
by any Govt/PSU/Statutory Authority or suspended for any period of contract or penalized
for any breech.
3. The undersigned also furnish undertaking that we are not declared by any court of law as
proclaimed offenders also that we are not convicted under any law for the offences
punishable under Indian Penal Code, TADA, POTA, Negotiable Instruments Act or any
Labour/employee beneficial legislation’s.
4. The undersigned hereby authorise(s) and request(s) any bank, person, firm or
corporation to furnish pertinent information deemed necessary and requested by NHAI to
verify this statement or regarding my (our) competence and general reputation.
5. The undersigned understands and agrees that further qualifying information may be
requested, and agrees to furnish any such information at the request of the NHAI with in
stipulated specified period
__________________________________________
(Signed by an Authorised Officer of the Firm)
I/We ……………………………………. the above named deponent do hereby verify that the
contents of the aforesaid paragraphs 1 to 5 are true and correct to the best of my/our knowledge
and belief and nothing is concealed there from. Verified at Delhi this ………………….day of
……………….2014 ___________________________________________
(Signed by an Authorised Officer of the Firm)

___________________________________
Title of Officer
_____________________________
Name of the Firm
______________________
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ANNEXURE- III
UNDERTAKING
I, the undersigned do hereby undertake that our firm M/s

_____________________________________________________________ would invest a
minimum cash up to 25% of the value of the work during implementation of the Contract
towards the working capital.
_____________________________________
(Signed by an Authorized Representative of the Firm)
_____________________
Name of the Representative
__________________________
Name of Firm
______________________
DATE
253
ANNEXURE- IV
UNDERTAKING
I, the undersigned do hereby undertake that our firm M/s

______________________________________agree to abide by this bid for a period of
_________ days after the date fixed for receiving the same and it shall be binding on us and
may be accepted at any time before the expiration of that period.
____________________________________
(Signed by an Authorised Representative of the Firm)
_______________
__________________
Name of Firm
__________________
DATE
254
ANNEXURE- V
UNDERTAKING
I, the undersigned do hereby undertake that our firm/individual/Proprietor(s)/ Board of Directors

etc. of the firm have been or have not been (strike whichever is applicable) black-listed/
debarred/ suspended/ held non-performer etc. by any Central Govt./State Govt./Autonomous
Body/PSU/Pvt. Sector etc.
2. Further, no litigation or arbitration has been made by/against our firm/any individual/
Proprietor(s)/ Board of Directors etc.
OR
1. The details of black-listing/debarment/suspension/non-performance etc. by Central

Govt./State Govt./Autonomous Body/PSU/Pvt. Sector etc. is given as under :-
2. Details of litigation/arbitration by/against our firm/any individual/proprietor(s)/Board of

Director(s) this firm is given as under :-
____________________________________
(Signed by an Authorized Representative of the Firm)
_______________
__________________
Name of Firm
__________________
DATE
255
ANNEXURE- VI
FORM OF LETTER OF APPLICATION
To
The _______________(Designation)
Regional Office _________________
<Address>.
Sub: Description of Works- Facility Services in NHAI’s Corporate Office.
Dear Sir,
Having examined the Bid Document, Instructions to Bidders Qualification Information, Scope
of works, etc. for the subject work. We hereby submit our bid for the subject work.
It is certified that the information furnished in this document is true and correct. The proposal
is unconditional and unqualified. I/We, the undersigned unconditionally accept that NHAI
reserves the right to reject any or all application without assigning any reason.
Thanking you,
Yours faithfully,
(Authorized Signatory)
for and on behalf of M/s_____________

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Annexure-VII
Tender 2019 for Facility Services for NHAI’s Corporate Office, New Delhi
1. Name of Tendering Company/Firm/Agency with Regn. No., if any :

(Attach Certificate of Registration/Certificate of Incorporation/MOU)
(Pl. Indicate page. no. also)
2. (a) Name of the Proprietor/owner(s)/Active Partner(s)/Directors of the
Company/firm/agency :
(b) Name of the Officer/authorized representative as per POA (Annex.–I)
(c) Name of the Sr. Person of the firm whose CV has been attached :
in the bid document (Indicated page no. at which CV has been given)
(d) year of Constitution of company/firm etc.
(e) Legal status of Bidder (Proprietorship/Partnership or Pvt. Ltd. firm)
[Upload scanned copy of original]
(f) Place of registration: _______________________________________
(g) Principal place of business: __________________________________
(h) Total value of work done in the last three years = Rs………………………..
(i) Annual Turn Over during the following Financial Years (Upload scanned copies of
certificate from Chartered Accountant also to substantiate)
FY 2016 - 2017 : -----------------
FY 2017 - 2018 : ------------------
FY 2018 - 2019 : ------------------
Total : -------------------
Average Turn Over : ___________
3. Complete address of the Registered Office of the Co./Firm/Agency :
Telephone No./FAX No./E-Mail Address :
4. Complete address of Operating/Branch Office at Delhi/New Delhi :
5. Bank details of the Company/Firm/Agency :

257
(Name of the bank/branch/Account No./Type of Account

IFSC Code/RTGS details etc.)
(Attach cancelled cheque-(Indicate page. no. also)
6. (a) Details of Demand Draft towards Cost of Bid document

(DD/PO No. & Date Drawn on Bank) :
(Attach Copy and indicate page. no. also)
(b) Details of Demand Draft towards Earnest Money Deposit
(DD/PO No. & Date Drawn on Bank) :
(Attach Copy and indicate page. no. also)
7. Furnish the following information (Whichever is applicable)

i. PAN/GIR No. (Attach Copy and indicate page. no. also) :
ii. TIN No. (Attach Copy and indicate page. no. also) :
iii. GST No. (Attach Copy and indicate page. no. also) :
iv. Certificate of Incorporation (Attach Copy and indicate page. no. also :
v. Labour license No. (Attach Copy and indicate page. no. also) :
vi. EPF Regn. No. (Attach Copy and indicate page. no. also) :
vii. ESI Regn. No. (Attach Copy and indicate page. no. also) :
viii. MoU, if Any (Attach Copy and indicate page. no. also) :
ix. CBEC Regn. (Attach Copy and indicate page. no. also) :
x. Sales Tax Regn. No. (Attach Copy and indicate page. no. also) :
xi. ESIC Code No. (Attach Copy and indicate page. no. also) :
8. ‘Average Annual Turn Over’ for the following financial years :

(Attach CA certificate to this effect and indicate page. no. also)
Financial Year 2016-17 2017-18 2018-19

Average Turn
Over
9. Detail of Work. (Attach work experience/contract agreement(s)/work completion

certificate(s) issued by the organizations and indicate page. no. also)
Name of Period of Value of Whether value of work given in col.
Organization Work Work 3 of this table is against one
Experience work/contract agreement
(Yes/No). If yes, enclose copy of
agreement & satisfactory work
completion certificate showing
value of work also.
1 2 3 4
10. Additional information, if any (Attach separate sheet, if required).

258
Signature of authorized person of the agency

Date : Full Name & Designation.:
Place : Seal:
Note : (i) A certificate shall be attached that details and documents as given in annexure
have been checked and verified and are found to be correct. This shall be
signed by the authorized person on behalf of the bidder.
(ii) The documents/details provided in this annexure shall be taken on face. These
are subject to verification by NHAI. In case of any document/information found
false, at any stage, the tender of the bidder shall be summarily rejected besides
any other remedy/penalty as deemed fit by RO-XXX.
259
Annexure-VIII
Experience-cum-Work completion Certificate
(To be issued by the Authorized Officer of the Organization

where the agency has provided manpower services for routine office work)
This is to certify that M/s .........................................(name of the agency) has provided

.............................................. (name of the services) to this office from ............ to ......., as per
details as under :-
1. Name of the work/contract agreement ...........................................................
2. Whether there is one contract agreement for the said work : Yes/No
3. Actual period of work as per initial contract agreement : From....... To .............
4. Estimated Cost of the Contract : Rs.....................................................
5. Payment made to M/s ................. during the period of contract (amount paid to the
agency during the extended period of contract not to be included) : Rs................
6. Has the contract been extended beyond initially approved contract period : Yes/No
7. If yes, the date of such extension : From .................. To .....................
8. Payment made to the firm during the extended period : Rs.................................
9. Performance of the firm during the contract period : Satisfactory/Not Satisfactory
Place : (Name, designation and signature of the authorized Officer)
Date : Office Seal

260
FORM OF LETTER OF ACCEPTANCE
No. …………………………. Dated ………..
To
M/s………………………….
Sub.: …………………………. Name of Work …………………………………
Sir,
Based on your bid submitted on ………….. in compliance of bidding document of NHAI

for execution of the work of ………………………………………………. , it is hereby notified that
your bid for a contract price of Rs …………… (Rupees in
words…………………………………………………………………..………) has been accepted
for and on behalf of NHAI
You are hereby requested to sign the contract agreement failing which the actions as
stipulated in contract shall be taken.
Thanking you,
Yours faithfully,
(………………..)
Dy. General Manager
(Admn.)
261
FORM OF AGREEMENT
AGREEMENT
This agreement made the ______________day of ____________________

2019_____________________ between the National Highways Authority of India, New Delhi
(hereinafter called “the RO-XXX” of the one part and _________________ (here in after called
“the Facilitator”) of the other part.
AND WHEREAS the RO-XXX invited bids from eligible bidders for the execution of certain
works, viz………………………………………………
AND WHEREAS pursuant to the bid submitted by the Facilitator, vide ____________ (here in
after referred to as the “BID” or “OFFER”) for the execution of work, the RO-XXX by his letter
of acceptance dated ___________ accepted the offer submitted by the Facilitator for the
execution and completion of such works and remedying of any defects thereon, on terms and
conditions in accordance with the documents listed in para 2 below.
AND WHEREAS the Facilitator by a deed of undertaking dated ________ has agreed to abide
by all the terms of the bid, including but not limited to the amount quoted for the execution of
Contract, as stated in the bid, and also to comply with such terms and conditions as may be
required from time to time.
AND WHEREAS the Facilitator has agreed to undertake such works and has furnished a
Performance Security pursuant to clause 33 of the instructions to bidders (Section-II).
AND WHEREAS the Facilitator (i.e. M/s …) agreed to provide their services at the total contract
price of Rs…….for the period of two years.
NOW THIS AGREEMENT WITNESSETH as follows:
1. In this agreement words and expressions shall have the same meaning as are
respectively assigned to them in the Terms Conditions of contract hereinafter referred
to;
2. The following documents shall be deemed to form and be read and construed as part
of this agreement viz.
(a) Agreement,
(b) Letter of Acceptance
(c) Contractor's Bid, Bidding Documents,

262
(d) Contract Data,
(e) Conditions of Contract, General Conditions of Contract, Special Conditions of

Contract, Conditions of NIT.
(f) Scope of Work
(g) Any other document listed in the Contract Data.
3. The foregoing documents shall be construed as complementary and mutually

explanatory one with another. Should any ambiguity or discrepancy be noted then the
order of precedence of these documents shall be subject to the order as listed above
and interpreted in the above order of priority.
4. In consideration of the payments to be made by the RO-XXX to the Facilitator as

hereinafter mentioned, the Facilitator hereby covenants with the RO-XXX to execute
and complete the works and remedy any defects therein in conformity in all respects
with the provisions of the contract.
5. The RO-XXX hereby covenants to pay the Facilitator in consideration of the execution
and completion of the works and remedying of defects therein, the contract price or such
other sum as may become payable under the provisions of the contract at the times and
in the manner prescribed by the contract.
IN WITNESS WHEREOF the parties here to have caused this agreement to be

executed the day and year above written. Signed, sealed and delivered by the said RO-
XXX through his Authorized Representative and the said Facilitator through his Power
of Attorney holder.
Binding Signature of RO-XXX __________________________________
For and on behalf of National Highways Authority of India, New Delhi – 110 075
Binding Signature of Facilitator __________________________________

For and on behalf of M/s. _________________________________________
In the presence of In the Presence of

1. Name : 1. Name:
Address: Address:
2. Name : 2. Name:
Address: Address:
263
FORM OF BANK GUARANTEE FOR PERFORMANCE SECURITY
Ref.:________________________ Bank Guarantee:______________
Date:___________________
To,
The Chairman,
Plot No.: 5 & 6, Sector-10,
Dwarka, New Delhi – 110 075
Dear Sir,
In consideration of “National Highways Authority of India (NHAI)” (hereinafter referred as the “Client”,
which expression shall, unless repugnant to the context or meaning thereof include it successors,
administrators and assigns” having awarded to M/s. _____________________ (hereinafter referred to
as the contractor, which expression shall unless repugnant to the context or meaning thereof, include
its successors, administrators, executors and assigns), a contract by issue of client’s Contract
Agreement No._________________ dated ______________, and the same having been
unequivocally accepted by the Contractor, resulting in a contract valued at ________________ for
(name of the project) _________________________________ (hereinafter called the “Contract”) and
the Contractor having agreed to furnish a Bank Guarantee to the client as Performance Security as
stipulated by the client in the said contract for performance of the above Contract amounting to
____________________ (in words & figures).
We _________________ (name of the Bank) having its Head Office at ___________ (hereinafter
referred to as the Bank), which expression shall, unless repugnant to the context or meaning thereof,
include its successors, administrators executors and assigns) do hereby guarantee and undertake to
pay the client immediately on demand any or, all monies payable by the Contractor to the extent of
_______________ as aforesaid at any time upto __________________ @ _______________ without
any demur, reservation, contest, recourse or protest and / or without any reference to the
contractor. Any such demand made by the client on the Bank shall be conclusive and binding
notwithstanding any difference between the Client and the Contractor or any dispute pending before
any Court, Tribunal, Arbitrator or any other RO-XXX. We agree that the Guarantee herein contained
shall be irrevocable and shall continue to be enforceable till the Client discharges this guarantee.
The Client shall have the fullest liberty without affecting in any way the liability of the Bank under this
Guarantee, from time to time to vary the advance or to extend the time for performance of the contract
by the Contractor. The client shall have the fullest liberty without affecting this guarantee, to postpone
from time to time the exercise of any powers vested in them or of any right which they might have
against the Client and to exercise the same at any time in any manner, and either to enforce or to
forebear to enforce any covenants, contained or implied, in the contract between the client and the
contractor any other course or remedy or security available to the Client.
264
The bank shall not be relieved of its obligations under these presents by any exercise by the Client of
its liberty with reference to the matters aforesaid or any of them or by reason of any other act or
forbearance or other acts of omission or commission on the part of the Client or any other indulgence
shown by the Client or by any other matter or thing whatsoever which under law would but for this
provision have the effect of relieving the Bank.
The Bank also agrees that the client at its option shall be entitled to enforce this Guarantee against the
bank as a principal debtor, in the first instance without proceeding against the Contractor and
notwithstanding any security or other guarantee that the client may have in relation to the contractor’s
liabilities.
Notwithstanding anything contained herein above our liability under this guarantee is limited to
________ and it shall remain in force upto and including ________ @ ______________ and shall be
extended from time to time for such period (not exceeding one year), as may be desired by M/s.
______________ on whose behalf this guarantee has been given.
Dated this _________________, day of ___________________ 2019 at _______________________.
Witness:
________________________
(Signature)
_____________________
(Name)
_________________________
(Official Address) (Designation, with Bank seal)
Attorney as per Power of Attorney
No.:_________________,
Dated________________
Strike out, whichever is not applicable.
The date will be eighteen months after the date of commencement of services.
Note 1: The stamp papers of appropriate value shall be purchased in the name of bank who
issues the “Bank Guarantee”.
Note 2: The Bank Guarantee will be accepted which is issued by State Bank of India, or its
subsidiaries or any Indian Nationalized Bank. If the Bank Guarantee is drawn on a foreign bank it will
be accepted by NHAI only if such Guarantee is also accepted either by State Bank of India, or any of
its subsidiaries or any Indian Nationalized Bank.
265
Section: 1.7 . Cells/Committees and Duties & Responsibilities
Sub Subject
section
I Grievance Redressal Committee (GRC)

II Reservation Cell of NHAI and Internal Grievance
Redressal Committee for persons belonging to
Scheduled Castes Community.
III Complaints Committee to look into the complaints
of sexual harassment at work place.
IV Setting up of Internal Grievance Redressal
Committee for redressal of complaints/Grievances
of ST employee’s relating to their service matters.
V Executive Committee Meeting
VI Duties and responsibilities of Project Directors
VII Appointment of Site Engineers/Site Supervisors
VIII Duties/Responsibilities of Regional Offices/Field
Offices etc.
IX Activities to be undertaken by Regional Officers
X Streamlining the functioning of Field Officers
266
I. Grievance Redressal Committee (GRC)
[See Circulars No. 11041/242/2017-Admn dtd.16.07.2021]
The Grievance Redressal Committee is comprised of the following members:
i) Shri Sunil Prakash Bhardwaj, CGM (HR/Admn.)-I Presiding Officer
ii) Col Vinay Shahi SM, GM (HR/Admn.)-I Member Secretary
iii) Shri Kamal Kumar Arora, GM (Tech) Member
iv) Shri Virender Sambyal, GM (Tech) Member
v) Shri Subhash Khurana, GM (Fin.) Member
vi) Shri Gajendra Kumar Singh, GM (Legal) Member
2. All employees having any grievance on service matters shall mandatorily approach the
Grievance Redressal Committee first and exhaust all channel before approaching higher Authority or
Court. The Grievance preferred by employees should be addressed to Grievance Redressal
Committee along with copy invariably addressed to Cadre/Section/Division through email
id.:grcell@nhai.org.
3. The concerned cadre controlling division having possession of the service records/documents
of employees need to examine the grievance first as per the extant rules and regulations and intimate
facts / status of the case to the GRC for apprising the same in a time bound manner.
4. The Committee will furnish a report to Chairman’s Office on monthly basis regarding list of the
cases received and disposed of by the Committee.
267
II. Reservation Cell of NHAI and Internal Grievance Redressal Committee for
persons belonging to scheduled castes community
[See Circulars No. NHAI/11041/02/2002-Admn. (Pt.) dtd 01.07.2013, 21.02.2014, 24.06.2020,

21.02.2022 and NHAI/HQ/SC/ST/OBC/2014—15/10 dtd. 26.02.2014]
In order to ensure compliance of the reservation order as per Government of India for
SC/ST/OBC issued from time to time, a reservation cell comprising of the following members is
constituted in NHAI to ensure prompt perusal and deliberation of the grievances for taking appropriate
action on such grievances/representation of SC/ST/OBC employees of NHAI.
i) Shri Aditya Prakash, CGM (Tech.) : Chairman of the Cell and Liaison Officer for SC/ST
ii) Shri Uma Kant Meena, DGM (Tech.) : Representative for STs
iii) Shri Yogendra Kumar, DGM (Admn.) : Representative for SCs
iv) Shri Sumer Singh, Manager (Rajbhasa) : Representative for OBCs
2. The aggrieved SC/ST/OBC employees of NHAI are advised to forward their grievances/petitions
to the undersigned alongwith the following documents:-
(i) Details of case justifying grievance alongwith certified documentary support

(ii) A brief note of grievance (maximum 1 page)
(iii) Relief sought for
(iv) Justification (as to how the complainant has been aggrieved by violation of rule)
3. The copy of representation may be also send on e-mail scstobccell@nhai.org.
4. The Reservation Cell also look after/examine the cases related to SC Category employees as
per directions of National Commission for Scheduled Castes’ letter No. 39/MISC-2?IGR
Committee/2020/SSW-I dtd. 29.07.2020 and submit the quarterly report to the Commission through
Ministry (MoRT&H) in the format below.
Sl. No. of cases No. of No. of Action taken Remarks

No. (registered) successful unresolved against wilful
cases cases defaulting
officer(s)
1 2 3 4 5 6
268
III. Complaints committee to look into the complaints of sexual harassment at

work place
[See Circulars No. 11041/217/2007-Admn dtd. 30.12.13, 30.05.2008 and NHAI/ 11041/92/2013- HR.I
dtd. 09.03.2021]
Complaints Committee against sexual harassment of women-in accordance with guidelines and
norms laid down by Hon’ble Supreme Court in the case of Vishaka and others V. State of Rajasthan &
others (JT 1997 (7) SC 384), a Complaints Committee is comprised of the following Members for
inquiring into complaints on sexual harassment of women:
(i) Smt. Pratima Gupta, GM (Tech.) Chairperson
(ii) Sh. Vikas Malhotra, GM (IT) Member
(iii) Smt. Vandana Sharma, NGO Member

Representative
(iv) Smt. Megha Jain, DGM (Tech.) Member Secretary
(v) Smt. Akta Kumar, DGM (Tech.) Member
2. The Complaints Committee will follow the instructions issued by the Deptt. Of Personnel &
Training from time to time for its functioning.
3. The Complaints Committee will meet once in a quarter, even if there is no live case and review
preparedness to fulfil all requirements of the Vishakha Judgment in accordance with Deptt. Of
Personnel & Training OM No. 11013/3/2009-Estt (A) dated 3.8.2009.
4. The Complaints committee will make an annual report to the Member (Admn.) of the complaints
and action taken by them in the month of April every year.
5. The Committee Members will be paid the honorarium within the range of Rs.5000 to RS.10,000/-
for conducting inquiry. However, the actual quantum of honorarium will be decided by Member (Admn)
after completion of the inquiry by the Comlaints Committee.
6. The representative of the NGO may be provided a vehicle for attending the meetings of the
Committee on inquiry, if such a request is made by the representative.
7. The copies of the Deptt. of Personnel & Training OMs under which guidelines / instructions and
norms to be observed to prevent sexual harassment of women have been issued are indicated in the
Annexure I.
269
IV. Setting up of internal Grievance Redressal Committee for redressal of

Complaints / Grievances Of ST employees relating to their service matters
[See Circular No. 11041/02/2002-Admn dtd. 30.11.2021 and Letter No. A-46015/3/2020/E-I dtd.
17.12.2021]
In terms of directions of National Commission for Scheduled Tribes (NCST) vide letter dated
03.08.2021, the ‘Internal Grievance Committee’ for redressal of employment/service related grievances
of ST employees in NHAI is comprised of the following members:
(i) Shri P.C Arya, CGM (Tech.) - Chairperson

(ii) A SAG/Director Level Officer of External - Member
Department (Scheduled Tribe) to be
nominated by Ministry of Road Transport &
Highways/ Shri Ram Raj Meena, Deputy
Secretary
(iii) Shri Subir Kumar Mandal, DGM (HR/Admn- - Member
I)
(iv) Shri Uma Kant Meena, DGM (Tech.) - Member / Liaison Officer
(v) ST lady Officer of Director / Deputy - Member
Secretary / Deputy Director level
2. The Internal Grievance Committee will examine the complaints of the employees belonging to
Scheduled Tribes on matters such as (i) Non-maintenance of reservation roster and not filling up of
reserved vacancies (ii) Discrimination in promotion/ seniority / MACP / ACT (iii) Non-appointment on
compassionate grounds (iv) Adverse / downgrading of APARs (v) Termination / dismissal from services
(vi) Discrimination in transfer / posting (vii) Denial of terminal benefits etc. and take necessary action
for immediate redressal of the grievances. The Committee will submit a quarterly report to the
Commission through MoRT&H in the following format :
l.No No. of No. of No. of Action taken Remarks

grievances grievances grievances against willful
registered successfully unresolved defaulting
redressed officer(s)
(1) (2) (3) (4) (5) (6)

270
V. Executive Committee Meeting
[See NHAI Policy Circulars No. 11041/116/2010-Coord dtd. 25.03.2011, 11041/230/2007-

Coord dtd. 04.07.2012, 100/2012 dtd. 11.12.2012, 11041/230/2007-Coord dtd. 27.11.2015,
11041/230/2007-Coord dtd. 06.12.2016, 18.20/2016 dtd. 28.12.2016, 11041/230/2007-Coord
dtd. 28.04.2017, 18.28/2017 dtd. 03.11.2017, 11041/230/2007-Coord dtd. 11.06.2018,
18.31/2018 dtd. 20.06.2018, 6.20/2019 dtd. 26.06.2019, 11041/230/2007-Coord dtd.
31.07.2019, NHAI/11041/280/2018/Coord dtd. 16.08.2019, 11041/230/2007-Coord dtd.
10.10.2019, 11041/230/2007-Coord dtd. 15.10.2019, 18.67/2021 dtd. 23.03.2021]
Following instructions are issued regarding submission of Agenda Items for

consideration and decision of the Executive Committee (EC) of NHAI:
(i) Member concerned should decide as to whether the Agenda Item is fit to be
brought before EC or not. If Member concerned is not satisfied with the proposal,
it should not be placed before EC.
(ii) As per instructions in vogue vide policy circulars dated 28.12.2016 & 09.05.2017,
the Technical Divisions were submitting proposals first to the Contract
Management Division (CMD) before submission of the agenda item to the EC for
critical examination of various issues and advice/ comments. It was observed that
such practice is diluting the responsibility of the Technical Divisions, while they are
equally competent and knowledgeable. Further, this practice has been resulting in
delays in processing of the proposals, without much value addition. Hence, it has
been decided now to dispense with this practice forthwith. Now, the Technical
Divisions should submit the proposals directly to the EC through their respective
members and they would be solely responsible for the detailed examination of the
case.
(iii) Agenda Item should be very brief (maximum 1 to 2 pages only) and in the format
enclosed. The text should be in ARIAL with a font size of 11 with 1.5 spacing. The
content of the Agenda Item as well as the decisions sought should be clear and
unambiguous. The enclosures of the Agenda Item should be legible.
(iv) The Agenda Item should invariably include the Financial implications (Direct and
Indirect) if the proposal is for consideration of the EC.
(v) The officer signing the Agenda Item would be responsible for the correctness of
the contents in the Agenda Item.
271
(vi) Executive Committee meeting would be held on every week, on the date & time
decided by the Competent Authority.
(vii) The Executive Committee in its 401st Meeting held on 20.09.2019 vide Agenda
Item No. 401.12 has directed to issue instructions to ensure back to back
photocopy of EC agenda items and also not to make agenda items bulky. EC also
directed that the concerned CGM may carry the required supporting documents
which could be shown to EC, if asked for, in the meeting.
(viii) Despite above instructions, bulky Agenda Items are still coming before EC. EC has
taken serious objection to such bulky items. The concerned Division shall bring all
important issues involved to the notice of EC in brief, rather than putting up bulky
Agenda items. EC instructed all concerned divisions once again to scrupulously
comply with the above instructions in future.
(ix) The Agenda Item duly signed in the prescribed format given below, on all pages
by CGM (or GM, if CGM is not posted or on leave) and copy of note sheet
containing the approval of Member concerned can be loaded for consideration of
EC till the evening of one day before EC meeting, but no Agenda Item shall be
permitted to be loaded on the day of EC meeting or tabled, unless Chairman
formally approves, before the start of EC meeting, for loading/tabling of any item.
The agenda items should contain Unique Project Code (UPC). Henceforth, no
agenda item will be accepted without UPC.
(x) Member concerned-should present/ steer the Agenda Item before the EC and
CGM concerned (or GM, if CGM is not posted or on leave) should only assist the
Member in addressing the query of the other Members/ Chairman.
(xi) The Minutes would be drafted after discussion on each item during the meeting
itself. Any Member having different view in the matter should inform the same in
the meeting itself so that his dissent/ view point is also recorded. The draft so
finalized would be circulated to the Members on file by Coordination Division so as
to check any factual inconsistencies, before approval of Chairman and issue of
minutes. The minutes of previous EC meeting must be issued before the next EC
meeting.
(xii) It has, therefore, been decided with the approval of the Competent Authority that
decision of the Executive Committee on a particular matter may be implemented
by the concerned General Manager and need not be further processed on file.
272
(xiii) Further, an online portal for uploading agenda item, copy of the approval of
Member concerned and copies of Annexures of agenda items may be uploaded
by the concerned CGMs on the portal well within the prescribed time frame.
Format
Agenda Item No.___________
Agenda Item for consideration of Executive Committee
1. Project Name/ Subject (in brief):

2. Proposal (30 words):
3. Synopsis of Proposal: (Maximum 100 words)
4. Details of Proposal: (As per requirement)
5. Comments/views of concerned Division (including comments/views of IE, PD
& RO):
6. Recommendations of concerned Division at HQs:
7. Recommendation of the concerned Member:
8. Financial implications in case EC approves the proposal:
(i) Direct; and
(ii) Indirect
9. Approval sought:
(Name & Signature of concerned Officer)

273
VI. Duties and responsibilities Of Project Directors
[See NHAI Policy Circular No. 11041/ 21/ 2002- Admn. Dated 18.04.2006]
(i) The Project Director (PD) will be overall in charge of the project at site within his
jurisdiction. He will also associate himself in .the preparation of the Detailed Project
Reports.
(ii) He will ensure timely acquisition of land, shifting of utilities and removal of
obstructions, obtaining environment clearances and permission for tree cutting and
securing approval of the railways for construction of ROBs. He will liaise with other
agencies and groups to ensure that all the local issues are satisfactorily dealt with. He
will interact with the State Governments and other departments of Central Government
for resolving issues holding up the progress of the work.
(iii) He / she will attend meetings called by the State Nodal Officers for review of
progress of works and removal of bottlenecks, if any.
(iv) He / she will hold regular progress review meeting’s with the contractors and the consultants.
(v) He / she will supervise and monitor the performance of the, construction supervision
consultant and through him of the contractor. He will administer the powers vested
with him under the contract, including making of payments. He will oversee the
Contractors site laboratory.
(vi) He himself or through his designated officer of PIU will carry out random test check
of 3 % of the measurements, including 3% test checking of all hidden items of the work and
all items for which the quantity exceeds more than 25 % of the tender quantity, before
making payment of any running/final bill. Hidden item is one, which is not exposed for
measurement after completion such as clearing and grubbing, earth work, bridge foundation,
granular sub base, bituminous base etc). The test measurement shall be in the presence
of the Team Leader/Resident Engineer or other authorized personnel of the Supervision
Consultant for verifying the veracity of the bills and for checking the quality of the works. In
case the check measurement is carried out bythe designated officer, the Project Director
will countersign the check measurements.
a) Project Director shall also exercise test check of at least 3 % of Original Ground
Levels/reduced Levels recorded by the Supervision Consultant in the Level Book. The
test check should be as representative as possible for the entire work done.
b) For the purpose of test check, “measurements” means the “corresponding
monetary value of measurements of work done.” This, however, does not apply to
“levels” in which case the test check has to be based on the number of levels
recorded
c) Payment of any monthly interim IPC received shall not be held up for want of
274
check measurement by the Project Director. If the check measurement could not
be made by him, 75% of the payment will be released subject to fulfilment of
other conditions, the balance 25 % payment withheld for adjustment, if any, after
test check measurement.
(vii) PD will issue Measurement Books. Level Books and Field Books to the Supervision
Consultants in respect of works under his charge. He will ensure that these
documents are maintained and utilized properly by the Supervision Consultant. Before
releasing payment against IPC of the contractors, the PD will ensure;
a) The Measurement Book is maintained by the Supervision Consultant in the
standard format and in accordance with the guidelines prescribed/as per the
contract conditions.
b) That the mandatory percentage checking required to be conducted/certified by
various key personnel of the Supervision Consultants, including the Team
Leader, as per the contract conditions have been duly recorded in the
Measurement Book.
c) That the mandatory check measurements have been carried out by him.
d) That the abstract Measurement Book is neatly and correctly drawn by the
Supervision Consultants and has been signed by the Team Leader.
e) That the items, quantities and rates, etc., in respect of the executed
items/quantities and as claimed under any IPC are as per the contract.
f) That all other contract conditions and guidelines issued by NHAI Headquarters on
the subject have been complied with.
g) That all the payments including advances and recoveries are recorded in the
abstract Measurement Book and are duly authenticated by the Project Director
and the DDO.
h) Before release of payment against IPC, the Project Director and the drawing &
Disbursing Officer (DDO) shall ensure that the above necessary requirements
have been compiled with.
(viii) PD will associate with the Team Leader/Resident Engineer of the Supervision
Consultant in test checking of quality control tests at least to the extent of 3 %.
(ix) He will monitor that the original pre-qualified contractor is actually working and that
there is no un-official sub-letting or back-to-back arrangement by the contractor to
perform the contract or any part thereof. If the contract provides for a Joint Venture
or a sub-contractor, PD should independently watch that they perform within
accepted conditions and framework of the contract. He will also check‹ that the
machinery and equipment as originally promised are actually working on the project
site. If there isany infraction of or deviation from the agreed/approved agreements,
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he will take appropriate action as per conditions of the contract and will send his
findings to the Headquarters.
(x) He will ensure that the personnel of the Supervision Consultant are deployed at site as
per the manning schedule agreed in the contract. He will give directions to the
Supervision Consultant for any laxity in respect of inadequate deployment and
poor quality level of supervision during execution of the work.
(xi) Project Director will report to the Headquarters critical issues in the implementation of
the project. He will provide the necessary inputs to the Headquarters as and when
required. He will examine the proposals of variations, time extension, disputes and
claims etc. and furnish comments/recommendations to the Headquarters, and present
the case before DRE/DRB and arbitral tribunal. He will ensure proper maintenance of
all relevant record that may be needed at any time in the future to defend cases before
the arbitrators or in the courts. On transfer, he will leave complete handing over notes,
with reference to records, about all differences, disputes, claims and other matters to
enable the successor effectively watch the interest of NHAI.
(xii) Project Director heading the CMUs will build, update and maintain NH data required
for Pavement Management System (PMS) and Bridge Management System (BMS)
on a computerized Geographical Information System (GIS) data base.
(xiii) Project Director will take action for prevention and removal of encroachment un-
authorized access, billboards and advertisements hoardings from NH land.
(xiv) He will prepare monthly ‘encumbrances’ list of the project site and submit to the NHAI
Headquarters.
(xiv) He will examine the proposals of access permission (private properties and retail
outlets) as per relevant guidelines and submit the same to the Headquarters in time.
(xv) He will take action to update National Highway land records and develop inventory of
highway land & property.
(xvi) He will ensure that the prescribed building lines, control lines and set back distances
are duly enforced.
(xvii) He will exercise proper supervision of control to ensure that toll collection is smooth
and as per the guidelines.
(xix) He will submit monthly progress report to Headquarters in the prescribed format.
(xx) He will be responsible for maintenance of accounts in the prescribed manner and
operation of Bank Account as joint signatory. He will attend to Audit observations
promptly.
(xxi) He will ensure that all the project records are maintained properly in the PIU/CMU. He will
supervise the work of other officers and staff in the PIU/CMU.
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(xxii) Project Directors will maintain fixed assets register in respect of the assets purchased
out of own funds including assets transferred from HO and assets acquired by
contractors/consultants currently in their possession or transferred as part of their
contract. In addition, PIUs/CMUs are also advised to carry out physical verification of the
assets at the end of each financial year and submit a copy of the same to the
Government Auditors/Internal Auditors during the course of their audit in the
PlUs/CMUs. Insurance of such assets should also be taken.
(xxiii) On completion of the Defect Liability Period, PD will carry out half-yearly performance
evaluation of the project during the life cycle of the project.
(xxiv) On completion of the project, he will write a confidential performance appraisal report of
the Supervision Consultant and submit it to the Headquarters. He will also receive the
performance appraisal report of the contractor put up to him by the supervision
Consultant and forward it to the Headquarters after countersignature/his remarks.
(xxv) The Project Directors PIU/CMU will act as representative of principal employer
(i.e.NHAl) under (a) Contract Labour (Regulations and Abolition) Act 1970 and Rules
made there under and (b) Employee's Provident Funds and Miscellaneous Provisions
Act 1952 and schemes framed thereunder. They will be responsible to implement all labour
welfare activities required to be done by principal employer as per statutory
provisions.
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VII. Site Engineers/Site Supervisors
[See NHAI Policy Circular No. 11041/217/2007-Admn dated 28.11.2007]
In order to overcome the shortage of Engineers for close supervision of monitoring of

projects of NHAI as well as to strengthen the needs of various PIUs implementing the
projects, the guidelines of appointment of Site Engineers /Site Supervisors on short-term
contract in PIUs are as outlined below:-
Site Engineer/ Site Supervisors
(i) Site Engineers / Site Supervisors may be considered for engagement in the
construction packages where Managers are not in position. They may be considered
mainly for the works where concession agreements/contracts have been awarded
(project management) or where pre-construction activities have to be undertaken.
However, they may be engaged only in case of absolute necessity. Keeping this in
view the requirement shall be assessed by the concerned Project Director and CGM
of the State.
(ii) On posting of the Manager for a particular package, the services of the Site Engineer
/ Site Supervisor will be terminated.
(iii) The following eligibility criteria and consolidated emoluments have been agreed to for
appointment of Site Engineers and Site Supervisors:
SI. Post Consolidated Other Benefits Educational
No. Emoluments Qualification
(i) Site Rs.22000/- Vehicle for site inspection For those holding Degree in
Engine per month + per diem allowance @ Civil Engineering with more
er Rs.100/- day than one year's experience
(ii) Site Rs.18000/- Vehicle for site inspection For those holding Degree in
Engine per month + perdiem allowance @ Civil Engineering with less
er Rs.l 00/- day than one year's experience
(iii) Site Rs.18000/- Vehicle for site inspection For those holding Diploma
Super per month + per diem allowance @ in Civil Engineering with
visor Rs. l 00/- day more than five years’
experience
(iv) Site • Rs.15000/- Vehicle for site inspection For those holding Diploma
Super per month + per diem allowance @ in Civil Engineering with
visor Rs.100/- day three to five years’
experience
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(iv) Project Directors in consultation with the concerned CGMs will recruit the Site Engineers
/ Site Supervisors either by advertising the posts in newspapers or through placement
agencies. The Site Engineers / Site Supervisors will be engaged on contract basis for
a period of one year or till the placement of a Manager, whichever is earlier.
(v) The contract would be extended subject to the requirement of the works and non-
availability of Manager.
(vi) The contract Site Supervisors/ Site Engineers will not have any financial powers and will
not sign any cheques. The format for the .contract will be separately circulated.
2. The procedure for appointment of Site Engineer / Site Supervisor shall be as follows :
i) The Project Director of a PIU in consultation with concerned CGM, identify the
vacancies for Site Engineer/Site Supervisor, as per stipulations given above and shall
take necessary action to recruit the Site Engineer/Site Supervisor either by advertising
the posts in newspapers or through placement agencies. PIU may also intimate the
vacancies to local employment exchange. It will, however, be preferable to take action
together for all PIUs of a particular State, through a nodal PIU, for filling up all the posts.
ii) The selection of the Site Engineer/Site Supervisor shall be finalized through interview
by a Committee of three officers headed by GM (Tech.)/CGM (Tech.) of Head Office,
Project Director and one or more officer from nearby PIUs.
iii) The appointment shall be approved by the Member (Admn) in HQ.
iv) The recruitment of the Site Engineer / Site Supervisor shall be on contract basis
and consolidated emoluments and other benefits shall be, as outlined above, for a
maximum of one year or till the placement of a Manager for a particular case.
v) The contract may be extended subject to requirement with recommendation of
CGM (Tech.) of the concerned State by the Member (Admn).
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VIII. Duties/Responsibilities of Regional Offices/Field Offices etc
[See NHAI Policy Circular No. 11041/262/2009-Admn dated 09.09.2009]
1. The Regional Officer (CGM) may submit a proposal for approval to Member (P)/Member
(Fin)/Member (Admn.), HQ on distribution of duties/responsibilities to various officers in
the Regional office.
2. The provisions in respective Contracts/Concession Agreements shall govern in case any
of the duties/responsibilities given below are contradicting with such provisions.
3. General Issues:
3.1 Preparation of the Budget (Original/Revised) for each Financial year.

3.2 Propose the projects/works to be taken up in the region in order of priority based on
the broad criteria set by the HQ.
3.3 CGM will be the Nodal Officer of NHAI to coordinate and expedite the pre-
construction activities with various Departments of State/Central Government like
land acquisition, shifting of utilities, tree cutting, removal of encroachments,
environment clearance, state support agreement/MoU, approval from Railways, etc.
CGM shall convene the meetings regularly with the State Nodal Officer.
3.4 Review various reports of PDs on status of pre-construction activities, progress of
projects, replies to Parliament Questions and information under RTI matters, etc. and
forward to HQ.
3.5 Salary, establishment and office expenditure – follow the guidelines of HQ and
disburse the payments.
3.6 Examine and approve the submissions of NHAI before DRB/Arbitration/ Court on the
dispute.
3.7 Review the observations of Internal Auditor/Statutory Auditor (CAG)/Vigilance/Safety
Auditor and take follow up actions.
3.8 Examine the cases for permission of access to retail outlets/private properties, laying
of pipelines (underground)/cables/overhead poles/lines, etc. and grant permissions
following the guidelines of the Ministry.
3.9 Empanel a list of legal experts for use in Regional/PIU/CMU Offices as per fee
structure/ guidelines of HQ.
3.10 Examine the proposals for release of securities (bid security/performance
security/retention money) and approve the same if these are within the powers of
Regional Officer and recommend to HQ if it is beyond the powers of Regional Officer.
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3.11 Examine and approve the proposals of advertisement including the drafts, ad agency,
newspapers/editions. Economy should be observed while deciding the content of ad
and number of newspapers/editions.
3.12 Maintain a data base on the performance appraisal of the contractors/consultants.
The attention paid by the Contractors/ Consultants for safety during design,
construction and maintenance may be given special emphasis in performance
appraisal.
3.13 Economy should be observed while allowing the tours of officers in RO/PIU/CMU and
while conducting the review meetings.
3.14 Develop a record keeping system in Regional Office and tracking system for various
BGs, cases/files & grievances.
3 .15 Engage on job contract basis, the Site Engineers, Support staff (Stenographer,
Accounts, Office Maintenance), Consultants/Advisors required for
Regional/PIU/CMU Offices duly following the guidelines of HQ and without creating
any liability on NHAI.
4. Project Preparation:
4.1 Based on the standard formats, finalize the ToR/RFQ/RFP of each project for
Feasibility Study/PPR/DPR and forward to HQ for further action.
4.2 Inspect the site and hold site meetings with the Consultants on monthly basis so as to
decide the major issues under Feasibility Study/PPR/DPR:
4.3 Examine and approve the Feasibility Study/PPR/DPR after presentation to the State
Authorities and inviting their comments. If the project qualifies for peer review/proof
checking of designs the same may be undertaken before approval;
4.4 Based on the standard formats, finalize the PPPAC Proposals/Technical
Schedules/RFQ/RFP in case of BOT Projects and bidding documents in case of EPC
Projects and forward to HQ for further action;
4.5 Examine the proposals for replacement, variations, extensions of time, penalties and
termination in case of the Consultant and approve the same if these are within the
powers of Regional Officer and recommend to HQ if it is beyond the powers of Regional
officer.
4.6 Release of payments to the consultants in the absence of PIU.
5. Pre-Construction Activities:
5.1 In case of land acquisition, propose the staffing of LA Cells/ Competent
Authority/Arbitrators, forward the notifications (3a, 3A & 3D) and the estimate for
establishment charges of LA Cells, compensation and R&R to HQ for further action.
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5.2 Examine the proposals for acquisition of land by direct negotiation/consent basis duly
following the guidelines of HQ and forward the proposals to HQ with recommendations.
5.3 Review periodically the status of updating the land records in each PIU/CMU.
5.4 Examine the estimates for shifting of utilities, compensatory afforestation/NPV for tree
cutting, Railway charges for ROB/RUBs either approve if these are within the powers
of the Regional Officer or forward to HQ for approval. Release the payments to the
concerned in the absence of PIU.
6. EPC projects.
6.1 Review the handing over of site free from encumbrances to the Contractor, identify
critical locations, fix the targets and take follow-up actions.
6.2 Carry out site inspections on quarterly basis, convene meetings with the top
management of the contractor and the Engineer, review the progress/ updates
programme and identify measures for improving the rate of progress and issue
minutes/instructions without incurring any expenditure/liability on NHAI.
6.3 Inspect the sites and recommend to HQ for issuing Substantial Completion
Certificates/Taking Over Certificates/Defect Liability Certificates.
6.4 Examine the proposals for payment of advances to the Contractors and the
Consultants, approve if these are as per the provisions in the contract or forward to HQ
with recommendations in case of deviations to provisions of contract.
6.5 Examine the proposals of sub-contracting, variations, EOT, penalties & termination,
approve if these are within the powers of Regional officer or forward to HQ with
recommendations.
6.6 Examine the cases of customs duty/excise duty exemption, subsequent legislation and
forward to HQ with recommendations.
6.7 Ensure submission of revised estimates for the projects on reaching 25%, 50%, 75%
progress and on completion.
7. BOT Projects:
7.1 General
7.1.1 Obtain the monthly statements of Escrow Account/User Fee collected,
examine the same and send comments to the Concessionaire/IE for further
action.
7.1.2 Prescribe the formats for monthly reports from the Concessionaire/IE,
obtain the same on monthly basis, review the contents and forward to HQ
with comments.
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7.2 Construction Stage

7.2.1 Inspect the sites during the construction period on quarterly basis, convene
meetings with the top management of the Concessionaire and the
Independent Engineer, review the progress/updated programme and
identify measures for improving the rate of progress and issue
minutes/instructions without incurring any expenditure/liability on NHAI.
7.2.2 Review the pending conditions precedent prescribed in the Concession
Agreements viz., RoW, Fee Notification, Approvals from Railways,
Environment Clearance, etc. and take follow-up actions.
7.2.3 Obtain reports/ comments from Independent Engineer/PD on the drawings
submitted by the concessionaire and review the same so as to ensure the
construction of project highway/Facilities as per Specifications &
Standards prescribed in the Concession Agreements.
7.2.4 Obtain reports/ comments from Independent Engineer/ PD on the alternative
Specifications & Standards, review and report to HQ with comments.
7.2.5 Review the Safety Reports and take follow-up actions including suspension
of unsafe construction works.
7.2.6 Obtain reports from Independent Engineer/PD on and review the status of
maintenance of existing highway during construction period by the
concessionaire;
7.2.7 Examine and approve the proposals for release of grant (equity support).
7.2.8 Examine the drafts of the Project Agreements and forward the same with
comments to HQ. Also examine the Financial Package/model/Documents
at the time of occurrence of financial close and forward comments to HQ.
7.2.9 Review periodically the status of ownership (equity holdings) of the
Concessionaire, examine the proposals for change in ownerships and
forward to HQ.
7.2.10 Provide support/ assistance on various matters to the Concessionaire as
envisaged in the Concession Agreements.
7.2.11 Inspect the site and recommend to HQ that the Project Highway is fit and safe
for commercial service at the time of COD along with the list of
incomplete/defective works to be included in the punch list.
7.2.12 Inspect the site at the time of completion certificate, examine the status of
completion of punch list items and recommend to HQ on project
completion.
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7.2.13 Examine the proposals for change of scope, approve if the same are within
the powers of Regional Officer or forward to HQ with recommendations;
7.2.14 Examine the proposals on change in law and recommend to HQ.
7.2.15 Examine the Maintenance Manual and Maintenance Programme of the
concessionaire and send comments to the Independent
Engineer/Concessionaire.
7.2.16 Examine the cases of default of concessionaire force majeure, termination &
breach of agreement and forward to HQ with recommendations.
8.3 O&M Stage
8.3.1 Examine the proposals for variations in traffic growth/modifications in the
concession period.
8.3.2 Undertake traffic sampling at a frequency as deemed appropriate
independent of the Concessionaire for determining the actual traffic on the
Project Highway.
8.3.3 Examine and approve the proposals for grant (O&M support)/premium
(additional concession fee).
8.3.4 Examine lane closure/decommissioning proposals and approve the same.
8.3.5 Examine the proposals for annual revision of fee and send comments on
the same.
8.3.6 Examine the proposals on revenue shortfall loan and recommend to HQ.
8.3.7 Examine the proposals on change in law and recommend to HQ.
8.3.8 Examine the cases of default of Concessionaire, force majeure,
termination & breach of agreement and forward to HQ with
recommendations.
8.3.9 Inspect the sites during O&M period on quarterly basis to examine the site
activities of the Concessionaire vis-à-vis the requirements as per
Maintenance Manual/Programme.
9. O&M works by NHAI (PIU/CMU) or through State PWDs for the reaches entrusted to
NHAI
9.1 Obtain the estimates from PD for O&M related works and toll arrangements; examine
in the light of guidelines of HQ and approve if these are within the powers of Regional
Officers and recommend to HQ if it is beyond the powers of Regional Officer.
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9.2 Obtain the estimates from State PWDs for OR/PR/SR/FDR as per norms of Ministry/
NHAI, examine the same and approve if these are within the powers of Regional Officer
and recommend to HQ if it is beyond the powers of Regional Officer.
9.3 Carryout procurement of Contractor/Supervisor/Toll Collection Agency for O&M works
as per Standard Documents/Guidelines to HQ.
9.4 Examine the proposals for payment of advances to the contractors and the consultants,
approve if these are as per the provisions in the contract or forward to HQ with
recommendations in case of deviations to provisions on contract.
9.5 Examine the proposals of sub-contracting, variations, EOT, penalties & termination,
approve if these are within the powers of Regional Officer or forward to HQ with
recommendations.
9.6 Review of toll collection report on quarterly basis, identify the measures to improve toll
revenue and take follow-up actions.
10. Supervision Consultancy/independent Engineer/O&M Supervisor Contracts
10.1 Examine the proposals for replacement, variations, extensions of time, penalties and
termination and approve the same if these are within the powers of Regional Officer
and recommend to HQ if it is beyond the powers of Regional Officer.
11. Externally Aided Projects
Review the status of loan withdrawals, loan convenants, loan extensions and take
follow-up actions.
12. SPV Projects
12.1 As MD of SPV, exercise the power delegated to MD by SPV Board.
12.2 Follow the provisions in the Company Act and take special attention in finalization of
annual accounts and taxation matters in SPVs.
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IX. Activities to be undertaken by Regional Office

[See Policy Circular No.11041/262/2009-Admn Dated 09.09.2009]
Regional Offices will be headed by Chief General Manager (Tech.). With the approval of
the Competent Authority, the Regional Officers/CGMs will be responsible for the following
activities.
a) DPR/PPR/FCPPR Contract- Signing of Contract by Regional Officer (to facilitate project
monitoring), Implementation of consultancy work, Release of payment to consultant.
b) Clearance from Railways- Regional Officer would approve the estimate and railway
charges proposal forwarded by the PIUs, as these are fixed.
c) Issue of commencement order-HQ gives the commencement order. Further to signing the
contract, Regional Officer would also give the commencement order.
d) Financial Closure of Projects- The civil contract finalized in HQ would be forwarded to
Regional Office for implementation. This Regional Officer would obtain approval of HQ for
financial closure of project with recommendation of the Independent Consultant of the work
and also sign the escrow and substitution agreement.
e) Approval of design & drawings-Certain matters for which approval of NHAI is required,
would be approved by Regional Officer.
f) Execution of works- To be monitored by Regional Officer.
g) Payment of equity support/semi-annuities (BOT)-Approval and release of payment to take
place at Regional office.
h) Monitoring of works-All projects to be monitored at Regional level. Monitoring at HQ level
will be done be Member (Proj).
i) Approval of Variation/change in scope-All approvals upto the existing DoP of CGM would
take place at Regional Office, with Regional Officer having the requisite power. The
approval for those proposals beyond the DoP of Regional Officer would take place as HQ
through Variation Committee.
j) Dispute Resolution & Arbitration-All dispute and arbitration cases(except procurement and
cross-cutting issues) would be dealt with at the Regional Office. The issues related to
procurement and issues related to multiple Regions would be dealt at HQ.
k) O&M Execution of works-To be monitored by Regional Officer.
l) Payment of OMT support-Approval and release of payment to take place at Regional
Officer.
m) O&M Monitoring of works-All projects to be monitored at Regional level. Monitoring at HQ
level would be done by the concerned Members.
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n) O&M approval of variation/change in Scope-All approvals upto the existing DoP of CGM
would take place at Regional Office, with Regional Officers having the requisite powers.
The proposals beyond the DoP of CGM would take place at HQ through Variation
Committee.
o) O&M Dispute Resolution & Arbitration-All disputes and arbitration cases (except
procurement and cross-cutting issues) would be dealt with at the Regional Office.
p) Asset Management-Monitoring, sampling checks, Inventory Management would be done
by Regional Offices. Policy related issues and monitoring would be dealt at HQ by
concerned Members.
q) All other activities as not defined above will be carried out at HQ level.
X. Streamlining the functioning of Field Officers
[See NHAI Policy Circular No. NHAI/11041/08/2010-HR-I dated 17.05.2012]

For Streamlines of functioning of field offices (Zonal Offices, Regional Offices, PIUs, CMs and Site
Offices), the following decision has been taken.
(i) A formal work distribution should be made amongst the Technical officers of the
Regional Office by CGM (T) of RO and by project Director for PIUs/CMUs and Site
Offices with the approval of concerned CGM (T) of RO.
(ii) The attendance register for ensuring attendance of staff posted in field offices should
be maintained as per the instructions contained in NHAI HQ Circular No.
NHAI/0001/Admn.II/Misc/2012 dated 8.5.2012. The ED for employees of Zonal Office,
the CGM (T) of RO for employees of RO and PD for employees of PIUs/CMUs and
officer-in-charge of site office for employees of site office, respectively will be
responsible for maintaining and monitoring the attendance registers and will
countersign the register on each day.
(iii) The record of incoming and outgoing communications and movement of files, etc.
should be maintained as per instructions contained in Swamy’s Manual on Office
Procedure for Central Govt. Offices.
Annexure
Annexure - I Instruction issued by DoP&T regarding prevention

of sexual harassment of working women
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Chapter : 1. Administration
Section: 1.8. Security/Attendance & Visits to HQ/MoRTH
Sub Subject
section.
I Security/Visitor Management
II Attendance
III Visit to HQ/MoRTH
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I. Security
[See NHAI Circular No. 11041/200/2006-Admn. Dated: 27th November, 2006 and 10th February, 2014]
A. Guidelines/Instructions to be followed for Security / Visitor Management
(i) In view of the security reasons, all officers / staff / Consultants / Visitors are informed that while
they are in the premises of NHAI, their lanyards of the Identity card duly issue by Competent
Authority should always be hanging position show that the card is properly visible.
(ii) All supervisory officers are also requested to bring it to the notice of the
officers/staff/Consultants/Visitors working under them as well as to the visitors including
contractors/concessionaires visiting them that they should properly display their Identity cards
in the office by keeping it in hanging position through lanyards.
(iii) The visitors will be allowed with the permission of officer of the level of GMs and above for two
hours duration only. The visitors to office of Chairperson & Members will be allowed as per the
existing practice.
(iv) In case the visitors are required to stay for longer period, they will be allowed on specific
recommendation of the concerned officer.
(v) The written requests from PS to GM and above and direct requests from DGM & Managers in
writing will also be entertained.
(vi) For conducting the Arbitration proceedings in HQs and any other similar event requiring group
of visitors staying longer than two hours, the concerned officer shall send list of visitors to the
Reception with due authentication and the restriction of two hours duration shall not be
applicable for such meetings.
B. Instructions for Introduction of NHAI Visitor Management App.
[See NHAI Policy Circulars No.NHAI /Misc./COVID-19/HR -2020/E-134210 Dated 04.03.2022]
1. NHAI Visitor Management App (NHAI HQ AMS) has been developed by M/s. Mobineers Info
Systems Pvt. Ltd, which may be downloaded either from Google Play Store or Apple App Store for
generating required QR Code in order to visit the Senior Officials of NHAI HQ.
2. Meeting request is to be generated by Visitor after downloading the App. The request generated
by Visitor /Reception through the App will appear against the ID of concerned Officer of NHAI in VMS web-
portal (https://nhai.appsavy.com). If the officer is competent enough to approve visitor entry, same will be
done from his/her end. In case, the Officer is not competent to allow visitor entry, he/she may forward the
meeting request to a Senior Officer for approval of the same. Approving Officer may approve the request
or reject the same based on functional requirement. Meeting request on being approved, generates a
notification through the App of the Visitor. Simultaneously, a visitor pass with unique QR code will be
generated, which the Visitor may download in his Mobile. Security Guards posted in the Entry Gate will
verify the E-Visitor Pass and allow entry of the Visitor for a duration of two hours. (SOPs for different Roles
are attached herewith for ready reference)
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3. Sri H. K. Goswami, Assistant Manager (HR/Admn.)-III, (Extn. 1117) will co-ordinate the activities.
The Visitor Management App will run on trial basis till 31st March, 2022.
4. For any technical assistance, following helpdesk / Support Staff (Visitor Management App) may be
contacted:-
(i) Sh. Ankur Gautam, Project Manager, M/s Mobineers Info Systems Pvt. Ltd. [Mobile
No.9999090613]
(ii) Sh. Rajesh Kumar (IT FMS Team) [Mobile No.8076209674].
5. SOP is as under.
A. SOP Visitor Management System for NHAI - HQ
Overview
Visitor Management system is app for manage visitor approvals and manage records. Visitor requested
to authorize officer for permission through VMS application also receptionist shall request to approve
visitors through application.
App Installation & Login Process for Visitors
Open Play Store for android & App store for iOS and search “NHAI HQ AMS” and tap on Install button.
Steps to Login in App:
After Installation, when you open the App, there is some permission which you have to Allow for further
login Process.
After allowing permission, this screen will appear:

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 Enter your validate10 digit Mobile No. And tap on the Next button.
 After tapping on ‘Next’ button, this screen will appear.
 Enter your Name, Mail id, set your own password & enter OTP to register
 Once the registration done successfully than user will have the screen like
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 Visitor need to tap user personal details.

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 Fill all required filled mentioned in form. The following screen mentioned below:
 After save your personal details. Visitor pass request menu on the right side of the screen will
appears.
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 Select options accordingly and tap on save button, your visiting pass request will be sent to the
selected officer.
 When a pass request gets Approved or Rejected by the officer then the
visitor will receive a notification respectively.
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 If pass request gets Approved than visitor need to open Download Visitor Pass menu and tap
on SHOW option
Note:- Authorization for Approval of pass request will only be available on GM & above designations
other officials will have forward option only
B. SOP Visitor Management System for NHAI RECEPTION– HQ
Overview
Visitor Management system Login Process for Reception
VMS (Visitor Management system) use for manage visitors who is visited at NHAI. Receptionist user
manual as step by step mentioned below:
Steps to Login in web-portal:
Click on link to login VMS web-portal
https://nhai.appsavy.com/
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Step 2: Fill user name and password as well as fill shown captcha, and then tap on
Login button.
Step 3: Select NHAI HQ ATTANDANCE

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Step 4: Select Project Roll as a reception
Step 5: After select roll of reception screen ll be appear and click on reception tab
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Step 6: Fill all required details of visitor
Step 7: Download Pass when approved by authorized officers. To show pass click on Reception
Pass Download.
 When a pass request gets Approved or Rejected by the officer then the
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Visitor will receive a notification respectively.

C. SOP Visitor Management System for NHAI FORWARDER – HQ
Overview
Visitor Management system Login Process for Forward
VMS (Visitor Management system) use for manage visitors request who is received from visitors or
reception. Manual as step by step mentioned below:

300
Step 2: Fill user name and password as well as fill shown captcha, and then tap on Login
button.
301
Step 4: Select Project Roll as a Forwarder

302
Step 5: After select roll of forwarder screen ll be appear.

303
Step 6: Visitor request show on top. Click on request

304
Step 7: Select Forward /Reject selection as per requirement

 When Click on forward visitor request will be forward to authorize officers.
D. SOP Visitor Management System for NHAI Approver - HQ
Overview
Visitor Management system Login Process for Approver
VMS (Visitor Management system) use for manage visitors, When officer forward visitor request to
concern officer. Officer will see on web-portal and approve/reject request. Manual as step by step
mentioned below:
305
Step 2: Fill user name and password as well as fill shown captcha, and then tap on
Login button.

306
Step 4: Select Project Roll as a Approver
Step 5: After select roll of Approver screen ll be appear.

307
Step 6: Visitor request show on top. Click on request

308
Step 7: Select Approve /Reject selection as per requirement

 After approve visitor request Notification will be sent to visitor/reception.
309
II. Attendance
A. Introduction of Aadhar Enabled Bio-Metric Attendance System (AEBAS)
[See NHAI Policy Circulars No. 11041/283-Misc./2014-Misc. Dated 19.01.2015 and 26.11.2015]
As part of the “Digital India” programme of Government of India, it has been decided by GoI to
implement an AADHAR Enabled Bio-metric Attendance System (AEBAS) in all offices of the Central
Government, including attached/ sub-ordinate Offices, in India.
2. The equipment will be procured by the Ministries/ Departments as per specifications of Deity. The
expenditure will be met by the Ministries/ Departments concerned under their O.E. The manual system of
attendance may be phased out accordingly.
3. The Department of Electronics and Information Technology (Deity) will provide the technical
guidance for installing the system. The equipment already procured by DaitY have a built in AMC of three
years. The Ministries/ departments may ensure that the equipment being procured have similar provision.
4. Biometric attendance system is only an enabling platform. There is no change in the instructions
relating to office hours, late attendance etc. which will continue to apply. As per extant instructions,
(contained in DoPT O.M. No: 28034/8/75-Estt-A dated 04-07-1975; No: 28034/10/75 –Estt-A dated 27-08-
1975; No: 28034/3/82 –Estt –A dated 05-03-1982) half –a –day’s Casual Leave should be debited for each
day of late attendance, but late attendance upto an hour, on not more than two occasions in a month, and
for justifiable reasons may be condoned by the competent authority. In addition to debiting Casual Leave
(or Earned Leave, when no CL is available). Disciplinary action may also be taken against government
servants who are habitually late. Early leaving is also to be treated in the same manner as late coming.
5. Employees, including outsourced staff, who are yet to register/Newly Joining/transfer on AADHAR
Enabled Bio-metric Attendance System (AEBAS) may immediately submit the enrolment form duly filled-
in to Sri H.K. Goswami, AM (HR/Admn.)-III (E-mail ID: hkgoswami@nhai.org. Extn. 1117) without fail.
Enrollment form may be referred at Circular at Sr No. 16 of Appendix.
6. All the officers / employees of the authority would egress / ingress through the following Bio-metric
machines:-
(a) CGM and above officers will egress / ingress through the machines installed on their system.
(b) For General Manager and below level Officers/ staff, the entry / exit would be through
machines installed at the front gate.
(c) For Computer Operators, Stenographers deployed though Agency and other Agency
personnel, the entry / exit would be through separate dedicated machine installed at the back gate.
(d) Additional machines have been installed at each floor to avoid congestion at peak hours.
B. Guidelines/Instructions to be followed for operation of Biometric Based Attendance

Monitoring System (BBAMS)/ Aadhar Enabled Biometric Attendance System (AEBAS).
310
[See NHAI Policy Circular No.11041/2018-Admn(HR.IV) Dated : 11.10.2018]
1. The AADHAR Enabled Bio-metric Attendance System (AEBAS) will be maintained and monitored
by HR-III Division.
2. All employees required to mark their arrival and departure time in the AADHAR Enabled Bio-metric
Attendance System (AEBAS) machine without any exception. All staff to use their Registration
Number received on mobile / email to mark their attendance.
3. The office timings are from 09.30 AM to 06.00 OM with 30 minutes of lunch break from 01.30 PM to
02.00 PM and these are to be scrupulously observed. Each official has to put in a minimum of 40
Hrs. of work time for the 5 day week.
4. In the morning, the time recorded between 09.30 and 09.40 would not be counted towards the
shortfall as this is given for marking attendance in Biometric system. Thereafter, late coming of upto
20 minutes can be relaxed with justification subject to the condition that the duration of late coming
is compensated by sitting late in the evening, on the same day. Any employee regularly availing this
relaxation shall be subject to initiation of disciplinary case under relevant conduct rules.
5. Similarly, early departure up to 20 minutes can be relaxed subject to the condition that the duration
of early departure is compensated by sitting extra time on next working day so that 40 hours of work
time for the 5 day week is maintained scrupulously.
6. Where an employee is required to go for an official meeting in another office directly from home or
proceed in the late afternoon from where (s) is not likely/to return to office, an intimation to this effect
will be furnished advance to HR-III Div through e-mail hkgoswami@nhai.org . However, written
intimation should also be sent as per instruction at para (xi).
7. In exceptional cases like consultation with doctors etc., late coming in the morning/early departure
in the afternoon up to one hour (maximum) will be allowed subject to the condition the prior
intimation/approval of the immediate superior officer has been obtained and the duration of late
coming/early departure is compensated by devoting equivalent extra hours of work so as to ensure
that minimum 40 hour work schedule for the entire week is maintained.
8. While allowing flexibility, if 40 hours of work time for the 5 day week is not maintained, disciplinary
action may be initiated against the erring official as deemed fit under the regulations/instructions.
9. Arrival in the office after 10.00 AM or departure from office before 05.30 PM habitually
(notwithstanding para 4,5 &7) will be reckoned as half day Casual Leave, subject to other rules
mentioned here in. This will be applicable till Casual Leave are available in the leave account of
official. If casual leaves of official are exhausted, disciplinary action may be initiated against erring
officials as deemed fit under the rules regulations/instructions.
10. Any official availing half-day Casual Leaved in the forenoon will make arrival entry in the AEBAS
upto 02.00 PM and the official availing half – day Casual Leave in the afternoon will make departure
entry in the BBAMS at 01.30 PM or thereafter.
11. Attendance reports would be available in internet on daily basis and concerned officials may get
their attendance regularized in the following manner:
(a) It must be ensured by the controlling officer/Competent Authority concerned that duly
recommended leave applications of nature such as EL/Commuted Leave/HPL, etc., are
sent to concerned Establishment Sections (cadre management section) promptly. The
Establishment Section shall endorse a copy of sanction order to HR-III Division.
311
(b) In case leave is not regularized after joining office in case of any employee, pay &
allowances of such official would not be processed further till such regularization.
(c) For officials going on official tour/duty, concerned GM in-charge of Division shall sent a
monthly statement in this regard to HR-III Division, along with monthly CL/RH statement
for making necessary entries in the system by 05th day of the following month.
(d) In case, any official is to visit other offices in Delhi for official purposes and situation is such
that such official would not be able to mark attendance in the system either in the morning
or evening, prior intimation regarding this should be sent to HR-III Division through e-mail
id in foregoing para.
12. Half-a-days Casual Leave may be debited for each day of late attendance, but late attendance upto
an hour, on not more than two occasions in a month, and for justifiable reasons may be condoned
by the competent authority. In addition to debiting Casual Leave (or Earned Leave, when no CL is
available), disciplinary action may also be taken against government servants who are habitually
late. Early leaning is also to be treated in the same manner as late coming. Accordingly, action as
deemed fit as per the guidelines may be taken by the leave sanctioning authorities after obtaining
the bio-metric attendance records from HR-Division, if required.
C. Instructions regarding NHAI Attendance Management App (applicable in case of suspension

of biometric based attendance system)
[F. No. NHAI/Misc./COVID-19/HR-2020 (old E-5462) E-77544 Dated: 03.09.2021]
1. In order to ensure contactless attendance of employees and outsourced staff at NHAI HQ, NHAI has
developed an Attendance app, namely, “NHAI Attendance Management App”. With the introduction
of the said App, the requirement for physical attendance of Biometric attendance is dispensed with
due to Covid-19.
2. The SOP/Manual regarding use of the App is enclosed herewith. The App will be operational once
the officers/staff are registered in the Database of the App. GM/DGM of concerned Division may
direct outsourced staff under their control to mark attendance through App. Admn, Division has
obtained details of staff and officers for registration in the data base and updated the details received
in the system. QR Codes have already been installed at reception Lobby area as well as on each
floor of both the buildings.
3. The employees/staff, who are not yet registered with ‘NHAI’s Smart Attendance App’, are required
to get themselves registered with the said app immediately (and without fail), for which they need to
furnish the details in the following format and forward the same at the e-mail address:
hkgoswami@nhai.org
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Srl. Name & Whether Division E-mail ID Mobile Name of the

No. designation of regular/ No. outsourced
the Officer/ deputationist/ agency (in
employee/staff outsourced case of
outsourced
staff)
4. For any technical assistance, following officer/support staff (Attendance App) may be contacted:
a. Sh. Atul Gupta, Manager (IT) [Mobile No.9871097990 {Extn.1271}]
email address: atulgupta@nhai.org
b. Sh. Rajesh Kumar (IT FMS team) [Mobile No.8076209674]
c. Sh. Atam Prakash (IT FMS team) [Mobile No.9953166791]
SOP E- Attendance Tracker for NHAI-HQ
Website: wwwrnobineers corn, e›'r ii:ii

foIf0mobineers.com
313
App Installation & Login Process
Open Play Store for android & App store for iOS and search “E-Attendance
Tracker" and tap on Install button.
Steps to Login in App:
After Installation, when you open App, there are some permission which you have
to Allow for further login Process.
After giving Permission, this screen will appear:

314
315
To mark attendance Click on ”HQ

Attendance“ option
Click on QR Code icon to open

scanner & scan QR code than
click on Check- in Button
316
After that following Screen will appear
HQ Attendance
NHAI Attendance
NHAI Smart Attendance
Good Morning Gautam Singh

Thursday: 29 Jul 20:21
Online
11:19 AM
Now your attendance is
Scan marked and here you can see
Check In 11:19 AM check in time
Note: - 1. Check out button will be available after 120 min (or 2 hours) of
check in.
2. You can marh check In/Out only one time in a day

317
318
III – Visit to HQ/MoRTH
[See NHAI Policy Circular – 11041/217/2007-

Admn. dated 22.12.2015]
Level for MHA Photo Identity Card / Validation Slip
Sl.No. Particulars Designation /Levels
(i) MHA Photo Pass CGM & above
(ii) Validation Slip All other officers up to the levels of Manager
In relaxation of above, requisitions also be

(iii) MHA Photo Pass/Validation slip
processed on case to case basis.
319
Section: 1.9. Instructions on filing of documents, Record Management

and Guidelines on Weeding of Records
Sub Subject
section
I Guidelines on filing of documents and maintenance of

records
II Style sheet for letters & file notings and file
management system
III Record Officers for Divisions
IV Security instructions for handling official documents
V Record Management
VI Recording and Weeding Out
VII Categorisation of Records
VIII Procedure for weeding out of documents
IX General Instructions for weeding out
X List of Existing Circulars issued upto 31.3.2022
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I. Guidelines on filing of documents and maintenance of Records

[Policy Circular No. AF-71/2004 (1.9.1) dated 16.02.2004; 11041/12/2005-Admn.
(1.9.2) dated 20.08.2007; 11041/116/2010-Coord (1.9.4) dt. 25.10.2013
1.0 Guidelines on filing of documents and maintenance of records

(a) All the documents generated or received by the Unit/Division should be kept
neatly in the chronological order in proper files.
(b) Each file will contain documents pertaining to a particular subject. The broad
subjects may be decided by the respective Unit/Division.
(c) Each file will have a distinctly unique number, which will be indicated in all
the documents generated on the subject and kept in that file. Normally, if the number
of documents filed becomes more than 100, another volume may be opened with
the same number along with an indication of the number of the volume.
(d) The file index system to be followed for allotment of number to the files shall
be as follows:
i. Each main subject or main head under each functional group is assigned
consecutive, Arabic numerals beginning with “11” which also could go up to
“99”.
ii. Similarly, the sub-subjects or sub-heads under each functional group is
assigned consecutive, Arabic numerals beginning with “11” which also could
go up to “99”.
iii. The subject numerals and sub-subject numerals are separated by “O” the
group of numerals to the left of “O” refer to the main subject while that to the
right of its sub-subject, topic, aspect or factor.
iv. Files opened under the same subject etc. are given serial numbers 1,2,3 and
so on and separated from the group of numerals identifying the main subject
and the sub-subject by a slant stroke.
v. The year in which the file is opened is shown separately from the file number
by a slant stroke.
vi. At the end of each file code, number is to be indicated by the dealing division
or unit by a suitably chosen abbreviated group of letters separated from the
year by a hyphen.
vii. Each subject and sub-subject is indicated in the rectangle on the file cover
marked “subject”.
Illustrations:
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a. In a file numbered “11012/3/96-Admn”, the first group of Arabic numerals “11”

stands for the main subject heading “Establishment”. The figure “0” is a
separating sign. The second “Recruitment”. The number “3” between slant
strokes denotes that it is the 3rd file opened under this subordinate heading.
The figure “96” indicated the year of opening the file and the abbreviating
letters “Admn.” Stands for Administration Division.
b. In a file numbered “11020/5/2001-DM II, the first group of Arabic numerals
“11” stands for the main subject heading. “Procurement”. The figure “0” is a
separating sign. The second group of Arabic numerals “20” stands for the
subordinate subject “EOI”. The number “5” between slant strokes denotes
that it is the 5th file opened under this subordinate heading. The figure “2001”
indicated the year of opening the file and the abbreviating letters “DM II”
stands for Delhi-Mumbai II Division.
(e) The documents will be filed in the following manner:
i. Each file will consist of two parts, the correspondence received/issued on a

particular subject and noting sheets.
ii. All the correspondence papers (letters, orders, instructions etc.
Issued/received by the Unit/Division) will be arranged in the chronological
order of date of issue/receipt in the respective folder. Separate folders will be
maintained for each distinct file number.
iii. The notings pertaining to the decisions recorded will be kept on top of the
correspondence folder, neatly tagged.
iv. All the noting sheets as well as the correspondence papers (each page) will
be serially numbered with ink pen only.
v. The noting sheets will also have the file numbers typed on each sheet at top
right corner (in small fonts).
vi. Both the noting sheets and the correspondence folder will always be kept tied
together neatly by a binder/tag.
vii. So long as the file is current, the noting sheets will be kept on top of the folder
and tied with the binder.
viii. Once the file (or its volume) is closed, the noting sheets will be kept inside
the folder and tied neatly.
ix. The date of opening and closing the file will be indicated neatly on top of the
file/volume.
x. While flagging the correspondence, the flags should not be stapled, as it is
bound to cause damage to the paper. There should rarely be any need to put
a flag because page number of the paper referred to in the section of
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correspondence, should generally be mentioned in the margin on the note

sheet.
xi. While typing on the noting sheets, it should be ensured that adequate margin
is left, particularly on the right hand side.
xii. While submitting the drafts and approval, the page number of the letters,
which are being referred to in the draft, should be clearly indicated in the
margin.
xiii. While submitting the notes to the higher authorities, it may be ensured that
adequate space is left at the bottom of the note sheet for the higher officer to
record their remarks. Wherever, necessary the sentence of the noting may
be carried to the next page so that adequate space is available for recording
the notes by the higher officers. The note should never be carried to the
bottom of the note sheet as it gets frayed over a period of time and note
become indecipherable. Moreover, it should be ensured that the final
authority passing orders on the proposals on the file does not have to put
his/her signature on the margin or at the bottom of the note sheet, which gets
frayed after sometime or on a blank page. Such possibilities should be
anticipated and note should be carried on to the next page.
xiv. It should always be ensured that courtesy note sheets are attached to the file
i.e. there should always be at least one clear note sheet following the sheet
on which last note is recorded.
xv. Part cases should not normally be opened. Wherever becomes absolutely
necessary to open a part case, it should be merged with the main file as soon
as possible. Part cases opened should also be recorded in the document
register kept with the GM concerned.
(f) Each Unit/Division will have a file register which will contain the record of all
the files maintained in the Unit/Division. It will be the personal responsibility of all the
officers of the respective unit/Division to ensure that a file opened on any subject is
first entered in the file register. It will also bear the signature of the officers of the
respective Unit/Division against the details of each file opened in the Unit/Division.
This register will be inspected once in three months by the PD/GM concerned.
(g) The documents like DPRs, survey records, register on various subjects etc.
will also be included in the file register and assigned a distinctive number which may
even be the serial number of the file register.
(h) The PD/GM or DGM concerned will render a certificate to the Administration
Division that the file register has been opened and is being maintained in accordance
with these guidelines.
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II Style sheet for letters & file notings and File Management System
[Policy Circular No. 1.9.8/2017 dated 09.05.2017)
1.0 The specifications/ instructions as per the following style sheet for letters &
file notings and file management system shall be followed by all NHAI officials :
Sr. No. Subject Specifications

A For Letters going out and File Noting Sheets
Page size A-4 (not Letter size)
Page Layout/ Margins for Top : 1” or 2.5 cms
Letters going out Left Margin : 1.3” or 3.0 cms
Right Margin : 1” or 2.5 cms
Bottom Margin : 0.8” or 2.2 cm
For File Noting – sheets Top : 1” or 2.5 cms
Left Margin : 1.5” or 4.5cms
Right Margin : 1” or 2.5 cms
Bottom Margin : 0.8” or 2.2 cm
Para Indentation Yes, one Tab
Font “Trebuchet M S” for Text matter;
Arian Narrow for “Tables”
Font sizes 14 Point for main heading
12 Point for sub-headings
11 Pt. for running texts
Numbering System A. (Main part)
B.
1. Main Para
1.1 Sub-paras
1.2
(i) Points
(ii)
a. Sub-points
b.
Serial Number Sr. No. (Not Sl. No.

Text Position Justified
Table (in Word) Repeat Heading Row using the system
Command
324
Sr. No. Subject Specifications

Table in Excel Vertical : All Text must be Centrally
positioned;
Use all Borders
Use Left Indentation
Print Both sides with Mirror Margins
Spacing between the paras 12 pt. (Above and Below)
Spacing between the lines for 1.25
final documents
Spacing for Drafts 1.5
Spacing between the sub- 6 Pt. (Above and below)
paras/Tables
B. File Management System :
1. Each file is divided into two major portions, namely, the (i) the Noting File,
and (ii) the Correspondence File. Invariably, there is a third cover which
contains spare copies/ rough drafts. Each file has to be assigned a
number. Following needs to be noted in this behalf :
i. The noting file in relation to a file contains the Green Sheets containing
examination of any proposal. It is advisable not to keep the Noting Sheets in
the noting sheet containing notes or observation recorded on a case.
‘Correspondence Portion’ is the portion containing ‘receipts’ and office copies of

‘issue’ pertaining to the file.
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III. Record Officers for Divisions
[Policy Circular No. 11041/12/2002-Admn. (1.9.3) dt. 18 Aug 2011]
1.0 The concerned Managers dealing with individuals subjects shall be

responsible for upkeep and maintenance of records pertaining to their
subject. Allocation of subjects to individual Managers within a Division is to be made
by the Head of Division, by issuing a formal order of work allocation. The designated
Managers shall be required to maintain relevant files including classified files on
individual subjects with enclosures and notings duly numbered and accounted
for. They shall be required to maintain registers of files and records of handing/
taking over of files. They may take help of their sub-ordinate staff for this, but the
final responsibility for records will be that of Manager concerned only. Concerned
Managers dealing with the individual subjects will be deemed to have been
designated as Record Officers for their Division. The respective Head of Divisions
are to conduct inspections regarding record keeping atleast on a quarterly basis so
as to ensure that Records are being maintained properly.
IV. NHAI security instructions for handling official documents
[Policy Circular No. 11041/200/2006-Admn. (1.9.7) dated 11 Mar 2015)
1.0 It is the responsibility and direct concern of all staff of NHAI

(Regular/Deputationist/Contract/Outsourced), in whatever capacity he is employed,
to safeguard the security of all official papers to which he has access in the course
of official duties and of which he comes in possession in any other way.
1.1 Under the Provision of CCS (Conduct Rules) all staff are prohibited from
communicating, without proper authority, to anyone, including a fellow staff, any
information acquired by him in the course of official duties. Any wrongful
communication or information as well as retention or removal of any documents
containing such information is punishable under the rules.
1.3 All staff of NHAI HQ/ROs/PIUs/CMUs will ensure the following while
discharging their duties ;
(a) All officers in-charge of respective office should ensure that security
locks have been installed on their doors/almirahs.
(b) Rooms should be opened in the morning in the presence of officer-in-
charge himself or in the presence of an authorized person. The officer-in-
326
charge should put a person on duty every day for which purpose a duty
roaster may be maintained.
(c) Likewise, the rooms should be locked in the evening in the presence
of office-in-charge himself or in the presence of an authorized person. The
officer-in-charge should put a person on duty every day, for which purpose a
duty roaster may be maintained.
(d) Office should not be left unattended during lunch hours. The officer-
in-charge may put a person on duty who should remain in the
office/room. For this purpose also, a duty roaster may be maintained.
(e) No office should be opened on Saturday/Sunday/holiday except with
the prior permission of the concerned GM in writing, at HQ a copy of the same
will be given to Reception a day prior to such opening of any office.
(f) In case of any theft, the concerned office of HR-I Division will be
informed forthwith for necessary action by security authority and a copy of the
complaint may also be endorsed to the HR-I for records.
(g) The bags of all officers and staff will be required to pass through the
baggage scanner.
(h) Unauthorised carriage of official documents on Pen drive/ smart
devices/ etc. is prohibited. Any pen drive/storage device found will be
scanned and sanitized to confirm no official data is found thereof, strict
appropriate action for defaulters will be initiated.
2.0 General Instructions
(a) All NHAI staff (Regular/Deputation/ Contract/ Outsourced) should not unless
specifically authorized by a Competent Authority, communicate to other Government
servants or to non-official persons or the Press any document or information which
has come to his possession in the course of his duties. It is a criminal offence:-
(i) To possess or communicate without proper authority such information

or documents indicated in Para (a) above.
(ii) To receive any such information or document, with the knowledge or

with reasonable ground for the belief that it is communicated in contravention
of the orders; and
(iii) To attempt to commit or abet the commission of an offence as

aforesaid. In other words, it should be clearly understood that all
communications received in office as well as the papers connected therewith
are to be regarded as confidential so far as the public and employee, other
than those who are required to handle them in the course of their duties, are
327
concerned and staff are prohibited from communicating or making any

reference direct, or indirect to any information acquired by them in the course
of their official duties to any one whosoever, unless its communications
authorized by a Competent Authority.
(b) No member of the staff, except one who is in the charge of the official duties
shall take spare copy of any writing in any document, which comes before him in his
official capacity or to which he is allowed to have access.
(c) Office notes shall be treated as confidential and should not be allowed to go
out of the office or to be seen even by other staff of the office or by Clerical staff who
are not concerned with the file/ note or any other staff.
(d) No member of the clerical or staff shall take office files / records to his
residence without the prior permission of the concerned Officer in the Office. When
files/ records are taken home with permission, a list of the files/ records taken out of
the office should be prepared in duplicate, one copy of which should be left with the
authority giving permission and the other copy may be kept with the files / records,
in order to have a counter check of those files.
2.1 Confidential character of notes / files
(a) The notes portion of a file referred by a division to another will be treated as
confidential and will not be referred to any authority outside and attached offices
without the general or specific consent of the division to which the file belongs. If
the information is in the electronic form it will be handled by the authorised official
only.
(b) Where the general consent has been obtained under sub-para (1) above,
such consent will, however, exclude classified files or to files in which the officer to
whom the file is supposed to be referred or shown, is personally affected, or in which
his official conduct is under consideration.
(c) For the purpose of attending meetings/ discussions outside office an officer
not below the level of Dy. Manager/ Asst. Manager may carry official papers/ files.
2.2 Typing/ duplicating/ photocopying of official communication
(a) As far as possible typing, comparison, preparing covers and closing them
etc. after obtaining signature of the officer concerned should be done by the
328
Stenographer or the other official authorized to deal with it, should be present during
all stage of the operation. Imperfect copies of Photostat papers and other imperfect
copies should also be treated as classified waste.
(b) The officer concerned will ensure that all the waste papers or badly typed
drafts thrown away by the Stenographer / Typist are carefully collected and
destroyed by burning/ shredded.
(c) The Stenographer / Typist, besides noting his initials at the end of each paper
typed by him, must also note the number of copies made before returning the typed
copies to the officer concerned. The officer concerned will ensure that this has been
done and that the number of copies recorded is correct. He will also ensure that
unauthorized extra copies of papers have not been made and taken away for
unauthorized purposes.
(d) The officer concerned should ensure that no used Photostat papers, rough
papers or extra copies of any document are left lying loose anywhere.
(e) Unless it is absolutely necessary, the entire file must not be given to the
Stenographer / Typist. Only such papers as are actually needed should be removed
from the file and given for typing. The file should, as far as possible, remain with the
officer concerned.
2.3 Movement of classified and official documents:
(a) Under no circumstances should any classified document be carried loose in

the hands of the Peons.
(b) A FTS should be maintained by the PS/PA/Stenographer attached to the

Office or by the official authorized to deal with official papers for all outgoing and
incoming files containing official papers.
(c) Confidential papers should be addressed to an Officer by name and should

be opened by the address or in his absence officer so authorized.
2.4 Miscellaneous instructions for the custody of Official Documents
(a) Official papers should not be left lying about in an Officer’s room during his
absence. He must ensure that whenever he leaves his desk, all document are
locked either in safes or boxes or in cupboards of which the keys must be with him. It
329
is not sufficient to lock the door of the room concerned and leave classified
documents open in the room.
(b) No documents will be removed from the office by any officer other than one
dealing with them.
(c) Utmost care should be taken is disposing of waste papers of all kinds
including routine papers and used carbons. All papers must be destroyed by burning
/ shredded in the presence of the office responsible for dealing with them.
2.5 Personnel Security
(a) It has been clearly indicated at the beginning that it is the duty of every
individual, who handles official documents, to ensure their safety and to prevent
them from falling into the hands of or their contents being disclosed to unauthorized
persons. Unless every person employed on work makes the utmost effort to protect
documents and information, it will be impossible to prevent leakages.
(b) Security leakages through personnel may occur due to any of the following
reasons:-
a. The motive may be for gain;

b. The motive may be for corporate affiliation; and
c. Carelessness in talk and in handling papers.
(c) It is obvious that if there is a thief in the house, it is impossible to prevent

thefts. It is, therefore necessary that all chances of an unreliable person finding
position in the office dealing with secret documents should be eliminated. It is by
strictly following this precaution that the chances of leakages due to the first two
causes may be minimized.
(d) It is the duty of the officer in charge as well as the subordinate officer to keep
a close watch on behaviour and demeanour of every employee in the office and, any
behaviour which gives a slightest indication of suspicious conduct, should be
thoroughly looked into. If there is likely to be any substance in the suspicion, it
should be brought promptly to the notice of the Head of office.
(e) Such suspicious behaviour may include staying in office at odd hours,
making extra copies, inquisitiveness about matters with which the person is not
directly connected, unauthorized absence from the office, absence on leave at
certain regular intervals or on fixed days, habits, drunkenness and living beyond
330
means. It must be understood that weakness in character often includes a person

to barter official secrets for money or other considerations. Study of a particular type
of literature mixing with suspected persons having certain corporate affiliations
should also be guarded against to prevent leakages due to corporate affiliations.
(f) Unconscious leakage due to carelessness or egoism often occurs through

personnel of all posts, and even officers are not immune from this fault. It is the duty
of the every superior officer to make note of any such remiss by any of his sub-
ordinates and suitably pull him up for such mistakes.
(g) Personnel security is of the highest importance. Whatever defects in all the
other security arrangements there may be, if every person dealing with documents
is completely reliable in every respect, then the chances of leakage are minimized.
(h) It is also duty of all Staff to bring immediately to the notice of their superior
officers any breach of security instructions in general and in particular
V. Records Management
[Policy Circular No. AF-71/2004 (1.9.1) dated 16 Feb 2004]
(a) Activities involved in records management - Records management covers

the activities concerning recording, retention, retrieval and weeding out.
(b) Stage of Recording – Files should be recorded after action on the issues
considered thereon has been completed. However, files of a purely ephemeral
nature containing papers of little reference or research value may be destroyed after
one year without being formally recorded.
(c) Procedure for recording

(i) after action on the issue(s) considered on the file has been completed,
the dealing hand/initiating officer, in consultation with his
supervisory officer, should close and record the file in the
manner prescribed below:
(ii) Indicate the appropriate classification of record and in the case of
class’C’ also specify the retention period and the year of destruction
on the file cover;
(iii) Where necessary, revise the title of the file so that it describe adequately
the contents at that stage;
(iv) Get the file indexed unless it is to be retained for less than 10 years from
the date of closing;
331
(v) Extract from the file, copies of important decisions, documents, etc. as
are considered useful for future reference and add them to the
standing guard file/precedent book;
(vi) remove from the file all superfluous papers such as reminders,
acknowledgments, routine slips, working-sheets, rough drafts, surplus
copies, etc. and destroy them;
(vii) Complete all references and, in particulars, mark previous and later
reference on the subject on the file cover;
(vi) Recording and weeding out
[Policy Circular No. A/F-138/2014 (1.9.5) dt. 30 Apr 2014; A/F-149/2014 (1.9.6) dt.
30 Sep 2014; 1.9.9/2017 dated 28 Nov 2017]
(a) The old records which have outlived their utility and the prescribed
period of retention may be weeded out by destruction. However, NO
DOCUMENT SHALL BE WEEDED OUT UNLESS THE SAME IS
DIGITIZED.
(b) Categorization of records is given in Chapter VII. Retention Schedule

of Records for NHAI HQ and ROs/Field Units is enclosed as Annexure
‘A’ and ‘B’ respectively.
(c) For the areas not covered in the schedule of the NHAI, a reference may
be made to the Record Retention Schedule prescribed by the Ministry
of Road Transport & Highways in particular and to the Record
Retention Schedule prescribed by the Ministry of Personnel, Public
Grievances and Pensions (Department of Administrative Reforms and
Public Grievances).
332
(vii) Categorisation of records
30 Sep 2014; Circular No. 11041/236/2012-Admin dated 17 Mar 2016]
1.0 Category ‘A’ meaning ‘Keep and Microfilm/Digitise’.

(a) These are records which not only need to be preserved permanently but
also need to be microfilmed. These records qualify for permanent preservation for
administrative purposes because they contain a document so precious that its
original must be preserved intact and access to it in the original form must be
restricted to the barest minimum or the document is required for frequent
references. Following papers are covered under this category :
i. Papers containing evidence of rights or obligations of or against NHAI, e.g.

title of property, claims for compensation not subject to a time-limit, formal
instruments such as awards, schemes, orders, sanctions etc.
ii. Papers relating to major policy decisions, including those relating to the
preparation of legislation.
iii. Papers regarding constitution, functions and working of important
committees, working groups, etc.
iv. Papers involving lasting precedents for important procedures, e.g.
administrative memoranda, historical reports and summaries, legal opinions
on important matters.
v. Papers concerning rules, regulations, guidelines or instructions of general
application.
vi. Papers relating to salient features and staffing.
vii. Papers relating to important litigation or ‘causes celebres’.
(b) Records of historical importance such as-
i. Papers relating to the origin of NHAI; how it was organised and how it
functioned.
ii. Data about what NHAI accomplished.
iii. Papers relating to a change of policy viz. the appointment of an internal or
inter-departmental committee or working group, note for the Cabinet or a
Cabinet Committee, papers reflecting conflicting points of view.
333
iv. Papers relating to the implementation of a change of policy

v. Papers relating to a well-known public or international event or cause-celebre,
or to other events which gave rise to interest or controversy on national plane.
vi. Papers containing direct reference to trends or developments in political,
social, economic or other fields, particularly if they contain unpublished
statistical or financial data covering a long period or a wide area.
vii. Papers cited in or noted as consulted in connection with, official publications.
viii. Papers relating to the more important aspects of scientific or technical
research and development.
ix. Papers containing matters of local interest of which it is unreasonable to
expect that evidence will be available locally, or comprising synopsis of such
information covering the whole country or a wide area.
x. Papers relating to obsolete, activities or investigations, or to abortive scheme
in important fields.
xi. Any other specific category of records which are to be treated as genuine
source of information on any aspect of history-political, social, economic etc.
or are considered to be of biographical or antiquarian interest.
1.1 Category B :These are records which need to be preserved permanently

but need not be microfilmed. Records which will fall specifically into this category
are indicated in Annexure-A & B.
1.2 Category C :This category will include records of secondary importance and
will have reference value of limited period of time not exceeding 10 years. In
exceptional cases, if a particular record is required to be retained beyond 10 years,
it will be upgraded to Category B. The number following category C in retention
period column in Annexure ‘A’ & ‘B’ pertains to number of years for which the record
is to be retained. For example C-3, C-5 and C-10 means category C documents to
be kept for 3 years, 5 years and 10 years respectively.
334
(viii) Procedure for weeding out of documents
[Policy Circular No. [Policy Circular No. A/F-138/2014 (1.9.5) dt. 30 Apr 2014; A/F-
149/2014 (1.9.6) dt. 30 Sep 2014]
(a) In HQ, the weeding out of documents pertaining to a division shall be

undertaken by a three member Committee headed by the GM of the concerned
division and two officers from the same division dealing with those records. In ROs,
the weeding out shall be undertaken by a three member Committee headed by the
GM in the concerned RO or DGM, where no GM is in place and two officers from
the same RO. In case of field units, the Committee shall be headed by the
concerned PD and two officers from the same PIU or one officer from the same PIU
and one officer from the adjacent PIU. The Committee shall be constituted with the
approval of the concerned RO/CGM in HQ.
(b) After listing of the documents, the Committee will recommend the documents
to be weeded out on the basis of NHAI’s record retention schedule. The Committee
will also indicate the retention period of the documents to be retained.
(c) The documents recommended by the Committee shall be weeded out with
the approval of CGM of the concerned Division/ RO concerned. A list of weeded out
documents shall be kept in the division concerned as a permanent record.
(d) After approval of the concerned RO/CGM, tearing off and disposal of the
documents to be weeded out shall be undertaken. In NHAI HQ, tearing off and
disposal of the documents to be weeded out shall be undertaken by the Admin.
Division dealing with the Record Management.
335
(ix) General Instructions for weeding out

30 Sep 2014]
(a) Retention schedule will not be applicable for the records where arbitration
case / vigilance inquiry/ audit objection/ disciplinary proceedings are pending and
the related records are to be retained till finalization of the cases or the period
specified in the schedule, which is later.
(b) Retention period specified in the column is to be reckoned from the year in
which the file/register/document is closed.
(c) If a record relates to two or more subjects for which different retention periods
have been prescribed, it will be retained for the highest of such periods.
(d) In exceptional cases, i.e. if the record has certain special features or such a
course is warranted by the peculiar needs of the division, the record may be retained
for a period longer than that specified in the schedule, in no case, however will a
record be retained for a period shorter than prescribed in the schedule.
(e) If record is required in connection with the disposal of another record, the
former will not be weeded out until after all issues raised on the latter have been
finally decided, even though the retention period marked on the former may have
expired in the mean time.
(f) The Principle to be adopted in respect of files having financial implications

and hence liable to be called by audit for inspection is that, such files should be
retained for a period of five years after they have been recorded. If, at any time
during the period of five years, an audit objection having reference to the transaction
dealt with in that file arises, is received, the file will not be destroyed until after the
audit objection has been settled to the satisfaction of the Audit. Also, if local audit
does not take place within the period of five years, the Head of the Office should
ascertain from the audit authorities whether they have any objection to the files
relating to the earlier years, due for weeding out by the application of the five year
formula, being destroyed or retained for a further period for scrutiny by the audit
party and, if so, for what period.
(g) The retention period mentioned in the schedule is meant for the divisions
dealing in the matter. Other divisions need keep only the standing orders, weeding
out the superseded ones, as and when they become obsolete.
336
List of Existing Circulars issued by NHAI upto 31.03.2022
Sl. No. Policy Circular/ Office Order No. with date
Subject details
(i) A/F-71/2004 (1.9.1) dt. 16 Feb 2004
Guidelines on filing of documents and maintenance of records
(ii) Circular No. 11041/12/2005-Admn. (1.9.2) dt. 20 Aug 2007
Guidelines on filing of documents and maintenance of records
(iii) Circular No. 11041/12/2002-Admn. (1.9.3) dt. 18 Aug 2011
Streamlining the system of maintenance of records
(iv) Circular No. 11041/116/2010-Coord (1.9.4) dated 25 Oct 2013
Originating correspondence on files
(v) A/F-138/2014 (1.9.5) dt. 30 Apr 2014
Record Retention Schedule, Categorisation and Weeding out of Records
(vi) A/F-149/2014 (1.9.6) dt. 30 Sep 2014

for ROs/Field Units
(vii) Circular No. 11041/200/2006-Admn. (1.9.7) dt. 11 Mar 2015
NHAI Security Instructions for handling all official documents
(viii) Circular No. 11041/236/2012-Admin dt. 17 March 2016

for HQ/ROs/Field Units - Corrigendum
(ix) Policy Circular No. 1.9.8 dated 09 May 2017

337
Style sheet for letters & file notings and file management system
(x) No. 1.9.9/2017 dt. 28 Nov 2017
Record Retention Schedule of NHAI

338
Annexures
Record retention schedule for NHAI HQ

A: Establishment & Administration, Media, RTI, Parliament
Annexure ‘A’ Matters, Land Acquisition
B : Finance, Budget, Cash and Accounts
C : Vigilance
D : Technical Division
Record retention schedule for ROs/FIELD UNITS
Annexure 'B' A: Establishment & Administration, Media, RTI, Parliament
Matters, Land Acquisition
B : Finance, Budget, Cash and Accounts
C : Technical and Land Acquisition
339
Annexure ‘A’
Record retention schedule for NHAI HQ
A: Establishment & Administration, Media, RTI,

Parliament Matters, Land Acquisition
Sl Main Head Sub-Head Retention Period Remarks

No.
1 Creation and classification of posts
(i) POLICY Category ‘B’
(ii) Creation of Posts Category ‘B’
(iii) Upgradation of posts Category ‘B’
(iv) Re-designation of posts Category ‘B’
(v) Classification of posts Category ‘B’
(vi) Conversion of temporary Category ‘B’
posts into permanent
ones
(vii) Policy relating to revision Category ‘B’
of scales of pay for
specific posts or as
recommended by pay
commissions
2 Recruitment
(i) Policy / Recruitment Category ‘B’
Rules
(ii) Recruitment on regular Category ‘B’
basis
(iii) Recruitment on Category ‘B’
deputation
(iv) Recruitment on contract Category ‘B’
(long term)
(v) Recruitment on short C-5
term basis
(vi) Recruitment applications C-5
340

No.
(vii) Selection Committees for Category ‘B’
recruitment of personnel-
Constitution and
Proceedings
(viii) Absorption of officers Category ‘B’
(ix) Extension of deputation C-10
(x) Exemption from rule of C-10
immediate absorption
(xi) Appointment of C-10
Consultants/ Advisors
Engagement of staff C-5
through agencies
3 Departmental Examinations
(i) Policy Category ‘B’
(ii) Holding of examinations C-5
(iii) Results-declaration C-5 Subject to a copy
placed in personal file
of employees
(iv) Representations and C-3 If the representation
petitions results in the original
orders being revised,
a copy of the relevant
order/ decision be
kept in personal file.
4 Probation/ Confirmation
(i) Policy on probation/ Category ‘B’
confirmation
(ii) Confirmation/ extension C-5 Subject to suitable
of probation entries made in the
service record.
(iii) Representations and C-5 If the representation
orders being revised,
a copy of the relevant
order/ decision be
341

No.
kept in the personal
file.
5 Seniority
(ii) Representations C-5 If the representation
results in the original
seniority being
revised, an
authenticated copy of
the relevant order/
decision be kept in
service record.
6 Promotion/ reversion
(ii) Representation and C-5 If the representation
order being revised, a
copy of the relevant
order/ decision be
7 Pension/ retirement Policy Category ‘B’
8 Resignation
(ii) Officers/ staff C-5 A copy of the
communication
accepting the
resignation be placed
in the personal file.
9 Extension of service
(ii) Officers/ staff C-5 after Subject to a copy of
retirement the order being
placed in the
personal file
10 Re-employment
342

No.
(ii) Officers/ staff C-5 after the A copy of the order
officer ceases to be placed in the
be in service personal file.
11 Review of cadres/ Review of cadres/ Category ‘B’
services services
12 Posting and transfers
(ii) Officers/ staff C-10 Subject to a copy of
transfer/ posting
order placed in the
personal file.
13 Personal files and service records
(i) Regular officers/ staff C-10 after issue of
final pension/
gratuity payment
order
(ii) Deputationists/ contract C-10 after
employees repatriation/
termination of
contract
(iii) Representations on C-5 If the representation
personal matters results in the original
order/ decision be
(iv) Forwarding of C-3
applications
(v) Vigilance clearance C-5
14 Pay/Special Pay
(ii) Officers/staff C-3 or one year Subject to suitable
after completion entries made in the
of audit, appropriate service
whichever is later. record and pay bill
register.
343

No.
15 Allowances
(ii) Claims of allowances by C-3 or one year Subject to suitable
Officers/Staff after completion entries made in the
whichever is later. record and pay bill
register.
16 Increment
(ii) Withholding of Category ‘B’ Subject to a copy of
increments the order placed in
the personal file/
service record.
(iii) Representations and C-5 If the representation
order/ decision be
file/ service record.
17 Honorarium/ Bonus
(ii) Officers/ staff C-3 or one year
after completion
of audit,
whichever is later.
18 Awards Officers/ staff C-3 or one year Subject to
after completion appropriate
of audit, entry made in the
whichever is later. Service record/CR
dossier of the
concerned employee.
19 Facilities to NHAI officers/ employees
344

No.
(ii) Grant /Retention/ C-3 or one year
Cancellation of Lease after completion
facility of audit,
whichever is later.
(iii) Reimbursement/purchase -do-
of mobile/ laptop
(iv) Retention/write off of -do-
mobile instrument/laptop
(v) Advance for purchase of -do-
mobile/ laptop
(vi) Payment/re-imbursement -do-
of mobile/data card bills
(vii) Group Insurance Scheme -do-
(viii) Diwali gifts -do-
(ix) Re-imbursement for -do-
briefcase/ handbag
(x) Medical re-imbursement -do-
20 Scheduled Castes Reservation in services – Category ‘B’
and Scheduled tribes SC/ST and others
21 Leave (other than study leave and casual
leave)
(ii) Officers/ staff C-3 Subject to suitable
entries made in the
service record.
22 Casual leave (including special leave)
(ii) Officers/ staff (a) Casual leave:
To be destroyed
at the end of the
year
(b) Special casual

leave: C-1
23 Study leave
345

No.
(ii) Officers/ staff C-1 after the Subject to suitable
expiry of the entries made in the
bond/ agreement appropriate service
executed by the record and leave
employee. account and an
authenticated copy
being kept in the
personal file.
24 Confidential/Assessment report
(ii) Confidential reports of C-5 after
Officers/Staff retirement/ expiry
of contract
(iii) Communication of C-3
adverse entries.
(iv) Representation for C-3 If representation
expunction of adverse results in expunction
entries of adverse remarks or
change in overall
grading, a copy of
relevant order/
decision be kept in
APR dossier.
25 Moveable/Immovable (a) In respect of C-3 after the issue
property return employees entitled to of final pension/
retirement benefits gratuity payment
order
(b) in respect of other
employees: C-3 after the
employee has
ceased to be in
service
26 Training/ Seminars/ (a) Cases involving C-1 after the
Workshops/ expenditure from public period of validity
Scholarships/ funds and execution of bond/ agreement
fellowships in India bond/agreement by the or completion of
and abroad trainees;
346

No.
audit, whichever
(b) Cases involving direct is later.
expenditure from
public funds but not C-3; or one year
execution of after completion
bond/agreement; of audit,
whichever is later.
(c) Cases not involving
direct expenditure
C-3
(d) Reports submitted by
trainees etc. after
completion of C-3
training/study
27 Deputations and delegations on foreign service in India and
abroad
(ii) Officers/staff C-3 or one year

after completion
of audit,
whichever is later.
28 Duties and responsibilities of NHAI officers
(ii) Officers/staff C-5 In case of individual
officers, a copy of the
order be kept in
personal file.
29 Office Establishment
(i) Opening/ closing of ROs/ Category ‘B’
SLOs/ PIUs/ CMUs/ Site
Offices
(ii) Reorganisation and Category ‘B’
redistribution of functions
30 Telephones Office telephones C-3 or one year
installation and shifting of after completion
telephone bills
347

No.
of audit whichever
is later.
31 Accommodation
(i) Correspondence with C-10
Dte. of Estate for
Residential
Accommodation for NHAI
officials
(ii) Hiring/ requisitioning of C-3 or one year
private property for after completion
official use of audit or C-1
after termination
of lease/ contract,
whichever is the
latest.
(iii) Hiring of Guest C-3 or one year
House/Transit after completion
accommodation of audit or C-1
after termination
of lease/ contract,
whichever is the
latest.
(iv) Payment for Hiring of C-3 or one year
Guest House/Transit after completion
accommodation of audit or C-1
after termination
of lease/ contract,
whichever is the
latest.
(v) Addition, alternations and C-3 or one year
Maintenance after completion
of audit whichever
is later.
32 Furniture
(i) Rules for purchase, hire Category ‘B’
condemnation
348

No.
(ii) Condemnation/ disposal C-3 or one year Subject to suitable
of unserviceable articles after completion entries being made in
of audit whichever the appropriate
is later. stock/assets register.
(iii) Hiring/purchase C-3 or one year Subject to suitable
after completion entries being made in
of audit whichever the appropriate stock,
is later. assets register.
(iv) Maintenance and repairs C-3 or one year
after completion
of audit whichever
is later.
(v) Physical verification C-3 or one year
after completion
of audit whichever
is later.
33 Vehicle/ Travel
(i) Purchase of new C-5 or one year
cars/auction of old cars after completion
of audit whichever
is later.
(ii) Condemnation of C-3 or one year
vehicles after completion
of audit whichever
is later.
(iii) Insurance of staff cars C-3 or one year
after completion
of audit whichever
is later.
(iv) Payment for repair/ C-3 or one year
maintenance/ after completion
accessories of staff cars of audit whichever
is later.
(v) Payment of general duty C-3 or one year
of audit whichever
is later.
349

No.
(vi) Payment for hiring of C-3 or one year
of audit whichever
is later.
(vii) Engagement of vehicles C-3 or one year
at ROs/ PIUs/ CMUs after completion
of audit whichever
is later.
(viii) Requisition for availing C-3 or one year
of audit whichever
is later.
(ix) Booking/cancellation of C-3 or one year
air tickets after completion
of audit whichever
is later.
(x) Payment for booking of C-3 or one year
of audit whichever
is later.
34 Stationery items
(i) Rules for procurement ‘B’ category
(general aspects)
(ii) Purchase / printing of C-3 or one year
stationery after completion
of audit whichever
is later.
(iii) Record of Indent/issue of C-3 or one year
of audit whichever
is later.
(iv) Local purchase C-3 or one year Subject to suitable
of audit whichever the appropriate stock
is later. register.
(v) Supply of stationery C-1 Subject to suitable
entries being made in
350

No.
the appropriate stock
register.
(vi) Physical verification C-3 or one year
after completion
of audit whichever
is later.
35 Office equipments including machines, Computers, TVs/ LCDs/
LEDs/ Photocopy machines, Shredding machine including
electrical and mechanical appliances and other miscellaneous
stores items
(i) Rules for procurement/ Category ‘B’
maintenance/ disposal
(ii) Purchase C-3 or one year Subject to suitable
of audit whichever the appropriate stock/
is later. assets register
(iii) Condemnation and C-3 or one year Subject to suitable
disposal after completion entries being made in
of audit whichever the appropriate stock/
is later. assets register
(iv) Repairs and maintenance C-3 or one year
after completion
of audit whichever
is later.
after completion
of audit whichever
is later.
36 Unserviceable, obsolete and surplus articles
(i) Rules Category ‘B’
(ii) Engagement of C-3 or one year
auctioneers and notice of after completion
auction of audit whichever
is later.
37 Procurement of goods and services
(i) Courier service, security, C-5 or one year
house keeping, security, after completion
351

No.
Catering, document of audit or C-3
management, record after termination
management, printing, of lease/contract,
binding, photocopying, whichever is the
flower arrangement etc. latest.
(ii) Bids/ proposals of C-2 after expiry of
successful bidder contract
(iii) Bids/ proposals of C-1 after award of
unsuccessful bidder work
(iv) Payment for procurement C-3 or one year
of goods and services after completion
of audit whichever
is later.
38 Black-listing of firms/ contractors
(i) Policy Permanent in the
case of divisions
issuing the
orders/instructions
etc. and other
divisions need
keep only the
standing orders,
weeding out the
superseded ones,
as and when they
become obsolete.
(ii) Individual cases One year after
expiry of
blacklisting
duration
39 Acts, Bills, Acts, Rules, Regulations, Category ‘A’ Subject to fulfilling
Regulations etc. Bills and Ordinances or ‘B’ criteria as per para
9.1(a) of the policy
circular
40 Meetings Agenda and Minutes of Category ‘A’ Subject to fulfilling
the Board Meetings, or ‘B’ criteria as per para
Variation Committee
352

No.
Meetings, Executive 9.1(a) of the policy
Committee Meeting circular
41 Delegation of powers Delegation of powers Category ‘B’ Subject to fulfilling
criteria as per para
9.1(a) of the policy
circular
42 Reports Annual Reports of Category ‘B’ Copies to be retained
Authority in the dealing division
43 Agreements International agreements, Category ‘B’
MOUs, State Support
Agreements, convention
etc.
44 Arbitration cases Arbitration and litigation C-5 Subject: to
cases
(a) the file not being
closed until the
award/ judgment
becomes final in all
respects by limitation
or final decision in
appeal / revision, and
(b) cases involving

important issues or
containing material of
a high precedent /
reference value being
retained for an
appropriately longer
period either initially
or at the time of
review
45 Library
(ii) Procurement/ C-3 or one year
subscription of Books/ after completion
353

No.
Journals and other of audit whichever
documents is later.
(iii) Stock verification C-3 or one year
after completion
of audit whichever
is later.
(iv) Library Membership form Till issue of No
Dues Certificate
to the member
(v) Agenda /Minutes of C-3 or one year
Library Committee after completion
Meeting of audit whichever
is later.
(vi) Library computerization/ C-3 or one year
automation after completion
of audit whichever
is later.
(vii) Library Bulletin, where C-3 or one year
expenditure is involved after completion
of audit whichever
is later.
(viii) Procurement of agency C-3 or one year
for press clipping service after completion
of audit whichever
is later.
(ix) Bid of the successful C-1 after expiry of
bidder contract
(x) Bids of the unsuccessful C-1 after award of

bidders contract
(xi) Write off /weeding out of Category ‘B’

books/ publications
(xii) Auction Newspapers/ C-3 or one year
Journals after completion
of audit whichever
is later.
354

No.
(xiii) Membership of other C-3 or one year
institutions after completion
of audit whichever
is later.
46 Progressive use of Hindi
(i) General aspects and Category ‘B’
Hindi Committees.
(ii) (a) Hindi workshops/ C-3 or one year
Hindi Pakhwara after completion
of audit whichever
is later.
(iii) Circulation of orders To be destroyed
at the end of the
year.
(iv) Periodical reports C-3
regarding use of Hindi for
official purposes
(v) Constitution of Hindi C-5
Committee
(vi) Meeting and Follow up C-3
action of Hindi Committee
(vii) Translation of Books, C-3 after the
reports, periodicals etc. publication is
printed.
47 Hindi Teaching Scheme
(i) General aspects and Category ‘B’
Hindi Committees.
(ii) Training programme C-2
(iii) Examinations (a) Applications:
C-1
(b) Results: C-5
(iv) Grant of advance C-5 or one year Subject to a suitable
increments after completion entry made in the
whichever is later. record.
355

No.
(v) Grant of awards C-3 or one year Subject to a suitable
after completion entry made in the
(vi) Conduct of Hindi C-5

competition
(vii) Reports and returns C-5
48 Media
(ii) Release of (a) Case involving
Advertisements to expenditure: C-3
Publications/Souvenir, or one year after
Sponsorship of Events completion of
including VIP References audit, whichever
thereof is later.
(b) Other cases:
C-1
(iii) Participation in (a) Case involving
Exhibitions expenditure: C-3
or one year after
completion of
audit, whichever
is later.
(b) Other cases:
C-1
(iv) Release of Tender C-3 or one year
Notices/Employment after completion
Notices/Display of audit,
Advertisements whichever is later.
(v) Designing and printing of C-3 of one year

Diary/Calendars/ after completion
Brochures/ Greeting of audit,
Cards / Leaflets whichever is later
(including bids)
356

No.
(vi) Empanelment of One year after
Advertising Agencies expiry of the panel
(vii) Proposal for C-1 after period of
empanelment of empanelment is
successful agencies over
(viii) Proposal for C-1 after
empanelment of empanelment of
unsuccessful agencies agencies
(ix) Press Releases/ C-3
rejoinders
(x) Press Tours (Hotel (a) Case involving
arrangements, booking of expenditure: C-3
tickets, reception or one year after
arrangements, reporting completion of
/translation, transport audit, whichever
arrangements etc.) is later.
(b) Other cases:
C-1
(xi) Press Conferences (a) Case involving
(Hospitality expenditure: C-3
arrangements) or one year after
completion of
audit, whichever
is later.
(b) Other cases:
C-1
(xii) Articles/Briefs on NHAI C-3
Projects, Response to
the Questionnaires by the
Press
(xiii) Production/Telecast of C-3 or one year
NHAI documentary /TV after completion
spots of audit,
whichever is later
(xiv) Entertainment, C-3 or one year
Procurement of items for after completion
delegations/ press etc.
357

No.
of audit,
whichever is later
(xv) Photography/ C-3 or one year
Videography of projects after completion
for publicity of audit,
whichever is later
(xvi) Tableau in Republic Day C-3 or one year
Parade after completion
of audit,
whichever is later
(xv) Reply to Internal/ Govt. C-3
Audit
49 Parliament matters
(ii) Assurance and C-3 after fulfilment
undertaking of assurance
(iii) Committees C-10 Subject to a copy of
the report being
retained permanently.
(iv) Cut-motions, resolutions/ (a) Admitted and Cases containing
Calling Attention notices answered/ material of great
–Lok Sabha/ RajyaSabh discussed:C-10 precedence/reference
(v) Questions-Lok Sabha (b) Disallowed, value/historical
(vi) Questions-Rajya Sabha lapsed or importance may be
withdrawn: retained permanently.
C-1
(vii) Legislation Category ‘B’
(viii) Furnishing of material for C-3
speech of President,
Prime Minister, Minister
etc.
(ix) Register of Parliament C-3
questions
50 Right to Information (RTI)
358

No.
(i) RTI Cases disposed C-3
without attracting any
Appeal
(ii) RTI Cases attracting 1st C-3
Appeal
(iii) RTI Cases attracting 2nd C-3 or till
Appeal (without any compliance of CIC
remarkable decision) orders, whichever
is later.
(iv) RTI Cases attracting 2nd C-5
Appeal (involving a
remarkable decision)
(v) 1st Appeal cases files C-3
nd
(vi) 2 Appeal cases files C-3 or till
compliance of CIC
orders
(vii) Files relating to the C-5
administrative aspects of
RTI Act, 2005 i.e.
implementation,
suggestions, guidelines,
etc.
(viii) File Register of RTI Category ’B’
Applications i.e. records
other than file
51 Disposal of Public Disposal of Public C-5
Grievances Grievances
52 Land Acquisition
(i) Policy Category ’B’
(ii) LA Notifications Category ’B’
3a
3A
3D
(iii) Appointment of Category ’B’
arbitrators
359

No.
(iv) Compensation cases Category ’B’
/awards
(v) Court cases Category ’B’
(vi) Acquisition of extra land Category ’B’
due to change in
alignment
(vii) Acquisition of land Category ’B’
belonging to Govt. Deptt.
Records other than files
S.No. Description of Records Retention Period Remarks

53 Rosters for Scheduled Castes and Category ’B’
Scheduled Tribes
54 Service book of Officials entitled to C-5 after issue of final
retirement/terminal benefits pension/ gratuity
payment order
55 Answer books of departmental C-5 from the date of
examinations/tests declaration of results
56 Leave account of :
Officials entitled to C-3 after issue of final

retirement/terminal benefits pension/gratuity
payment order.
Other employees C-3 after they have

ceased to be in service.
57 Casual Leave Account To be destroyed at the
end of the year
58 Special casual leave Register C-1
59 Attendance register C-1
60 Staff car log book C-3 or one year after
completion of audit,
Whichever is later
360

61 Stock register C-3 or one year after
completion of audit, and
settlement of audit
objections,, whichever is
later
62 Library Accession Register Category ‘B’ If, for any reason, a
register has to be
rewritten, the old
register will be
retained for 3
years.
63 Register of identity cards Category ‘B’ - do -
64 Dispatch register C-3

65 Slips of dispatch through courier/ C-3
post
361
B : Finance, Budget, Cash And Accounts
Sl No. Main Head Sub-Head Retention Period Remarks

1 Budget estimates / Budget estimates / C-5 from end of
revised estimates revised estimates financial year
2 Expenditure Expenditure statements C-5 from end of
statements financial year
3 Reconciliation Reconciliation C-5 from end of
financial year
4 Re-appropriation Re-appropriation C-5 from end of
financial year
5 Accounts and
audit
(i) Audit objection and audit C-3 from the end of
paras the year in which
para is settled
(ii) Internal audit (annual) C-3
(iii) Annual Accounts/ Category ‘B’
Annual Report
(iv) Write-off of losses C-3 or one year
after completion of
audit, whichever is
later.
(v) Expenditure sanction C-3 or one year
after completion of
audit, whichever is
later.
6 Half yearly and annual accounts & audit thereof
(i) Annual accounts Category ‘B’
(ii) Half yearly accounts C-10
(iii) Annual accounts of C-5 in HQ
fields units
(iv) Audit (C&AG) Category ‘B’
7 Budget Estimates C-5
for five year plans
8 Last Pay C-3 after the
Certificate settlement of case
or one year after
362

audit whichever is
later
9 PF record Deputationists / regular/ 1 year after
contract employees repatriation/ final
settlement on
retirement/
completion of
contract
10 Leave salary & 1 year after
Pension repatriation
contribution
11 PFMS Engagement of service C-3 or one year
provider and payment after completion of
thereof audit, whichever is
later.
12 NHAI Bonds
(i) Application forms C-2 after close of
(unused) issue
(ii) Information C-2 after close of
Memorandum uptoTr-X issue
(unused)
(iii) Blank stationery of Bond After maturity
certificate (unused) becomes due
(iv) Interest/warrant C-7 after date of
stationery (unused) validity
(v) Correspondence in C-7
respect of 54EC Bonds
sent to RTA for updation
of bank details/
correction etc.
(vi) Unpaid interest/ C-7 from date of
redemption warrants validity
13 Fund
Management
(ii) Release of funds from C-5
the Ministry
363

(iii) Submission of utilization C-5
certificate to the Ministry
(iv) Sanction order from C-5 or one year
Ministry of RT&H after completion of
audit, whichever is
later
(v) Repayment of Govt. C-5
loan and interest
(vi) FDR policy and Category ’B’
procedure
(vii) Investment of surplus C-5 or one year
funds after completion of
audit, whichever is
later
(viii) Placement of surplus C-5 or one year
funds in short term fixed after completion of
deposits/ Flexi FDR audit, whichever is
later
(ix) RO/PIU wise release of C-3 or one year
funds under CBS after completion of
system audit, whichever is
later
(x) Audit observations on C-5 or till para is
funds management dropped, whichever
is later
14 Toll remittance
(i) Toll remittance to CFI Category B
policy
(ii) Toll remittance to CFI : C-3 or one year
correspondence after completion of
audit, whichever is
later
15 Land Acquisition Policy Category ’B’
Account
16 Opening of Bank Accounts
364

(ii) Operation of Bank Category ’B’
Accounts
(iii) Authorised signatory of Category ’B’
Bank Account
(iv) Core banking solution – Category ’B’
Policy
(v) Correspondence : CBS C-5
Banking
(vi) Correspondence : Bank C-5
guarantee/ bid security
(vii) Over Draft facility with C-3
banks
(viii) Opening of Accounts for Category ’B’
toll collection
(ix) Operation of bank C-5
accounts in PIUs
(x) Reconciliation of Bank C-3 or one year
Accounts after completion of
audit, whichever is
later
(xi) Reconciliation of toll C-5 or one year
collection FDRs after completion of
audit, whichever is
later
(xii) Bank operation – C-3 or one year
PIU/RO/SLUs after completion of
audit, whichever is
later
17 NHDP-IVA
(ii) Sanction letters C-3 or one year
after completion of
audit, whichever is
later
18 Audit reports
(i) Internal audit reports C-3 or upto critical
analysis report is
365

considered by
Internal audit
committee of NHAI,
whichever is later
(ii) Govt. audit reports C-3 after audit para
is dropped
19 Filing of ITR returns
(i) ITR returns Category ’B’
(ii) Correspondence for ITR C-5
returns
(iii) Assessment order Category ’B’
(iv) Assessment order : C-5
correspondence
(v) Appeal against Category ’B’
assessment order
(vi) Appeal against C-5 from end of the
assessment order : year when appeal
correspondence is finally settled
(vii) Order of appellate Category ’B’
authority
(viii) Application for non- Category ’B’
deduction of TDS
20 Manpower Manpower management C-3
of finance cadre
Record other than files
S. No. FOR NHAI

21 Cash Book C-10
22 Pay Bill Register Category ’B’
23 Payment vouchers C-8 after settlement of income tax cases
24 Receipt vouchers C-8 after settlement of income tax cases
25 Adjustment vouchers C-8 after settlement of income tax cases
366
C : Vigilance

1 Complaints Officers/ staff If as a result of the
a)Those leading to C-3 after the final complaint a
Vigilance/disciplinary disposal of appeal recordable warning
enquiries: or final judgment is issued to the
under the normal employee, a copy
course of law. of the relevant
(b) Anonymous or order will be
pseudonymous To be destroyed at placed in the
complaints on which no the end of the year personal file.
action is decided to be
taken:
C-3
(c) Other complaints
2 Disciplinary Officers/ Staff : resulting 3 Years after the Subject to an
Proceedings in imposition of penalties final disposal of authenticated copy
/ exoneration of accused appeal of final of the order
officials with or without judgment under regarding
warning the normal course imposition of
of law or till the penalty or warning
prescribed being placed in the
retention period, personal file and a
whichever is later. suitable entry
being made in the
appropriate service
record.
3 Prosecutions Officers/ Staff : resulting C-3 after the final Subject to a copy
in imposition of penalties disposal of appeal of the final
/ exoneration of accused or final judgment judgment being
officials with or without under the normal placed in personal
warning course of law or till file and a suitable
the prescribed entry being made
retention period. in the appropriate
service record.
4 Appeals Officers/ employees C-3 or till the If, as a result of the
prescribed appeal the original
retention period, order is modified, a
367

whichever is copy of the revised
earlier. order will be
placed in the
personal file and a
suitable entry
made in the
appropriate service
record.
5 Petitions Officers/ employees C-3 or till the If, as a result of the
prescribed appeal the original
retention period, order is modified, a
whichever is copy of the revised
earlier. order will be
placed in the
personal file and a
suitable entry
made in the
appropriate service
record.
6 Court cases / Officers/ employees 3 years after final Subject to a copy
Arbitrations / clearance from of the court order
Enquiry / Audit Arbitration, being placed in the
Litigation, Enquiry personal file and,
or Audit as the where necessary a
case may be or till suitable entry
the prescribed being made in the
retention period, appropriate service
7 Participation in Intimation C-3
politics
8 Radio Sanction C-3
broadcasts,
contribution of
articles editing or
managing of
newspapers,
publications.
368

9 Evidence before Sanction C-3
committee of
Enquiry
10 Vigilance Administration
(i) List of officers of doubtful C-10
integrity
(ii) Cases of difference of C-10
opinion with Central
Vigilance Commission /
other Constitutional
Bodies
(iii) Grant of vigilance C-10
clearance in respect of
different classes of
officers and the staff
369
D : Technical Divisions

1 Documents related to DPR Consultant
(i) RFQ stage Unqualified RFQ C-1 from the date
Applications of Pre-Qualification
Qualified RFQ C-3 from the date
Applications of award of
consultancy work
(ii) RFP stage Unsuccessful RFP C-3 from the date
documents of award of the
contract.
Finally Successful bid Category ‘B’
(iii) DPR Consultancy C-2 after expiry of
Contract Document professional liability
period. In case of
arbitration 2 years
after settlement of
arbitration or legal
disputes, whichever
is later
(iv) Detailed Project All volumes Category ’B’
Report
(v) Correspondence Category ’B’
files
2 Supervision Consultancy/ Independent Consultant/ Independent Engineer /
Authority’s Engineer
Applications of award of contract
(ii) RFP stage Unsuccessful RFP C-3 from the date
documents of award of the
contract.
(iii) Finally Successful bid Category ’B’
(iv) Contract Document C-5 after expiry of
professional
liability. In case of
370

arbitration 2 years
after settlement of
the arbitration or
legal disputes,
whichever is later.
(v) Proof checking Category ’B’
designs, final
completion drawing
handing over report
(vi) Correspondence Category ’B’
files
3 Civil Work Contract/ BOT (Toll)/ Annuity/OMT Contract and other Works
Applications of award of work
(ii) RFP stage Unsuccessful bids C-2 from the date
of award of the
contract except L-2
and L-3 which shall
be destroyed 2
years after
completion of work
Finally successful bid Category ’B’
(iii) Contract Category ’A’
/Concession
Agreement
(iv) Measurement C-10 from the date
Books of actual
completion
4 Contracts for tolling/auction/maintenance
(i) RFP stage Unsuccessful bids C-1 from the date
of award
(ii) Successful bid C-3 after expiry of
contract
371

5 Reports & Returns Monthly/ Quarterly/ C-10 for originating
Fortnightly/ office; for others C-
Weekly/Annual 1
6 Inauguration C-3 or 1 year after
/foundation stone the audit is over,
laying ceremonies whichever is later
of NH projects
Annexure ‘B’
RECORD RETENTION SCHEDULE FOR ROs/FIELD UNITS
A: Establishment & Administration, Media, RTI, Parliament Matters
Sl Main Head Sub-Head Retention Remarks

No. Period
1 Recruitment /Appointment /Engagement
(i) on contract (long term) Category ‘B’
(ii) on short term basis C-5
(iii) Recruitment applications C-5
(iv) Appointment of C-10
Consultants/ Advisors
(v) Engagement of staff C-5
through agencies
(vi) Selection Committees for Category ‘B’
recruitment of personnel-
Constitution and
Proceedings
2 Posting and transfers
(i) Officers/ staff C-10 Subject to a copy of
transfer/ posting order
placed in the personal
file.
3 Personal files and service records
372

No. Period
(i) Regular officers/ staff C-10 after issue
of final pension/
gratuity payment
order
(ii) Deputationists / contract C-10 after
employees repatriation/
termination of
contract
(iii) Representations on C-5 If the representation
personal matters results in the original
order/ decision be
(iv) Forwarding of applications C-3
4 Pay/Special Pay
(i) Officers/staff C-3 or one year Subject to suitable
whichever is record and pay bill
later. register.
5 Allowances
(i) Claims of allowances by C-3 or one year Subject to suitable
Officers/Staff after completion entries made in the
whichever is record and pay bill
later. register.
6 Increment
(i) Withholding of increments Category ‘B’ Subject to a copy of
the order placed in
the personal file/
service record.
(ii) Representations and C-5 If the representation
order/ decision be
373

No. Period
file/ service record.
7 Honorarium/
Bonus
(i) Officers/ staff C-3 or one year
after completion
of audit,
whichever is
later.
8 Awards Officers/ staff C-3 or one year Subject to appropriate
after completion entry made in the
of audit, Service record/CR
whichever is dossier of the
later. concerned employee.
9 Facilities to NHAI officers/ employees
(i) Grant /Retention/ C-3 or one year
Cancellation of Lease after completion
facility of audit,
whichever is
later.
(ii) Reimbursement/purchase -do-
of mobile/ laptop
(iii) Retention/write off of -do-
mobile instrument/laptop
(iv) Advance for purchase of -do-
mobile/ laptop
(v) Payment/re-imbursement -do-
of mobile/data card bills
(vi) Group Insurance Scheme -do-
(vii) Diwali gifts -do-
(viii) Re-imbursement for -do-
briefcase/ handbag
(ix) Medical re-imbursement -do-
10 Leave (other than study leave and casual
leave)
374

No. Period
(i) Officers/ staff C-3 Subject to suitable
entries made in the
service record.
11 Casual leave
(i) Officers/ staff To be destroyed
at the end of the
year
12 Study leave
(i) Officers/ staff C-1 after the Subject to suitable
expiry of the entries made in the
bond/ appropriate service
agreement record and leave
executed by the account and an
employee. authenticated copy
being kept in the
personal file.
13 Confidential/Assessment report
(i) Correspondence C-5
14 Moveable/Immovable property return
15 Training/ Seminars/ Workshops/ Scholarships/ fellowships in India and abroad
16 Deputations and delegations on foreign service in India and
abroad
(i) Officers/staff C-3 or one year
after completion
of audit,
whichever is
later.
17 Duties and responsibilities of NHAI officers
(i) Officers/staff C-5 In case of individual
officers, a copy of the
order be kept in
personal file.
18 Office Establishment
375

No. Period
(i) Opening/ closing of ROs/ Category ‘B’
SLOs/ PIUs/ CMUs/ Site
Offices
(ii) Reorganisation and Category ‘B’
redistribution of functions
19 Telephones Office telephones C-3 or one year
installation and shifting of after completion
- telephone bills of audit
whichever is
later.
20 Accommodation
(i) Hiring/ requisitioning of C-3 one year
private property for official after completion
use of audit or C-1
after termination
of lease/
contract,
whichever is the
latest.
(ii) Addition, alternations and C-3 or one year
Maintenance after completion
of audit
whichever is
later.
21 Furniture
(i) Condemnation/ disposal C-3 or one year Subject to suitable
of unserviceable articles after completion entries being made in
of audit the appropriate
whichever is stock/assets register.
later.
(ii) Hiring/purchase C-3 or one year
after completion
of audit
whichever is
later.
(iii) Maintenance and repairs C-3 or one year
after completion
376

No. Period
of audit
whichever is
later.
(iv) Physical verification C-3 or one year
after completion
of audit
whichever is
later.
22 Vehicle/ Travel
(i) Approval for hiring of C-3
vehicles
(ii) Payment for hiring of C-3 or one year
of audit
whichever is
later.
(iii) Engagement of vehicles at C-3 or one year
ROs/ Field Units after completion
of audit
whichever is
later.
(iv) Requisition for availing C-3 or one year
of audit
whichever is
later.
(v) Booking/cancellation of air C-3 or one year
tickets after completion
of audit
whichever is
later.
(vi) Payment for booking of C-3 or one year
of audit
whichever is
later.
23 Stationery items
377

No. Period
(i) Purchase / printing of C-3 or one year
of audit
whichever is
later.
(ii) Record of Indent/issue of C-3 or one year
of audit
whichever is
later.
(iii) Local purchase C-3 or one year Subject to suitable
of audit appropriate stock
whichever is register.
later.
(iv) Supply of stationery C-1
after completion
of audit
whichever is
later.
24 Office equipments including machines, Computers, TVs/
LCDs/ LEDs/ Photocopy machines, Shredding machine
including electrical and mechanical appliances and other
miscellaneous stores items
(i) Purchase C-3 or one year
after completion Subject to suitable
of audit entries made in the
whichever is appropriate stock/
later. assets register
(ii) Condemnation and C-3 or one year
disposal after completion
of audit
whichever is
later.
(iii) Repairs and maintenance C-3 or one year
after completion
378

No. Period
of audit
whichever is
later.
(iv) Physical verification C-3 or one year
after completion
of audit
whichever is
later.
25 Unserviceable, obsolete and surplus articles
(i) Engagement of C-3 or one year
auctioneers and notice of after completion
auction of audit
whichever is
later.
26 Procurement of goods and services
(i) Courier service, security, C-5 or one year
house keeping, security, after completion
Catering, document of audit or C-3
management, record after termination
management, printing, of
binding, photocopying, lease/contract,
flower arrangement etc. whichever is the
latest.
(ii) Bids/ proposals of C-2 after expiry
successful bidder of contract
(iii) Bids/ proposals of C-1 after award
unsuccessful bidder of work
(iv) Payment for procurement C-3 or one year
of goods and services after completion
of audit
whichever is
later.
27 Black-listing of firms/ contractors
(i) Individual cases One year after
expiry of
blacklisting
duration
379

No. Period
28 Meetings Agenda/Minutes of the C-7
review meetings/meeting
with the State Govt. etc.
and correspondence
thereof
29 Agreements MOUs, State Support Category ‘B’
Agreements, convention
etc.
30 Arbitration cases Arbitration and litigation C-5 Subject: to
cases
(a) the file not being
closed until the
award/ judgment
becomes final in all
respects by limitation
or final decision in
appeal / revision, and
(b) cases involving

important issues or
containing material of
a high precedent /
reference value being
retained for an
appropriately longer
period either initially
or at the time of
review
31 Library
(i) Procurement/ subscription C-3 or one year
of Books/ Magazines / after completion
Journals etc. of audit
whichever is
later.
(ii) Write off /weeding out of Category ‘B’
books/ publications
380

No. Period
(iii) Auction Newspapers/ C-3 or one year
magazines/Journals etc. after completion
of audit
whichever is
later.
32 Progressive use of Hindi –Implementation of Official Language
(i) Hindi workshops/ Hindi C-3 or one year
Pakhwara after completion
of audit
whichever is
later.
(ii) Circulation of orders To be destroyed
at the end of the
year.
(iii) Periodical reports C-3
regarding use of Hindi for
official purposes
(iv) Meeting and Follow up C-3
action of Hindi Committee
33 Media
(i) Release of Display (a) Case
Advertisements to involving
Publications/Souvenir, expenditure: C-3
Sponsorship of Events or one year after
including VIP References completion of
thereof audit, whichever
is later.
(b) Other cases:
C-1
(ii) Release of Tender C-3 or one year
Notices/Employment after completion
Notices/Display of audit,
Advertisements whichever is
later.
381

No. Period
(iii) Designing and printing of C-3 of one year
Brochures / Leaflets after completion
(including bids) of audit,
whichever is
later
(iv) Press Releases/ C-3
rejoinders
(v) Press Tours (Hotel (a) Case
arrangements, booking of involving
tickets, reception expenditure: C-3
arrangements, translation, or one year after
transport arrangements completion of
etc.) audit, whichever
is later.
(b) Other cases:
C-1
(vi) Press Conferences (a) Case
(Hospitality arrangements) involving
expenditure: C-3
or one year after
completion of
audit, whichever
is later.
(b) Other cases:
C-1
(vii) Articles/Briefs on NHAI C-3
Projects, Response to the
Questionnaires by the
Press
(viii) Production/Telecast of C-3 or one year
NHAI documentary /TV after completion
spots of audit,
whichever is
later
(ix) Entertainment, C-3 or one year
Procurement of items for after completion
delegations/ press etc. of audit,
382

No. Period
whichever is
later
(x) Photography/ C-3 or one year
Videography of projects after completion
for publicity of audit,
whichever is
later
34 Parliament /assembly matters
(i) Assurance and C-3 after
undertaking fulfillment of
assurance
(ii) Material/Agenda/Minutes C-10 Subject to a copy of
etc. of the Committees the report being
retained permanently.
(iii) Calling Attention notices – (a) Admitted and Cases containing
Lok Sabha/ RajyaSabh answered/ material of great
(iv) Questions-Lok Sabha discussed : C-10 precedence/reference
(v) Questions-Rajya Sabha (b) Disallowed, value/historical
lapsed or importance may be
withdrawn: C-1 retained permanently.
(vi) Visit of parliamentary C-3 or one year
committees : Expenditure after completion
incurred & accounting of audit,
thereof whichever is
later
35 Right to Information (RTI)
(i) RTI Cases disposed C-3
without attracting any
Appeal
(ii) RTI Cases attracting 1st C-3
Appeal
(iii) RTI Cases attracting 2nd C-3 or till
Appeal (without any compliance of
remarkable decision) CIC orders,
whichever is
later.
383

No. Period
(iv) RTI Cases attracting 2nd C-5
Appeal (involving a
remarkable decision)
(v) 1st Appeal cases files C-3
(vi) 2nd Appeal cases files C-3 or till
compliance of
CIC orders
(vii) Files relating to the C-5
administrative aspects of
RTI Act, 2005 i.e.
implementation,
suggestions, guidelines,
etc.
(viii) File Register of RTI Category ’B’
Applications i.e. records
other than file
36 Disposal of Disposal of Public C-5
Public Grievances
Grievances
Records other than Files

37 Leave account of :
Officials entitled to C-3 after issue of final

retirement/terminal benefits pension/gratuity payment
order.
Other employees C-3 after they have

ceased to be in service.
38 Casual Leave Account To be destroyed at the
end of the year
39 Attendance register C-1
384
40 Staff car log book C-3 or one year after

Whichever is later
41 Stock register C-3 or one year after
whichever is later
42 Library Accession Register Category ‘B’ If, for any reason,
a register has to
be rewritten, the
old register will be
retained for 3
years.
44 Dispatch / Receipt Register C-3
45 Slips of dispatch through courier/ C-3
post
46 Asset register Category ‘B’
B : FINANCE, BUDGET, CASH AND ACCOUNTS

1 Budget estimates / Budget estimates / C-5 from end of
revised estimates revised estimates financial year
2 Expenditure Expenditure statements C-5 from end of
statements financial year
3 Reconciliation Reconciliation C-5 from end of
financial year
4 Re-appropriation Re-appropriation C-5 from end of
financial year
5 Accounts and
audit
(i) Audit objection and audit C-3 from the end of
paras the year in which
para is settled
(ii) Internal audit (annual) C-3
(iii) Annual Accounts/ Category ‘B’
Annual Report
(iv) Write-off of losses C-3 or one year
after completion of
385

audit, whichever is
later.
(v) Expenditure sanction C-3 or one year
after completion of
audit, whichever is
later.
6 Half yearly and annual accounts & audit thereof
(i) Annual accounts Category ‘B’
(ii) Half yearly accounts C-10
(iii) Annual accounts C-10
(iv) Audit (C&AG) Category ‘B’
8 Last Pay C-3 after the
Certificate settlement of case
or one year after
audit whichever is
later
9 PF record Deputationists / regular/ 1 year after
contract employees repatriation/ final
settlement on
retirement/
completion of
contract
10 Leave salary & 1 year after
Pension repatriation
contribution
11 Fund
Management
(i) RO/PIU wise release of C-3 or one year
funds under CBS after completion of
system audit, whichever is
later
(ii) Audit observations on C-5 or till para is
funds management dropped, whichever
is later
12 Toll remittance
(i) Toll remittance to CFI : C-3 or one year
correspondence after completion of
386

audit, whichever is
later
13 Opening of Bank Accounts
(i) Operation of Bank Category ’B’
Accounts
(ii) Authorised signatory of Category ’B’
Bank Account
(iii) Core banking solution – Category ’B’
Policy
(iv) Correspondence : CBS C-5
Banking
(v) Correspondence : Bank C-5
guarantee/ bid security
(vi) Over Draft facility with C-3
banks
(vii) Opening of Accounts for Category ’B’
toll collection
(viii) Operation of bank C-5
accounts in PIUs
(ix) Reconciliation of Bank C-3 or one year
Accounts after completion of
audit, whichever is
later
(x) Reconciliation of toll C-5 or one year
collection FDRs after completion of
audit, whichever is
later
(xi) Bank operation – C-3 or one year
PIU/RO/SLUs after completion of
audit, whichever is
later
14 Audit reports
(i) Internal audit reports C-3 or upto critical
analysis report is
considered by
Internal audit
387

committee of NHAI,
whichever is later
(ii) Govt. audit reports C-3 after audit para
is dropped
(iii) In-house audit C-3
15 Filing of ITR / TDS returns
(i) TDS/TCS remittance Category ’B’
(ii) TDS return Category ’B’
(iii) TDS certificate C-5
(iv) Application for lower- C-5
deduction of TDS
16 Reports relating to C-3
payment
exceeding 1 lakh
through RTGS
RECORD OTHER THAN FILES
S. No. Description of records Retention Period

21 Cash Book C-10
22 Pay Bill Register Category ’B’
23 Payment vouchers C-8 after settlement of income tax cases
24 Receipt vouchers C-8 after settlement of income tax cases
25 Adjustment vouchers C-8 after settlement of income tax cases
26 Transfer vouchers C-8 after settlement of income tax cases
27 Bank Guarantee Register Category ’B’
28 Staff reimbursement register Category ’B’
29 Register of Measurement Category ’B’
Books
388
C : Technical and Land Acquisition

No. Main Head Sub-Head Retention Period Remarks
1 Documents related to DPR Consultant / feasibility consultant
(i) RFQ stage Unqualified RFQ C-1 from the date of Pre-
Applications Qualification
Qualified RFQ C-3 from the date of award
Applications of consultancy work
(ii) RFP stage Unsuccessful RFP C-3 from the date of award
documents of the contract.
Finally Successful bid Category ‘B’
(iii) DPR Consultancy C-2 after expiry of
Contract Document professional liability
period. In case of
arbitration 2 years after
settlement of arbitration or
legal disputes, whichever is
later
(iv) Detailed Project All volumes Category ’B’
Report /feasibility
report
(v) Correspondence Category ’B’
files
2 Supervision Consultancy/ Independent Consultant/ Independent Engineer /
Authority’s Engineer
Applications of contract
(ii) RFP stage Unsuccessful RFP C-3 from the date of award
documents of the contract.
(iii) Finally Successful bid Category ’B’
(iv) Contract Document C-5 after expiry of
professional liability. In
case of arbitration 2 years
after settlement of the
arbitration or legal
disputes, whichever is
later.
389

(v) Review drawing / Category ’B’
Proof checking
designs, final
completion drawing
/ as built drawing /
handing over report
(vi) Correspondence Category ’B’
files
(vii) Payment to C-3 after release of final
SC/IC/IE/AE payment
3 Civil Work Contract/ BOT (Toll)/ Annuity/OMT Contract and other Works
Applications of work
(ii) RFP stage Unsuccessful bids C-2 from the date of award
of the contract except L-2
and L-3 which shall be
destroyed 2 years after
completion of work
Finally successful bid Category ’B’
(iii) Contract Category ’A’
/Concession
Agreement
(iv) Measurement Book C-10 from the date of
/ level book actual completion
(iv) Interim payment C-8 after release of final
certificate (IPC) / payment
final bill
(iv) Correspondence Category ’B’
file
4 Contracts for tolling/auction/maintenance
(i) RFP stage Unsuccessful bids C-1 from the date of award
(ii) Successful bid C-3 after expiry of contract
5 Reports & Returns Monthly/ Quarterly/ C-10 for originating office;
Fortnightly/ for others C-1
Weekly/Annual
390

6 Inauguration C-3 or 1 year after the audit
/foundation stone is over, whichever is later
laying ceremonies
of NH projects
7 Land Acquisition
(ii) LA Notifications Category ’B’
3a
3A
3D
(iii) Appointment of Category ’B’
arbitrators
(iv) Compensation cases Category ’B’
/awards
(v) Court cases Category ’B’
(vi) Acquisition of extra land Category ’B’
due to change in
alignment
(vii) Acquisition of land Category ’B’
belonging to Govt.
Deptt.
Proposal for sanction / Category ’B’
extension of SLAUs
LA Estimates and Category ’B’
Compensation
Mutation of land Category ’B’
records/ possession
certificates
8 Correspondence / C-3
misc. reports of
general nature
9 Utility shifting Estimates and sanction Category ’B’
Payments Category ’B’
Correspondence Category ’B’
10 Environmental Correspondence Category ’B’
matters
11 Forest clearance Correspondence Category ’B’
Tree cutting Category ’B’
391

12 Permission to use Retail outlets/ petrol co. Category ’B’
ROW / private property
access/ laying of utilities
etc. - correspondence
ROW permission Category ’B’
register
13 Highway Cases/files Category ’B’
Administration
14 Arbitration Proceedings of C-5 after settlement of the
arbitration tribunal / case
DRB
Payment to DRB / AT C-3 or 1 year after the audit
members is over, whichever is later
15 VIP References C-5
16 Wild life clearance Category ’B’
matters
17 NOC from Pollution Category ’B’
control Board /
Irrigation Deptt /
ROBs etc.
18 Project inspection C-3
notes
19 Issue of fee Correspondence Category ’B’
notifications
20 PPPAC proposals C-3
21 Engagement of C-5
DGRs/ Tolling
agencies
392
Section: 1.10. Parliament Matters
Sub Subject
section
I Preparation of replies to Parliament Questions

II Laying of the Annual Reports and Audited
Accounts of the Authority on the Table of the
Houses of Parliament
III Laying of Notifications in both Houses of
Parliament
IV Appendix - List of existing Circulars issued by NHAI
upto DD/MM/2022
393
I. Preparation of replies to Parliament Questions.
[See NHAI Circular 11041/3/2002-Admn.) dated 09.02.2009 and NHAI Circular No.
Nil dated 26.02.2016]
In order to streamline the existing procedure for preparation of replies to

Parliament Questions, it has been decided to adopt the following procedure with
immediate effect for preparation of replies:
(a) The existing parliament cell headed by GM (Coord) will serve as the
Coordinating Cell
on issues relating to Parliament.
(b) Parliament Cell will continue to be the nodal agency for receipt of
questions and forwarding of replies to MoRT&H.
(c) Nodal officers appointed for preparation of replies will henceforth prepare
full complete and approved replies to questions assigned to them by the
Parliament Cell even if subject matter of some parts of the question do not
pertain to his area of responsibilities.
(d) The questions received in the Parliament Cell, will be assigned to a Nodal
Officer by DGM (Parliament) for preparation of complete and final approved
reply, in the following manner:
(i) The question will be assigned to the Nodal Officer to which sub part (a)
pertains.
(ii) If sub part (a) pertains to more than one nodal officer, the Nodal Officer
who has to deal with majority of the question will be assigned the
question.
(iii) Where, sub part (a) pertains to entire Technical/Other Divisions, the
question will be assigned by Parliament Division to each nodal officer by
rotation. The decision of the Parliament Division on this issue will be
final.
(e) Nodal officer IT division will not be assigned the responsibility for preparation
of full and complete replies. However, other nodal officers may collect
information from IT division by marking the question to nodal officer IT
division.
394
(f) Nodal officers will mark the question to all concerned, receive/compile the
information received and prepare full replies to questions. These replies,
with the approval of the concerned Member may be forwarded by the nodal
officer to Member (A) for Unstarred questions and Chairman for starred
questions, for final approval.
(g) All Starred Questions will be mandatorily routed through concerned CGMs
by the Nodal Officer before seeking approval of the concerned, Member.
2. After obtaining final approval of Member (A)/Chairman, as the case may be, the
nodal officer will forward the reply to Parliament Division for further submission
to MoRT&H. Concerned DGM (Parliament) will be responsible for forwarding all
finalized replies to MoRT&H., he will also be responsible for maintenance of all
records regarding Parliament Questions.
3. The list of Nodal Officers shall be circulated by Parliament Division. In the
absence of the nodal officer, the immediate subordinate officer dealing with the
subject will assume the responsibility of the nodal officer. In case of any ambiguity,
the officer to whom the question is assigned by Parliament division shall prepare
full, complete and approved replies irrespective of whether the subject matter of
the question falls in his area of responsibilities.
4. It will be responsible of the concerned CGMs/GMs (where no CGM is posted) to

ensure that the replies to Parliament Questions are submitted well in time to Parliament
Division.
395
II. Laying of the Annual Reports and Audited Accounts of the Authority on the
Table of the Houses of Parliament - Examination by the committee on Papers
Laid on the Table (COPLOT), Rajya Sabha
[See NHAI Policy Circulars 11041/3/2002-Admn. dtd. 18.12.2009 & 17.06.2010]
National Highways Authority of India (Budget, Accounts, Audit, Investment of

Funds and Powers to Enter Premises) Rules 1990 provides that Annual Accounts and
the Auditor’s Report thereon along with the Annual Report shall be submitted to Central
Government by 31st Day of December of the following year to which the accounts relate.
The submission of Annual Accounts have been reviewed by Committee on Papers
Laid on the Table (COPLOT), Rajya Sabha, and it has been observed by the
Committee that the Annual Reports and Audited Accounts of the Authority have been
submitted to Parliament, with a lot of delay in the previous years. The delay in
submission of the Annual Report and audited accounts has been viewed seriously.
To ensure presentation of the Annual Report in the Parliament before 31st December of
the following year, the following time schedule has been laid down.
Finalisation/ Consolidation of accounts at PIUs/ CMUs/ SLO and RO 10th May
Consolidation and Finalisation of Annual Accounts at HQ. 20th June
Submission for approval of Annual Accounts before the Board of the 25th June
Authority.
Submission of approved accounts to C&AG for audit. 30th June
Submission of approved accounts (un-audited) to Admn. Division for 30th June
preparation of Annual Report.
All the audit observations on the accounts shall be replied within a --
week of receipt of the observation
Likely date of the receipt of audited accounts from C&AG. 15th October
Submission of Management reply together with the audited accounts 07th
to Admn. Division for finalisation of Annual Report. November
2. As far as possible concurrent processing of preparation of text of annual report

and process of printing should be resorted to. Thus, the following time lines are laid
down for processing of the text portion of the annual report.
Activities Completion
Date
Collection of material for preparation of text of Annual Report 15th July
Preparation of text of the Annual Report 15th August
Calling of bids for printing of Annual Report and short listing of 10th September
bidder
Approval of draft Annual Report by Board 14th November by
circular
Printing of Annual Report 22nd
November
Forwarding of Annual Report to Ministry 1st December
396
3. All the concerned divisions & officers at Head Office and ROs /PIUs will strictly
comply with the above time schedule for preparation of Audited Accounts and Annual
Report of the Authority.
III. Laying of Notifications in both Houses of Parliament
[See NHAI Circular 11041/21/2005-Admn.) dtd. 24.10.2005]
The Committee on Subordinate Legislation, Rajya Sabha Secretariat in its

l58th Report on Statutory Orders, laid on the Table of the Rajya Sabha during its
204th Session has expressed its unhappiness on the undue delay in laying of
Notifications and for not appending delay statements along with the Notifications so
as to apprise Parliament of the causes of delay. It has been recommended that all
out efforts should be made to avoid such delays in the laying of notifications and in
case of any delay, a delay statement should be appended in order to apprise the
Parliament of the true picture.
2. The above observations of the committee have been considered by the

Ministry of Road Transport & Highways and it has been decided by the Ministry that
in future NHAI would collect adequate number of copies of printed Notifications from
the Printing Press within a week of issues of these Notifications and shall ensure
submission of requisite copies to the concerned project zone with a copy of each to
the the signing Authority and SO (Parliament) in MoRT&H.
3. In order to comply with the Statutory requirements of laying of Notifications

on the Table of the House within the timeframe as brought out above, it is requested
that the guidelines issued by the Ministry as indicated in para ‘2’ above may be
observed scrupulously by all concerned and notification sent to the MoRT&H
within five days of date of publication. Any laxity in this regard is likely to invite
adverse notice by the Ministry, which may be avoided at all costs.
397
IV. Appendix List of existing Circulars issued by NHAI upto DD/MM/2022
Sl. Policy Circular/Office Order No.

No Subject detail
Date of issuance
11041/31/2005-Admn.
Preparation of replies to Parliament Questions — reg.
09.02.2009
2
11041/21/2005-Admn
Admn/Fin No.109/2005
Laying of Notifications in both Houses of Parliament —
reg. 24.10.2005
3.
11041/3/2002-Admn
Laying of the Annual Reports and Audited Accounts of the Authority on
the Table of the Houses of Parliament — Examination by the Committee
on Papers Laid on the Table (COPOLT), Rajya Sabha reg.
18.12.2009
4.
11041/3/2002-Admn
Laying of the Annual Reports and Audited Accounts of the Authority on
the Table of the Houses of Parliament — Examination by the Committee
on Papers Laid on the Table (COPOLT), Rajya Sabha reg.
17.12.2009
5.
Nil
Timely submission of material / reply to Parliament Questions — reg.
26.02.2016
398
Section: 1.11. Public Grievance & VIP Reference
Sub Subject
section
I Procedure for disposal of PG & PG Appeal

II Procedure for disposal of VIP Reference
III Appendix - List of existing Circulars issued by
NHAI upto 31/03/2022
399
I . Procedure for Disposal of PG & PG Appeal
[See NHAI Circulars No.11041/2/2008-Admn (PG) dated 10.07.2013 and OM

No.NHAI/11041/PG/2021/E-101744 dated 02.09.2021]
Ministry of Road Transport & Highways vide OM dated 11.08.2021 (Annexure-1)

directed to refer Department of Administrative Reforms and Public Grievance OM No. S-
15/21/2021-O/o DS(PG)-DARPG (7085) dated 22.06.2021 (Annexure-II) and requested
to comply with the revised grievance on disposal protocol in CPGRAMS as follows:-
2. CGRAMS grievance shall be resolved promptly as soon as they are received and
maximum within 45 days. In case Redressal is not possible within the prescribed time
frame due to the circumstances beyond the control of the Government such as sub-
judice matters / policy issues etc., an interim reply shall be given to the citizen. The
grievance under COVID-19 category shall continue to be taken on high priority and
resolved maximum within 3 days.
3. With a view to ensuring prompt and effective redressal of the Public Grievances,
the following measures need to be adopted meticulously:
i. All Regional Officers and CGMs at HQs may ensure that the old public grievances
pending with the officers under their jurisdiction are settled immediately.
ii. The Nodal Officers nominated for RTI matters (PIOs), would also act as Nodal
Officers for handing Public Grievances under their jurisdiction.
iii. The ROs/CGMs are requested to regularly monitor the Public Grievances
received by the officers under their jurisdiction and ensure that they are redressed
expeditiously within maximum period of 45 days.
iv. The concerned nodal officers/ GMs at HQs, who are handing the Public
Grievances, must maintain the data of monthly receipt and disposal status of the
public grievances received by them and submit the report as per the standard
performa to the Coordination Division by the 10th of every month.
v. Members are requested to hold monthly review meetings with the concerned
ROs/CGMs to regularly monitor the progress of the pending Public Grievances.
400
II. Procedure for Disposal of VIP Reference
[See policy circular No NHAI /11041/21/2002-admn dated 03.08.2005, NHAI Circulars

no NHAI /11041/21/2005-Admn dated 24.03.2006, Chairman office Note dated
14.09.2012 & Policy circulars No NHAI/11041/217/2007-Admn dated 20.08.2013]
(i) Office Memorandum of Ministry of Shipping, Road Transport & Highways,

Department of Road Transport & Highways No.1-26011/1/2003-O&M
dated 20th March 2006 (Annexure III) on the subject is for strict
compliance. The said memorandum states that
a) Replies to letters received from President of India, Vice President of

India, Prime Minister, Governors of States/UTs, Speaker of Lok
Sabha, Cabinet Ministers of the Central Government, Deputy
Chairman of Rajya Sabha and other former Ministers of the Central
Government and Chief Ministers of States/UTs shall be sent by
Hon’ble Minister for Road Transport & Highways.
b) Replies to letters from Members of Parliament of either House

addressed to Minister (RT&H) or Minister of State (RT&H) shall be
sent by the Hon’ble Minister (RT&H) and the Hon’ble Minister of
State (RT&H), as the case may be.
c) Replies to letters addressed to Minister (RT&H) and Minister of State

(RT&H) by Speakers of State Legislative Assemblies, Chairman of
State Legislative Councils, Leader of Opposition in State Legislative
Assemblies/Councils, Minister of State Governments shall be sent
by Hon’ble Minister (RT&H) and Hon’ble Minister of State (RT&H),
as the case may be.
d) Replies to letters received from Members of State Legislative

Assemblies/Legislative Councils and other important personalities
shall be sent by Secretary (RT&H).
(ii) It has also been observed that sometimes letters addressed to Chairman,
NHAI by Hon'ble Members of Parliament are answered by officers other
than the Chairman. All concerned are requested to ensure that replies to
401
letters addressed to Chairman by Hon'ble MPs are submitted to Chairman

and not answered by other officers.
(iii) In order to give due importance and timely disposal of VIP references, etc.,
it has been decided that concerned CGM will monitor & ensure timely
disposal of the VIP references and Coordination Division will submit &
circulate the pendency status on fortnightly basis to all the CGMs (Nodal
Officers), concerned Members as also to Chairman office.
(iv) Apart from the above, in case any direct VIP references are received by
the Technical Division, it will be the responsibility of the concerned CGMs
that the same are replied well in time.
(v) Department of Personnel & Training has issued instructions on observance

of proper procedure for official dealings between the Administration and
Members of Parliament and State Legislature vide OM No.11013/4/2011-
Estt.(A) dated 01.12.2011 (Annexure IV). However, still there has been
instance where the correspondence received from the Member of
Parliament was not acknowledged and the reply was delayed. The said
O&M inter-alia states that
(a) Each communication received from the Member of Parliament, a

member of the public, a recognized association or a public body will
be acknowledged within 15 days, followed by a reply within the next
15 days of acknowledgement sent.
(b) Where a delay is anticipated in sending a final reply, or where the

information has to be obtained from another Ministry or another
office, an interim reply may be sent within a month (from the date
of receipt of the communication) indicating the possible date by
which a final reply can be given.
(c) If any such communication is wrongly addressed to department, it

should be transferred promptly (within a week) to the appropriate
department under intimation to the party concerned.
(vi) All officers and employees should ensure that the provisions of the said
OM (including those relating to dealing with correspondence with the
402
Members of Parliament and State Legislature) are scrupulously and strictly

followed in letter and spirit.
(vii) Any violation of these instructions will be viewed seriously and will entail
the concerned officer and employee liable to disciplinary action.
Appendix
List of existing Circulars issued by NHAI upto 31.03.2022
Sl. Policy Circular/Office Order No.
No Subject details
Date of issuance
1. NHAI/11041/21/2002-Admn.
Communications addressed to Members of Parliament
Dated 03.08.2005
2. NHAI/11041/21/2002-Admn.
Instructions regarding correspondence with Members of Parliament and
Ministers of State Government in accordance with provisions of Manual
of office procedure read with Order No. I-26011/3/2001-O & M dated
13.03.2006
Dated 24.03.2006
3. Nil
Timely submission of information relating to VIP references
Dated 14.09.2012
4. 11041/238/2007-Admn
dated 14.07.2008, 11041/3/2005-Admn dated 07.10.2009 &
11041/3/2005-Admn
dated 29.03.2011
5. 11041/2/2008-Admn (PG)
Redressal of Public Grievances
Dated 10 July 2013
6. NHAI/11041/217/2007-Admn.
Official dealings between the administration and Members of Parliament
and State Legislature-Observance of proper procedure.
Dated: 20.08.2013
403
Section: 1.12. RTI CELL
Sub Subject
section
I Procedure for disposal of RTI Applications &

Appeals
II Disclosure of Information to the public
III Government / Court Instructions
404
I. Procedure for disposal of RTI Applications & Appeals.
[See NHAI Policy Circulars 11041/131/2005-Admn. dtd. 9.3.2009, 08.10.2009,

31.12.2009 and 09.04.2013]
The procedure for disposal of RTI applications is as under:-
a. Queries under RTI Act on implementation issues will be disposed of at PIU/CMU

level and appeals thereto at RO level. Accordingly, all the Project Directors have
been appointed as Public Information Officers (PIO) for their respective PIUs /
CMUs/SPVs.
b. Regional Officers are designated as Appellate Authorities for all replies provided
by Project Directors under their respective jurisdiction.
c. GMs posted at Regional Offices are designated as Public Information Officers
(PIO) for disposal of RTI applications pertaining to the jurisdiction of concerned
Regional Office. In case, where no GM is posted in the RO, the concerned DGM
/ Manager, as the case may be, nominated by Regional Officer would act as PIO
and inform the HQs immediately.
d. Regional Officers will be Appellate Authorities for all replies furnished by the PIO
in the RO. They also continue to be Appellate Authorities for all replies forwarded
by PDs & PIOs under their jurisdiction.
e. At HQs, all GMs will continue to be designated as PIOs and will provide replies to
matters under their respective jurisdiction. Queries received at HQs and
transferred to GM& PIO by the GM (Nodal Officer for RTI) & CPIO may be either
replied to or further transferred to the concerned GM & PIO, as the case may be.
f. CGMs (HQ & Procurement) will be the designated Appellate Authority for all
procurement related queries. Other CGMs will be Appellate Authorities for matters
for which replies have been provided by GM & PIO posted under their change.
g. Where a GM reports directly to Member, GMs are designated as Appellate
Authority and consequently the DGMs/Managers reporting to these GMs will act
as CPIO.
405
h. Shri H.K Goswami Assistant Manager (Admn) is designated as Assistant Public

Information Officer (APIO) for Headquarters to receive the applications for
information and the appeals under RTI Act 2005 for forwarding the same forthwith
to the CPIO or the concerned Appellate Authority, as the case may be and as
provided under section 5(2) of RTI Act, 2005.
II. Disclosure of Information to the public
[See NHAI Circular NHAI/13011/Website/2015) dtd. 12.05.2015]
Section-4 of the Right to Information Act, 2005 sets out a practical regime of
transparency in the working of the public authorities by way of disclosures of as much
information to the public as possible, suo moto, so that the public may not have to resort
to Section-6.
2. Instructions had been issued in the past for creation and operation of the project
specific websites. However In view of large number of projects, it is very difficult for
general public to sift out topical information which would be of interest to them. Hence it
is desirable to place such information on topical developments, decisions, orders, etc.,
which affect the general public. As the public have the right to know about the source
/basis of the actions of the public authority like NHAI, disclosure of such information is
essential.
3. A specific icon may be placed on NHAI website with the caption “Topical
developments in projects of NHAI having public importance”. CGM (Tech.) at HQ and
CGM/RO may identify on the basis of various developments in implementation of the
projects and propose the material (notes, letters, orders, etc.) for hosting on the website
of NHAI. Developments likes change in alignment, change in scope, disputes raised by
the concessionaire, court’s intervention, etc. which impact the general public should be
invariably put on the website. It may be noted that such identification of developments
shall not be restrictive, rather it shall be liberal. Efforts should be to make available as
much information as possible. To keep the site topical and current, old information should
be periodically deleted.
406
4. IT Division may ensure opening of the icon with this caption on NHAI website. PMD
Division at NHAI, HQ will maintain this data. CGM or RO may mail the material at email
id deepaksaxena@nhai.org for hosting the information on NHAI website.
5. The above instructions shall be implemented forthwith and the first set of
information shall be hosted within a week from the date of this O.M.
III. Government / Court Instructions.
[See NHAI Circular NHAI/11041/08/2010-HR.l) dtd. 22.01.2014]
A copy of the OM No.1/31/2013-IR dated 8.1.2013 issued by Ministry of

Personnel, Public Grievance and Pensions, Department of Personnel & Training
enclosing directions of Hon’ble High Court of Kerala dated 20.11.2013 Writ Petition
No.33290 of 2013 is placed as Annexure for information and compliance.
Salient features of the said Order is given as under:
a. An applicant making request for information shall not be required to give any
reason for requesting the information or any other personal details except those
that may be necessary for contacting him. Hence, the Authority should not insist
upon his detailed whereabouts particularly when post box number is provided for
that would establish contact with him and the authority.
b. In case, the authority would find any difficulty with the post box number, they may
insist upon personal details. However, in such case, it would be the solemn duty
of the authority to hide such information and particularly from their website so that
people at large would not know of the details.
*******
407
Section: 1.13. Standard Formats

Sub section Subject
I a. Payment of Transport Subsidy (पररवहन इमदाद का

भुर्तान)
b. Reimbursement of cost of Newspaper/Magazines
(समाचार पत्र / पधत्रकाओं के व्यर् की प्रधतपूधता )
c. Reimbursement of expenditure of Refreshments
(जलपान पर धकए र्ए व्यर् की प्रधतपूधता )
II Application for Casual Leave/Restricted Leave. Earned

Leave/Commuted Leave/Half Pay leave/Special
Leave/Leaving of Headquarters during the period of
Leave.
आकक्तिक/प्रधतबंधित/अधजात/परवधतात/अिावेतन/धवशेषअवकाश
/ अवकाश की अवधि के दौरान मुख्यालर् छोड़ने हे तु आवेदन)
III Children’s Educational Allowance
IV Health Check-up
V धवषर्: र्ाड़ी के धलए माूँ र् पत्र (Requisition for Vehicle)
VI Request for cancellation of Self/ Authority lease
agreement
VII {भाराराप्रा (मकान धकरार्ा भत्ता और पट्टा आवास) धवधनर्म, 1997
दे क्तिए} (House Rent Allowance & Leased
Accommodation)Regulation, 1997}
VIII Checklist (to be submitted along with every lease
proposal for hiring residential accommodation on
Authority/self-lease)
408
Sub section Subject
IX ब्रीफकेस की िरीद के धलए प्रधतपूधता (Reimbursement for

purchase of briefcase)
X Application for reimbursement of medical expenses
(hospitalisation)
XI Application for Reimbursement of Actual Medical
Expenses {NHAI (Medical Attendance and Treatment)
Regulations, 1997}
XII Application for Reimbursement of cost/ retention of
Laptop admissible as per Office Order No.
11041/230/2007-Admn. dtd. 26.03.2010 & partial
modification as per Office Order No. 11013/101/2011/IT
dtd. 21.10.2011.
XIII Reimbursement of Telephone/Mobile टे लीफोन/मोबाइल
की प्रधतपूधता
XIV Form of Annual Performance Appraisal Report for finance
Personnel on Contract Basis
XV Form of annual Performance Appraisal Report for finance
Personnel working on Regular and Deputation basis
XVI Form of Annual Performance Appraisal Report for Staff
XVII Form of Annual Performance Appraisal Report for Officers and

Employers of Secretarial Cadre
XVIII Form of annual Performance Appraisal Report for General
Manager and below level Officers in Technical Cadre
XIX Form of Annual Performance Appraisal Report for General
Manager and Below level Officers
XX Form of Annual Performance Appraisal Report for Members
and Chief General Managers in Technical Cadre
XXI Form of Annual Performance Appraisal report for Members And
Chief General Managers
XXII Statement of Immovable Property for the year 2015 (As
on 01.01.2016)
409
Sub section Subject
XXIII Application for Membership of Death Benevolent Scheme

of NHAI.
XXIV Issue of Parking Sticker for Car/Scooter/Motor Cycle.
XXV Photo ID DATA Format
XXVI Leave Travel Concession Bill for the block year {(see rule
66(1)&90(1)}
XXVII Application for LTC Advance
XXVIII Leave travel concession bill for the block year
XXIX स्थानातरण के धलए र्ात्रा भत्ता धबल Travelling Allowance Bill For
Transfer
XXX Leave Travel Concession Bill for the block year {(see rule
66(1)&90(1)}
XXXI Travelling Allowance Bill – for Tour
XXXII Proposed Tour Programme
XXXIII Format of certificate for handling/taking over charge by
technical officers
XXXIV Handing-taking over of charge by GMs/DGMs/Managers
who are holding the charge of Project Directors
XXXV Quarterly Performance Appraisal Report : FORM (Admn.-
CADRE) For GM & below level Officers Only
XXXVI Quarterly Performance Appraisal Report : FORM
(Finance-CADRE GM & below level Officers only
XXXVII Quarterly Performance Appraisal Report : FORM (IT-
CADRE) For GM & below level Officers only
XXXVIII Quarterly Performance Appraisal Report : FORM (Legal-
CADRE) GM & below level Officers only
XXXIX Quarterly Performance Appraisal Report : FORM (TECH.-
CADRE) For GM & below level Officers only
410
Section-I
बैं क का नाम …………
Bank Name _____________
खाता संख्या्‍ ………
Account No. ______________
भारतीर् रािरीर् राजमार्ा प्रादिकरण

कॉपोरे ट कार्ाािर्/ Corporate Office
1. पररव न इमदाद का भुर्तान

Payment of Transport Subsidy
प्रमाधणत धकर्ा जाता है धक मैंने ................... मा के दौरान अपने धनवास स्थान से कार्ाा लर् आने
जाने के धलए वाहन प्रभार पर वािव में रु० ................/- (......................... रूपर्े ) िचा धकए हैं
। दे र् राधश की प्रधतपूधता मुझे कर दी जाए ।
Certified that I have actually incurred a sum of Rs. ________________

(Rupees_____________) on conveyance from residence to office and back during
the month of ______________________. I further certify that my residence /
leased accommodation is not located within one km. from the place of work. The
admissible amount may be reimbursed to me.
2. समाचार पत्र / पदत्रकाओं के व्यर् की प्रदतपू दता

Reimbursement of cost of Newspapers/Magazines:
प्रमाधणत धकर्ा जाता है धक मैं ने ................... माह के दौरान अपने धनवास स्थान पर ख़रीदे र्ए समाचार
पत्र व् पधत्रकाओं पर वािव में रु० ................/- (......................... रूपर्े) की राधश िचा की हैं । दे र्
राधश की प्रधतपूधता मु झे कर दी जाए ।
Certified that I have actually incurred a sum of Rs. __________ (Rupees

______________) towards the cost of newspapers & magazines subscribed at my
residence during the month of ______________________. The admissible amount may
be reimbursed to me.
411
3. जिपान पर दकए र्ए व्यर् की प्रदतपूदता

Reimbursement of expenditure of Refreshments:
प्रमाधणत धकर्ा जाता है धक मैंने ................... माह के दौरान सरकारी अधतधथर्ों के जलपान पर
वािव में रु० ................/- (......................... रूपर्े) की राधश िचा की हैं । दे र् राधश की
प्रधतपूधता मुझे कर दी जाए ।
Certified that I have actually incurred a sum of Rs. _________ (Rupees________)

on serving refreshments to official guests during the month of _______________.
The admissible amount may be reimbursed me.
कुल िचा (1+2+3) रुपर्े ………………….

Total Expenditure (1+2+3) Rs.
दे र् राधश रुपर्े .......................

Total amount of claim as admissibility Rs.
हिाक्षर ………………………………
(Signature of the Employee)
नाम
Name ………………………………
पदनाम
Designation ………………………….
412
II. Application for Casual Leave/Restricted Leave
Application for Casual Leave/Restricted Leave.Earned Leave/Commuted Leave/Half Pay

leave/Special Leave/Leaving of Headquarters during the period of Leave.
Employee ID : ..……………………………………………………
Name :…..………………………………………………….
Designation :………………………………………………………
Pay Scale and Grade Pay :………………………………………………………
Type of Leave :………………………………………………………
No. of days leave applied :………………………………………………………
Duration of Leave & Date :………………………………………………………
Leave(s) availed in Calendar Year : CL : ………………… Days
EL : Days
…………………..
RH Days
:
…………………...
Any Other
Leave………………………………….Days
Purpose of Leave : ………………………………………………………
Whether there is any proposal to : Yes/No

avail LTC during the period of Leave?
If yes, give the details

: Block Year:
………………………………………………………..
413
For Home Town/All India Visit……………………
Leave encashment required :Yes/No
If Yes, no. of days leave encashment : …………………….days

taken till date
(Maximum 60 days permissible in entire service)
Whether permission is required for

leaving the Headquarters during the
period if keave? If, Yes, mention the : Place of Visit:
period with date ……………………………………………………….
Address during the Leave : ………………………………………………………
………………………………………………………
Telephone /Mobile No. : ……………………………………………………
Date Signature of the Applicant:

………………………………………..
Recommended / Not Recommended
Date : Signature of the Officer Incharge

…………………………………
Sanctioned / Not Sanctioned
Date : Signature of Controlling Officer

…………………………………..
414

आकस्ति क/प्रदतबं दित/अदजा त /परवदता त /अिा वे त न/दवशे ष अवकाश/अवकाश की अवदि के दौरान
मु ख्यािर् छोड़ने े तु आवे द न
कमा चारी आइडी संख्या : ……………………………………….…………………………………
…………………………………………………..….…
नाम : ….……………….…………………………………….………………
……………………………………………………………
पदनाम : …………………………………………………………………………
……………………………………………………………
वेतनमान और ग्रेड वेतन : …………………………………………………………………………

……………………………………………………………
अवकाश का स्वरूप : …………………………………………………………………………

……………………………………………………………
धकतने धदनों के अवकाश के धलए : …………………………………………………………………………

आवेदन धकर्ा है ……………………………………………………………
अवकाश की अवधि और तारीि : …………………………………………………………………………

……………………………………………………………
कैलें डर वषा में धलर्ा र्र्ा अवकाश : आकक्तिक अवकाश ……………………

….. धदन
अधजा त अवकाश
..................... धदन
प्रधतबंधित अवकाश
..................... धदन
अन्य कोई अवकाश
..................... धदन
अवकाश का प्रर्ोजन : …………………………………………………………………………

…………………………………………………………………
415
क्या अवकाश की अवधि के दौरान : हाूँ /नहीं

छु ट्टी र्ात्रा ररर्ार्त लेने का प्रिाव
: ब्लॉक वषा
है ? र्धद हाूँ तो सूचना दें
: .............................................................................................
र्ृह नर्र/अक्तिल भारतीर् र्ात्रा हे तु
...........................................................
क्या छु ट्टी का नर्दीकरण चाधहए? : हाूँ /नहीं
र्धद हाूँ तो, आज तक धकतने धदनों के : ......... धदन (पूरी सेवा में अधिकतम 60 धदन अनु मेर् है )
अवकाश का नर्दीकरण धलर्ा र्र्ा
है । क्या अवकाश की अवधि के दौरान
मु ख्यालर् छोड़ने की अनु मधत की

अवशर्कता है ? र्धद हाूँ , तो अवधिव :
धदनाूँ क का उिे ि करें .......................................................................................................
र्ात्रा का स्थान
.....................................................................................
अवकाश के दौरान पता : .....................................................................................................

.......................................................................................................
.......................................................................................................
टे लीफ़ोन/मोबाइल नं बर : ......................................................................................................
तारीि : आवेदक का
हिाक्षर:...............................................................................
संिुत धकर्ा र्र्ा / संिुत नहीं धकर्ा र्र्ा
तारीि प्रभारी अधिकारी के हिक्षार
स्वीकृत / अस्वीकृत
तारीि धनर्ंत्रक अधिकारी के हिाक्षर

416
III. Children’s Educational Allowance

CHILDREN’S EDUCATIONAL ALLOWANCE
1. Certified that the Child/Children mentioned below in respect of whom re-imbursement of

Children’s Educational Allowance is claimed is/are wholly dependent upon me. :-
Name of the School / College in Class Total Total amount of
Child & Date of which studying, in Education reimbursement
Birth which allowance claimed
studyin paid
g & A/Y
(1) (2) (3) (4) (5)
#Tuition Fees – for the whole year Rs.

Purchase of books (one set/per child/per A/Y Rs.
Purchase of Note books (one set/per child/per A/Y Rs.
Purchase of Uniform (one set/per child/per A/Y Rs.
Purchase of School Shoes (one set/per child/per A/Y Rs.
Total to be filled in column 4 above Rs.
#Tuition Fees – for the whole year Rs.

Purchase of books (one set/per child/per A/Y Rs.
Purchase of Note books (one set/per child/per A/Y Rs.
Purchase of Uniform (one set/per child/per A/Y Rs.
Purchase of School Shoes (one set/per child/per A/Y Rs.
Total to be filled in column 4 above

417
2. Certified that Education Allowance indicated against the child / children has actually been
paid by me (Receipts enclosed)
(Note :- Copy of School fee card & Bank challans/Paid up Receipts/purchase receipts in original
are to be enclosed)
3. Certified that :-
(a) My Spouse is/is not a Central Govt. Servant.
(b) My Spouse is a Central Govt. servant and that she/he has not claimed /will not
claim children’s educational allowance in respect of our-child/children.
4. Certified that during the period covered by the claim, the child/children attended the school
regularly and did not absent himself/herself/themselves from the school without proper
leave for a period of exceeding one month.
5. In the event of any change in the particulars given above which affected my eligibility for
Children’s Educational Allowance. I undertake to intimate the same promptly and also to
refund excess payment in any made.
(Note : # Tuition Fee means Tuition fee, Admission fee, lab fee, special fee charged for agriculture,
electronics, music or any other subject, fee charged for practical work under the programme of
work experience, fee paid for the use of any aid or appliance by the child, library fee, games/sports
fee and fee for extra curricular activities)
(Signature of Govt. Servant)

Name in block letters
Designation and office
Encl:
Place & Date :

418
IV. Health Check-Up
Name :
________________________________________________________
(Deputation/Regular/Contract)
Designation : _____________________________________________________
Date of Joining : ________________________________________________________
Place of Posting :
________________________________________________________
Date of Birth :
________________________________________________________
Age :
________________________________________________________
Date on which :
earlier
________________________________________________________
Health Check-up
availed
Hospital : 1. Max – All 8 branches

2. Indraprastha Apollo Hospital
3. Escorts Hospital
4. Batra Hospital
(Signature of Employee)
Date ……….……….
419
V. Requisition for Vehicle
भारतीर् रिरीर् राजमार्ा प्रादिकरण

NationalHighwaysAuthorityofIndia
दवषर्: र्ाड़ी के दिए मााँ र् पत्र (RequisitionforVehicle)
नाम (Name) :
...............................................................................
.
पदनाम (Designation) :
...............................................................................
.
तारीि धजस धदन र्ाड़ी की आवशकता है
(Dateonwhichvehiclerequired) :
...............................................................................
.
समर् एवं स्थान जहाूँ पर र्ाड़ी को ररपोटा करना है
(Time&placewherevehicletobereported :
) ...............................................................................
.
जहाूँ जाने के धलए र्ाड़ी चाधहए उस स्थान का

उिे ि करें
:
(Placetobecovered) ...............................................................................
.
र्ाड़ी का प्रर्ोजन (Purpose)
:
...............................................................................
.
420
वापस लौटने का अनु माधनत समर्
(Expectedtimeofreturn) :
...............................................................................
.
(हिाक्षर/Signature)
धदनाूँ क (Date)………………………
समर्(Time)……………………….
धनर्ंत्रक अधिकारी/महाप्रबंिक/(Controlling Officer/GM)
उप महाप्रबंिक (प्राशासन)-II/(DGM (Admn)-II
महाप्रबंिक (प्रशासन)/GM (Admn)
धटप्पणी: अधिकाररर्ों/कमा चाररर्ों से अनु रोि है धक वे अपना नाम व पदनाम ड्यूधट पची/लॉर् बूक में धलि दें !
Note: The Officers/staff are requested

towritetheirname&designationinthedutyslip/logbook।
421
VI. Request for Cancellation of Self / Authority Lease Agreement

Subject: Request for cancellation of Self / Authority lease agreement –reg.
On my request, the Lease Agreement was executed with the owner of

Flat/H.No…………………………………………………………………………………………….. for
my residential use as Self / Authority lease facility for the period from ………….. to ……………
vide NHAI Office Order No…………………………….. dated …………. (copy enclosed).
2. Now, I request to cancel the said lease agreement w.e.f. …………….. for the reasons that
………………………………………………………………………………………………………………
…………………………………………………. The matter has been discussed with the house
owner and he / she has agreed for the premature termination of lease agreement. The NOC of
House Owner for premature termination of said lease agreement is enclosed.
3. I also undertake that if any financial implications arise due to premature termination of
lease agreement, the same shall be borne by me.
4. On premature termination of said lease agreement I will avail HRA / Self / Authority Lease
facility for Flat / H.No…………………………………………………………… The requisite
documents for the new lease accommodation are enclosed / shall be submitted separately.
Signature……………..………
Name……………………..…..
Designation…………….…….
Date………………..…………
Mob./Extn. No…….....………
To,
DGM(Admin)
422
VII. House Rent Allowance & Leased Accommodation) Regulation, 1997

NationalHighwaysAuthorityofIndia
(दनर्दमत कार्ाा ि र्)
(CorporateOffice)
{भाराराप्रा (मकान दकरार्ा भत्ता और पट्टा आवास) दवदनर्म, 1997 दे स्तख ए}

{see NHAI (House Rent Allowance & Leased Accommodation) Regulation, 1997}
मै प्रमाधणत करता हूँ धक मैं ने भाराराप्रा (मकान धकरार्ा भत्ता और पट्टा आवास) धवधनर्म,1997 के अंतर्ात धकराए पर
धलए र्ए आवास की छोटी-मोटी मरमत पर......................../- रुपर्े
(................................................................................... रुपर्े) व्यर् धकए हैं ! दावा का बौरा धनम्न प्रकार है :-
IcertifythatIhaveincurredanexpenditureofRs. ................................../- (Rs.

........................................) onpettyrepairsontheaccommodationhiredundertheNHAI
(HouseRentAllowance&LeasedAccommodation)Regulation, 1997.
Thedetailsoftheclaimareasunder:-
1. दावे की अवधि : ...................................................................................................................

Periodofclaim
2. धजस माह में दावा धकर्ा र्र्ा: ..................................................................................................
MonthofClaim
3. नाम और पदनाम : ...............................................................................................................
Name&Designation
4. पट्टे का स्वरूप : ..................................................................................................................
TypeofLease
5. वतामान पट्टा अवधि: ............................................. से ..............................................................
PresentLeasePeriod
6. र्त मास में पट्टे की दर (अथाा त अप्रैल-धसतम्बर के धलए धसतम्बर महीने में और अिू बर-माचा के धलए माचा
के महीने में : .................................................रुपर्े
Rateofleaseinlast month (i.e.inSeptemberforApril-SeptemberandinMarchforOctober-
March)Rs. : ......................................
7. व्यर् की र्ई राधश : ..................................... रुपर्े
423
AmountofExpenditureRs. .................................... रुपर्े

8. दावे को सीधमत धकर्ा र्र्ा: ............................................रुपर्े
Claimrestrictedto : Rs…………………………..
कृपर्ा मु झे धनर्मों के अनु सार प्रधतपूधता की जार्।
Reimbursementasperrulesmaypleasebemadetome.
धदनाूँ क/Date :...............................

(अधिकारी के हिाक्षर)
(SignatureoftheOfficer)
नाम/Name :........................................................................
पदनाम/Designation :..........................................................
बैंक का नाम/BankName :.................................................
िाता संख्या/AccountNo. :...................................

424
VIII. Check List
(to be submitted along with every lease proposal for hiring residential accommodation on
Authority/self lease
1 Name of Applicant
2 Designation
3 Nature of existing Lease Authority/Self Authority/Self
4 Period of existing Lease
5 Nature of proposed lease Authority/Self Authority/Self
6 Period of proposed lease
7 Date of purchase of Stamp lease
8 Declaration regarding spouse is not provided within government Yes/No

accommodation is attached
9 Willingness of land lord (in case of Authority Lease) Yes/No
10 Lease Agreement duly signed by the House Owner Yes/No
11 Proof of House Ownership as mentioned in Lease Application Yes/No
12 House Owner PAN card copy, if applicable Yes/No
13 Details of bank account like – account no., IFSC Code, Bank name Yes/No
and Branch for transfer of lease rent given
14 Copy of existing lease, if any Yes/No
15 In case of foreclosure of existing lease NOC from landlord/one Yes/No

month notice given to landlord
16 Whether Lease Application has been signed by the Officer/Staff Yes/No
17 Date of receipt in Admn. Division
Signature of Applicant
425
ANNEX.-‘B’

Aapplication for Authority - Lease Accommodation
1. Name ______________________________________ Designation______________

a) Regular b) Deputation c) Long Term Contract
Present Tenure upto (deputation/contract) _____________________________
2. Date of joining NHAI _________________ Place of Working/Division___________

3. Pay (Pay Band) _____________________________ and Grade Pay ___________
4. Lease rent entitlement of the applicant: Rs.____________________ per month
5. Detail of Existing Lease and proposed Lease:
Particulars Present Lease, If any Proposal Lease applied for
Self/Authority
Address of premises
taken / proposed to
be taken on lease
Name and Address
of property owner
Rent approved /
proposed per month Rs.____________________ Rs.___________________
(within in entitlement)
(in Rs.)
Period of Lease From ______ to _________ From _______ to _______
6. (i) Relationship with the owner, if applicable ____________________________

(ii) Whether dependent on the applicant:________________________________
(iii) If dependent, Income of dependent from all sources: Rs. _____________
7. The landlord is agreeable to the NHAI’s standard terms and Condiitions of lease
agreement. The Lease Agreement duly signed by him is submitted duly witnessed by
me. The undertaking/willingness of the house owner is also enclosed.
8. I hereby undertake that:-
(i) I have arranged and occupied the accommodation as proposed in column at sl.
No. 05 above for my own residential use, on lease through NHAI. The rent being
charged by the houe owner for this accommodation @ Rs……………………….
426
Per month is reasonable as per prevailing market rates of the area and is within
my entitlement.
(ii) I am not claiming/availing extra of this lease arrangement.
(iii) The full amount of electric and water charges for the lease accommodation will
be borne by me and paid to the concerned authorities.
(iv) I will inform NHAI in advance for vacation of the leased premises on leaving the
services of NHAI and / or on my transfer outside Delhi.
9. It is certified that:-
(i) My spouse is not working in nay Govt. organization/PSU/Autonomous body/local
body etc; or
(ii) My spouse Mr./Mrs
…………………………………………………………………………….. is working as
………………………… in …………………………………… which is a Government
organization/PSU/autonomous body/local body etc. He/she has not been allotted
any Government Accommodation either by the Directorate of Estates or by
his/her employer.
10. The ownership of the accommodation is in the name of Mr./Mrs/Ms…………………
….............................................................................. and I am enclosing tru photocopies
of either of the following as proof of owner-ship. The PAN No. of Lessor (House Owner)
is …………………………………………………………….
a) Title Deed
b) Power of Attorney
c) Possesion Letter / Slip
d) Latest Paid House Tax Receipt
e) Latest Water Bill Receipt issued by Delhi Jal Board or concerned Govt. Authorities
f) Letter issued by President/Secretary of the society certifying ownership (in case of
flat of Group Housing Society).
11. I do hereby declare that the information given above is true to the best of my knowedge
and I have not concealed or withheld anything in this respect and in case the above facts
are found incorrect at any time, I shall be held responsible for the same including any
financial recoveries.
Signature……………………………………..…….
Name ……………………………………………….
Designation ………………………………….…….
Division ……………………………………..……..
Date …………………………………………..…….
427
To:
Dy. General Manager (Admn.)

428
Willingness/ undertaking from house owner
1. I am the owner of H.No./Flat No.

……………………………………………………………………………………………………
2. I am willing to lease my above mentioned accommodation for residential purpose of
Sh./Smt,……………………………………………………………………………………………
…………………………………….
Through NHAI for a period of ………………………………………..…….

Years………………………………months w.e.f……………………………………………..
3. Monthly rent is Rs……………………………………………………. Which may be paid by

NHAI as per lease agreement enclosed.
4. My PAN number (mandatory, if rent is more than Rs. 10,000/- per month) is
……………………………………………………………………………………………
Signature………………………………………..
Name…………………………………………....
Address…………………………………………
………………………………………………….
New Delhi
Date:
429
ANNEX-‘A’

Application for Self-Lease Accommodation
1. a) Name ____________________________Designation _________________________

a) Regular
Present Tenure upto_____________________
b) Deputation
c) Long Term Contract
2. Date of joining __________________ Place of Working/Division ___________________
3. Pay (Pay Bank) ________________________ and Grade pay __________________
4. Rent Entitlement of the applicant: Rs.______________________ per month

For availing lease facility
5. Details of premises for which self lease is proposed:
______________________________________________________________________
______________________________________________________________________
6. I hereby undertake that :-

(i) I have arranged and occupied the accommodation as proposed in column at sl No.
05 above for my own residential use, on self lease. The rent being charged as self
lease for this accommodation @ Rs…………………… per month is reasonable as
per prevailing market rates of the area and is within my entitlement.
(ii) I am not claiming/ aviling anything extra for this lease arrangement.
(iii) The full amount of electric and water charges for this lease accommodation will
be borne by me and paid to the concerned authorities.
7. It is certified that:-
(i) My spouse is not working in any Govt. organization, PSU, Autonomous local
bodies etc.
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(ii) My spouse Mr. Ms…………………………………………………… is working as

……………………………………………………………….. in ………..……………..
…………………………………………………………………. Which is a Govt.
organization/PSU/Autonomous body / local body etc. and has also not been
allotted any Govt. Accommodation either by the Directorate of Estate or by his /
her office.
8. The ownership of the accommodation is in my name or is the name of my spouse Mr./Mrs
…………………………………………………………… and I am enclosing true photocopies
of either of following as proof of ownership. The PAN No. of the Lessor (House Owner) is
………………………………………………
a) Title Deed
b) Power of Attorney
c) Possession Letter/Slip
d) Latest paid House Tax Receipt
e) Latest Water Bill Receipt issued by Delhi Jal Board or concerned Govt.
Authorities
f) Letter issued by President/Secretary of the society certifying ownership (in case
of flat of Group Housing Society)
9. I do hereby declare that the information given above is true to the best of my knowledge
and I have not concealed or withheld anything in this respect and in case the above facts
are found incorrect at any time, I shall be held responsible for the same including any
financial recoveries.
Signature ……………………………
Name ………………………………...
Designation ………………...………
Division ……………………………...
Date ………………………………….
To:

431
SELF-LEASE AGREEMENT
This Lease Deed made in Delhi on _________ between Mr.________________ an officer

of the NHAI and owner of Flat/House _____________________, hereinafter called the Lessor
(which expression shall include his heirs, successors and assigns) on the ONE PART and the
National Highways Authority of India (NHAI), G-5 & 6, Sector-10, Dwarka, New Delhi – 110075,
a Statutory Body, constituted under Section 3 of the National Highways Authority of India Act,
1988 (68 of 1988), through its Deputy General Manager (Admn.) hereinafter called the Lessee
(which expression shall include its successors and assigns) on the OTHER PART.
WHEREAS the Lessor is the sole owner of the aforesaid Flat/House and has agreed to
enter into self-lease agreement with the NHAI for residential use by Mr./Ms.______, Post ______.
NOW THIS SELF LEASE AGREEMENT WITNESSETH AS UNDER
That the Lessor hereby leases to the Lessee the aforesaid Flat/House No. __________
____________ consisting of one drawing room, two bed rooms, one kitchen, one Bath room, one
latrine and one court yard (modify as applicable) purely for his residential use together with all
built-in fittings and fixtures under the following terms and conditions.
(a) That during the subsistence of the agreement the Lessor shall keep the Flat/House free
from all encumbrances and pay all municipal taxes, ground rent, electricity and water
charges and all other taxes or levies payable on the Flat/House.
(b) That the Lessor shall not make any structural additions or alterations without the written
permission of the Lessee.
(c) That the Lessor shall not sublet the premises in whole or any part thereof without the
written permission of the Lessee.
(d) That the Lessor shall allow the Lessee or his authorised agent to enter the said premises
at reasonable hours and after reasonable notice and when necessary for inspection.
2. That the lease is for a period of two years only commencing with effect from ______.
3. That this agreement will automatically terminate if the Lessor severs relations with the
Lessee for whatsoever reasons or if he is transferred out of Delhi.
IN WITNESS WHEREOF the parties have set and subscribed their hand in presence of the
witnesses mentioned herein below.
432
LESSOR LESSEE
NHAI
WITNESSES:
1………………………..
2………………………..
433
IX. Reimbursement for Purchase of Briefcase
प्रशासन प्रभार्
ADMINISTRATION DIVISION
ब्रीफके स की खरीद के दिए प्रदतपू दता
REIMBURSEMENT FOR PURCHASE OF BRIEFCASE
नाम
Name :
पदनाम
Designation :
कार्ाभार ग्रहण की तारीि
Date of Joining :
क्या पहले कोई ब्रीफकेस िरीदा है
Whether any briefcase
Purchased earlier : Yes/No
र्धद हाूँ तो, िरीद की तारीि
If yes, date of purchase of briefcase :
हिाक्षर/Signature
तारीि/Dated:
434
संलग्न/Encl : मू ल धबल/Original Bill
X. Application for Reimbursement of Medical Expenses (Hospitalisation)
Annexure ‘A’
APPLICATION FOR REIMBURSEMENT OF MEDICAL EXPENSES (HOSPITALISATION)

(To be filled by the Employees working on regular/deputation/long term contract -two
years & above)
1. Name & Designation of the Employee :
2. Date of Joining :
3. Name of the Patient and relationship :
with the Employee
4. Name of the disease of the patient :
5. Name of the approved Hospital :
6. Expenditure being claimed :
(documents to be enclosed)
(i) I certify that the statement in this application are true to the best of my knowledge and
belief and that the persons for whom medical expenses have been incurred are wholly
dependent on me.
(ii) I certify that (i) i am not a CGHS beneficiary, (ii) my husband/wife is not availing CGHS
benefit/medical benefit for himself/herself or for any dependent member of the family, (iii)
my husband/wife is/is not an employee of the Central Govt./State Govt./Public Sector
Undertaking/ Autonomous Body/Institution etc., which are wholly/partly owned/controlled/
435
funded by Central/State Governments and is/is not claiming any medical benefits under
the relevant rules applicable to them for himself/herself or any dependent member of the
family.
(iii) I Certify that my father/mother is residing & dependent on me and is not availing CGHS
benefits/Medical Benefits for himself/herself or for any member of the family. It is also
certified that my father/mother is not getting any pension benefits.
(iv) I also certify that the claim does not include expenditure towards vitamins (unless certified
as essential by a registered medical practitioner), tonics, baby food, milk food, beverages,
spectacles, dentures, crown work, bridge work, orthodontic work and other special dental
work.
[Signature of the Employee]
Date:
UNDERTAKING
This is to certify that the expenditure for Rs._________________

(Rs.________________________________ only) claimed by me for myself / my dependent
family members towards medical expenses has not /will not be claimed by me / my family
members under any Medi-Claim Policy or from any other source.
Signature :
Name :
Designation :
Date :
436
XI. Application for Reimbursement of Actual Medical Expenses
£ÉÉ®iÉÉÒªÉ ®É-]ÅÉÒªÉ ®ÉVÉàÉÉMÉÇ |ÉÉÉÊvÉBÉE®hÉ
´ÉÉºiÉÉÊ´ÉBÉE ÉÊSÉÉÊBÉEiºÉÉ BªÉªÉÉå BÉEÉÒ |ÉÉÊiÉ{ÉÚÉÌiÉ BÉEä ÉÊãÉA +ÉÉ´ÉänxÉ£ÉÉ®É®É|ÉÉ (ÉÊSÉÉÊBÉEiºÉÉ {ÉÉÊ®SÉªÉÉÇ A´ÉÆ ={ÉSÉÉ®) ÉÊ´ÉÉÊxÉªÉàÉ,1997
APPLICATION FOR REIMBURSEMENT OF ACTUAL MEDICAL EXPENSES

[NHAI (Medical Attendance & Treatment) Regulation, 1997]
1 BÉEàÉÇSÉÉ®ÉÒ BÉEÉ xÉÉàÉ A´ÉÆ {ÉnxÉÉàÉ
Name & Designation of the : .................................

Employee
2 ´ÉiÉÇàÉÉxÉ ´ÉäiÉxÉ
Present Pay : °ô{ÉªÉä/Rs.. . . . . . . . . . . . . . . . . . . . . . . . .. . .
3 ®ÉäMÉÉÒ BÉEÉ xÉÉàÉ +ÉÉè® BÉEàÉÇSÉÉ®ÉÒ ºÉä ºÉÆ¤ÉÆvÉ
NAME OF THE PATIENT AND : .................................

RELATIONSHIP
With the employee
4 ´ÉiÉÇàÉÉxÉ nÉ´Éä BÉEÉÒ +É´ÉÉÊvÉ ºÉä iÉBÉE
Period of present claim : From . . . . . . . . . .To . . . . . . . . . . . . . . . . .
5 BªÉªÉ ÉÊVÉºÉBÉEÉ nÉ´ÉÉ ÉÊBÉEªÉÉ MÉªÉÉ cé
Expenditure being claimed : °ô{ÉªÉä /Rs . . . . . . . . . . . . . . . . . . . . . . .. . . .
6 ´É-ÉÇ . . .. . . .. .BÉEä nÉè®ÉxÉ +É¤É iÉBÉE |ÉÉÊiÉ{ÉÚÉÌiÉ BÉEÉÒ

MÉ<Ç ®ÉÉÊ¶É/ Amount reimbursed during
: °ô{ÉªÉä /Rs . . . . . . . . . . . . . . . . . . . . . . .. . . .
theyear. . . . . . . . . . . . . .so far
437
7BÉE àÉé |ÉàÉÉÉÊhÉiÉ BÉE®iÉÉ cÚÆ ÉÊBÉE <ºÉ +ÉÉ´ÉnäxÉ àÉå nÉÒ MÉ<Ç VÉÉxÉBÉEÉ®ÉÒ àÉä®ÉÒ ºÉÚSÉxÉÉ +ÉÉè® ÉÊ´É¶´ÉÉºÉ BÉEä +ÉxÉÖºÉÉ® ºÉcÉÒ cè iÉlÉÉ ÉÊVÉºÉ BªÉÉÎBÉDiÉ/BªÉÉÎBÉDiÉªÉÉå
BÉEä ÉÊãÉA ÉÊSÉÉÊBÉEiºÉÉ BªÉªÉ ÉÊBÉEªÉÉ MÉªÉÉ cè ´Éc/´Éä {ÉÚhÉÇ °ô{ÉähÉ àÉÖZÉ {É® +ÉÉÉÊgÉiÉ cé *
I certify that the statements in this application are true to the best of my knowledge and
belief and that the persons for whom medical expenses have been incurred are wholly
dependent on me.
7JÉ àÉé |ÉàÉÉÉÊhÉiÉ BÉE®iÉÉ cÚÆ ÉÊBÉE (i) àÉè BÉEäxpÉÒªÉ ºÉ®BÉEÉ® º´ÉÉºlªÉ ªÉÉäVÉxÉÉ BÉEÉ ãÉÉ£ÉOÉÉcÉÒ xÉcÉÓ cÚÄ * (ii) àÉä®ä {ÉÉÊiÉ/àÉä®ÉÒ {ÉixÉÉÒ º´ÉªÉÆ BÉEä ÉÊãÉA
+ÉlÉ´ÉÉ {ÉÉÊ®´ÉÉ® BÉEä ÉÊBÉEºÉÉÒ +ÉÉÉÊgÉiÉ ºÉnºªÉ BÉEä ÉÊãÉA BÉEäxpÉÒªÉ º´ÉÉºlªÉ ªÉÉäVÉxÉÉ BÉEÉ ãÉÉ£É |ÉÉ{iÉ xÉcÉÓ BÉE® ®cä cé/BÉE® ®cÉÒ cè, (iii) àÉä®ä
{ÉÉÊiÉ/àÉä®ÉÒ {ÉixÉÉÒ BÉEäxpÉÒªÉ ºÉ®BÉEÉ®/®ÉVªÉ ºÉ®BÉEÉ®/ºÉÉ´ÉÇVÉÉÊxÉBÉE FÉäjÉ BÉEä ={ÉµÉEàÉ/º´ÉÉªÉkÉ ¶ÉÉºÉÉÒ ÉÊxÉBÉEÉªÉ/ºÉÆºlÉÉxÉ +ÉÉÉÊn BÉEä BÉEàÉÇSÉÉ®ÉÒ cé/xÉcÉÒ
cè VÉÉä {ÉÚhÉÇ °ô{É ºÉä/+ÉÉÆÉÊ¶ÉBÉE °ô{É ºÉä BÉEäxpÉÒªÉ/®ÉVªÉ ºÉ®BÉEÉ® BÉEä º´ÉÉÉÊàÉi´É/ÉÊxÉªÉÆjÉhÉ àÉå cé +ÉlÉ´ÉÉ =xÉBÉEä uÉ®É ÉÊ´ÉkÉ {ÉÉäÉÊ-ÉiÉ cè iÉlÉÉ =xÉ {É®
ãÉÉMÉÚ ÉÊxÉªÉàÉÉå BÉEä +ÉxÉÖºÉÉ® +É{ÉxÉä ÉÊãÉªÉä +ÉlÉ´ÉÉ {ÉÉÊ®´ÉÉ® BÉEä ÉÊBÉEºÉÉÒ +ÉÉÉÊgÉiÉ ºÉnºªÉ BÉEä ÉÊãÉA ÉÊSÉÉÊBÉEiºÉÉ ãÉÉ£É ãÉä/xÉcÉÓ ãÉä ®cä cé/cè *
I certify that (i) I am not a CGHS beneficiary, (ii) my husband/wife is not availing CGHS
benefit for himself/herself or for any dependent member of the family, (iii) my husband/wife
is not an employee of the Central Govt./State Govt./Public Sector
Undertaking/Autonomous Body/Institution etc., which are wholly/partly
owned/controlled/funded by Central/State Governments and is not claiming any medical
benefits under the relevant rules applicable to them for himself/herself or any dependent
member of the family.
7MÉ àÉé ªÉc £ÉÉÒ |ÉàÉÉÉÊhÉiÉ BÉE®iÉÉ cÚÆ ÉÊBÉE <ºÉ nÉ´Éä àÉå ÉÊ´É]ÉÉÊàÉxÉÉå {É® cÖ+ÉÉ JÉSÉÇ (VÉ¤É iÉBÉE {ÉÆVÉÉÒBÉEßiÉ ÉÊSÉÉÊBÉEiºÉÉ +ÉÉÊvÉBÉEÉ®ÉÒ uÉ®É |ÉàÉÉÉÊhÉiÉ xÉ
ÉÊBÉEªÉÉ MÉªÉÉ cÉä), ]ÉìÉÊxÉBÉE, ÉÊ¶É¶ÉÖ +ÉÉcÉ®, nÖMvÉ +ÉÉcÉ®, ¶É®¤ÉiÉ, SÉ¶àÉä, nÆÉiÊ ÉBÉEÉ, µÉEÉ=xÉ ÉÊµÉEªÉÉ, ÉÊ¥ÉVÉ ÉÊµÉEªÉÉ, +ÉÉlÉÉæbÉìÉÎx]BÉE ÉÊµÉEªÉÉ +ÉÉè®
nÉÄiÉ ºÉÆ¤ÉÆvÉÉÒ ÉÊ´É¶Éä-É ÉÊSÉÉÊBÉEiºÉÉÒªÉ ÉÊµÉEªÉÉ ¶ÉÉÉÊàÉãÉ xÉcÉÒ cè *
I also certify that the claim does not include expenditure towards vitamins (unless certified
as essential by a registered medical practitioner), tonics, baby food, milk food, beverages,
spectacles, dentures, crown work, orthodontic work and other special dental work.
(BÉEàÉÇSÉÉ®ÉÒ BÉEä cºiÉÉFÉ®)
iÉÉ®ÉÒJÉ .. . . . . . . . . [Signature of the Employee]

438
Annexure-B
Name of the Employee :
Designation :
Status :
(Regular/Deputation/Long Term Contract-Two years & above)
Sl. NO. Bill No. Date Amount (in Rs.)
Total
[Signature of the Employee]
Verified by
DDo, PIU/CMU
Project Director
439
UNDERTAKING
This is to certify that the expenditure for Rs._________________

(Rs.________________________________ only) claimed by me for myself / my dependent
family members towards medical expenses has not /will not be claimed by me / my family
members under any Medi-Claim Policy or from any other source.
Signature :
Name :
Designation :
Date :
440
XII. Application for Reimbursementof cost / retention of Laptop admissible as per Office
Order No.11041/230/2007-Admn. dated 26.03.2010 & partial modification as per Office
Order No. 11013/101/2011/IT dated 21.01.2011.
Name & Details of Laptop

Designation of
Officer Make & Product Code: Purchased Billed Claimed
Model: from amount amount
Details of old Laptop issued, if any.
Make & Model: Date of purchase: Product Code: Amount reimbursed:
o It is certified that I have joined NHAI on _______________. My Grade Pay is

Rs.____________/-. In case of retention of Laptop, it is certified that I have completed
more than one year of service in NHAI.
o It is certified that I have not claimed / issued any Laptop during last three years in NHAI.
o It is certified that the old Laptop issued / claimed has been written off with the approval of
Competent Authority (copy enclosed).
o A Cheque No.___________ dated ___________ for Rs.____________ i.e 5% cost of
original cost/depreciated book of old Laptop in favour of NHAI is enclosed.
o Necessary documents like an undertaking and certified photocopy of warranty card is
enclosed.
441
o It is requested that cost of Laptop as given in para-01 above may kindly be reimbursed to
the undersigned as per my admissibility/entitlement. The original bill duly countersigned
is enclosed.
Signature:_____________________
Name :_______________________
Designation:___________________
Date:_________________________
S/B Account No. with bank name:___________________
To
Asstt. Manager(Admin)
442
G-5&6, Sector-10, Dwarka, New Delhi
(Undertaking)
(As per requirement of para ‘a’ of Office Order No.11013/101/2011/IT, dated 21.01.2011 for
reimbursement of Laptop.)
This is to certify that I, ____________________________________ _____, designation

_______________________________, have purchased good quality branded Laptop inclusive
of warranty only from original equipment manufacturer or through its authorized dealer with pre-
loaded operating system software, word processing and other application software, anti-virus and
other peripherals.
Signature: ______________________
Name :_________________________
Designation:_____________________
Date:__________________________
443
Application for Reimbursementof cost / retention of mobile instrument admissible as per Office
Order No.11041/230/2007-Admn. dated 01.10.2010.
Name & Details of mobile instrument

Designation of
Officer Make & IMEI No.: Purchased Billed Claimed
Model: from amount amount
Details of old mobile issued, if any.
Make & Model: Date of purchase: IMEI No.: Amount reimbursed:
o It is certified that I have joined NHAI on _______________. My Grade Pay is

Rs.____________/-. In case of retention of mobile instrument, it is certified that I have
completed more than one year of service in NHAI.
o It is certified that I have not claimed / issued any mobile instrument during last three years
in NHAI.
o It is certified that the old mobile instrument issued / claimed has been written off with the
approval of Competent Authority (copy enclosed).
o A Cheque No.___________ dated ___________ for Rs.____________ i.e 5% cost of
original cost/depreciated book of old mobile instrument in favour of NHAI is enclosed.
o It is requested that cost of mobile instrument as given in para-01 above may kindly be
reimbursed to the undersigned as per my admissibility/entitlement. The original bill duly
countersigned is enclosed.
444
Signature:_____________________
Name :_______________________
Designation:___________________
Date:_________________________
S/B Account No. with bank name:___________________
To
Asstt. Manager(Admin)
445
G-5&6, Sector-10, Dwarka, New Delhi
(Undertaking)
(As per requirement of para ‘a’ of Office Order No.11013/101/2011/IT, dated 21.01.2011 for
reimbursement of Laptop.)
This is to certify that I, ___________________________________________________,

designation _______________________________, have purchased good quality branded
Laptop inclusive of warranty only from original equipment manufacturer or through its authorized
dealer with pre-loaded operating system software, word processing and other application
software, anti-virus and other peripherals.
Signature: ______________________
Name :_________________________
Designation:_____________________
Date:___________________________
446
दू रभाष/मोबाइि दबि की प्रदतपू दता

XIII.
Reimbursement of Telephone/Mobile
धदनां क/Dated...........................
नाम(Name):........................................................... पदनाम(Designation)..........................................
श्रे णी वेतन (Grade Pay):.................................धनर्ुक्ति की धतधथ (Joining Date):…………………….……
दू रभाष/मोबाइल/डाटाकाडा धबल चक्र/धबल संख्या एवं धदनां क धबल राधश धटप्पणी/

Phone/Mobile/Data Billing Cycle/Bill No.& Bill Bill Amount Remarks
card date (Rs.)
कुल िनराधश (रुपर्े) Total Amount (Rs.)
प्रमाधणत धकर्ा जाता है की मैं ने कार्ाा लर्ीन प्रर्ोजन के धलए दू रभाष/मोबाइल पर ________________ महीने
में ______________________________________रुपर्े िचा धकए हैं। चूंधक धबल मे रे माता-धपता/पधत-पत्नी
के नाम में जारी धकर्ा र्र्ा है,अत: र्ह भी प्रमाधणत धकर्ा जाता है धक अिोहिाक्षरी द्वारा धकए र्ए दावे की प्रधतपूधता
अन्य स्रोतो से नहीं की जाएर्ी। कृपर्ा ग्राहर् राधश की मुझे प्रधतपूधता की जार्। धबल (लों) की धवधिवत सत्याधपत
वािधवक/फोटोप्रधत(र्ाूँ ) संलग्न हैं ।
Certified that I have incurred a sum of Rs.___________(Rupees _____________________ _)

towards telephone/mobile used for official purpose for the month of ____________. As the bill
has been issues in favour of my parents/spouse, this is also to certify that claim made by the
447
undersigned will not be reimbursed from other sources. The admissible amount may be
reimbursed to me. Duly certified original/photocopy(s) of the bill(s) are enclosed.
हिाक्षर/Signature: ______________________ एक्स टें शन न./Extn. No.: _________________
बैंक नाम/Bank Name: ___________________, बैंक िाता स./Bank A/c No._______________
आईएफ़एससी कोड़/IFSC Code: ______________________
(प्रशासन प्रभार् कार्ा े तु)
श्री/श्रीमती/सुश्री___________________________ द्वारा कुल राधश रूपर्े ____________का

टे लीफ़ोन हे तु प्रधतपूधता को धवभार् प्रशासन धबल मोबाइल/प्रेधषत धकर्ा र्र्ा है । अतः परन्तु/, धनर्धमत अधिकतम
सीमा के कारण/संलग्न धबल की जाूँ च के उपरां त इन्हें कुल राधश रूपर्े ____________ का भु र्तान धकर्ा जा
सकता है ।
िेखाकार / Accountant
प्रशासन / Admn.
स ार्क प्रबंिक (प्रशासन) /Asstt. Manager (Admn.)
उप म ाप्रबंिक (प्रशासन) /DGM (Admn.)

448
ACKNOWLEDGEMENT FORM – I
(To be filled by the officer reported upon and forwarded to APAR Cell)
The ACR/APAR of the undersigned for the period _________________ after filling Part-I and Part-
II has been forwarded to Reporting Officer, Shri / Smt. / Km. ______________________ (name &
designation).
Signature : ________________________
Name : ________________________
Designation : ________________________
Date : ________________________
To,
Manager (Admn./HR)
Confidential Report Cell,
G-5 & 6, Sector-10, Dwarka,
New Delhi – 110075
ACKNOWLEDGEMENT FORM – II
(To be filled by the Reporting Officer and forwarded to APAR Cell & Officer reported upon)
The ACR/APAR of Shri / Smt. / Km. _______________________ (name & designation) for the
period ______________________ has been reported by the undersigned and forwarded to Reviewing
Officer, Shri / Smt. / Km. _____________________________ (name & designation).
Signature : ________________________
Name : ________________________
Designation : ________________________
Date : ________________________
449
To,
(i) Manager (Admn./HR)

(ii) Copy to the officer reported upon:
____________________________________
____________________________________
____________________________________
____________________________________
450
SUMMARY SHEET
Name of the Ratee Officer : __________________________________
Designation : __________________________________
Whether working on Regular/ : __________________________________

Deputation/ Contract basis
Period of APAR/ ACR : __________________________________
Reasons for gap, if any * : __________________________________
Name and designation of the : __________________________________

Reporting Officer **
Period for which worked under the : __________________________________

Reporting Officer

Reviewing Officer **

Reviewing Officer
451
Address of Ratee Officer with PIN : __________________________________

Code at which the intimation copy is
__________________________________
required to be sent
__________________________________
Telephone No. (With STD code) : __________________________________
Cell No. : __________________________________
E-mail ID : __________________________________
Name and address of the officer in : __________________________________

parent department to whom the
__________________________________
ACR/ APAR is required to be
forwarded (in case of deputationist) __________________________________
* In case there is any gap in the ACR/ APAR period due to being under posting/ leave or
any other reason, please indicate here.
** In case there are more than more reporting/ reviewing officers during the year, please
indicate the names, designation and period for which worked under them.
452
प्रपत्र –8/ Form - 8
____________________________________________________________________________
सं धवदा आिार पर कार्ा र त धवत्त धवभार् के कमा चाररर्ों हे तु वाधषा क कार्ा धनष्पादन मू ल्ां कन ररपोटा का
प्रपत्र
FORM OF ANNUAL PERFORMANCE APPRAISAL REPORT FOR FINANCE

PERSONNEL WORKING ON CONTRACT BASIS
____________________________________________________________________________
+ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉ xÉÉàÉ
NAME OF THE OFFICER : ________________________________
{Én
DESIGNATION : ________________________________
EÉä ºÉàÉÉ{iÉ ´É-ÉÇ/ +É´ÉÉÊvÉ BÉEÉÒ ÉÊ®{ÉÉä]Ç

453
REPORT FOR THE YEAR/
PERIOD ENDING : ________________________________
NAME & DESIGNATION OF
REPORTING OFFICER : ________________________________
REVIEWING OFFICER : ________________________________
PLACE OF POSTING : ________________________________
(In case of HQ, please indicate the Division)

454
£ÉÉMÉ-* BªÉÉÎBÉDiÉMÉiÉ ÉÊ´É´É®hÉ
PART-I PERSONAL DATA
1. Name of the Officer :
VÉxàÉ ÉÊiÉÉÊlÉ
2. Date of Birth :
´ÉiÉÇàÉÉxÉ {Én +ÉÉè® ÉÊxÉªÉÖÉÎBÉDiÉ
BÉEÉÒ iÉÉ®ÉÒJÉ
3. Present Post & Date
of appointment. :
´ÉäiÉxÉàÉÉxÉ
°ô.
4 Scale of Pay : :
Rs.
¶ÉèFÉÉÊhÉBÉE A´ÉÆ BªÉÉ´ÉºÉÉÉÊªÉBÉE ªÉÉäMªÉiÉÉAÆ <Æ]®àÉÉÒÉbÊ ªÉä]/ XIIºÉä ãÉäBÉE®
5. Academic & Professional Qualification Intermediate/XII onwards
=kÉÉÒhÉÇ BÉEÉÒ MÉ<Ç {É®ÉÒFÉÉ =kÉÉÒhÉÇ BÉE®xÉä BÉEÉ ÉÊ´ÉÉÎ¶´É´ÉtÉÉãÉªÉ/ºÉÆºlÉÉxÉ +ÉÆBÉEÉå BÉEÉ |ÉÉÊiÉ¶ÉiÉ
Examination Passed ´É-ÉÇ University/Institute Percentage of
Year of Marks
Passing
455
NOTE:कृपर्ा कोई भी कॉलम ररकत ना छोड़ें /PLEASE DO NOT LEAVE ANY COLUMN BLANK
BªÉÉ´ÉºÉÉÉÊªÉBÉE ºÉÆMÉ~xÉ(xÉÉå) BÉEÉÒ ºÉnºªÉiÉÉ ªÉÉÊn BÉEÉä<Ç cè
6. Membership of professional
Organization(s) if any.
BªÉÚ]ÉÒ ºÉä +ÉxÉÖ{ÉÉÎºlÉÉÊiÉ BÉEÉÒ +É´ÉÉÊvÉ (´É-ÉÇ BÉEä nÉè®ÉxÉ/ÉÊ®{ÉÉä]Ç BÉEÉÒ +É´ÉÉÊvÉ àÉå UÖ]Â]ÉÒ, |ÉÉÊ¶ÉFÉhÉ +ÉÉÉÊn)
7. Period of absence :
from duty (on leave,
training etc. during
the year/period under
report.
र्धद अधिकारी ने कोई प्रधशक्षण प्राप्त धकर्ा है,तो कृप्या उसका ब्योरा दें
8. If the officer has undergone any training, please specify:
BÉEÉªÉÇµÉeàÉ ÉÊVÉºÉàÉå £ÉÉMÉ ÉÊãÉªÉÉ MÉªÉÉ +É´ÉÉÊvÉ ºÉÆºlÉÉxÉ
Programme Attended Duration Institute
9. gÉähÉÉÒ (BÉEß{ÉªÉÉ ÉÊSÉxc ãÉMÉÉAÆ) : +ÉxÉÖ.VÉÉ. +ÉxÉÖ. +É.ÉÊ{É.´É. +ÉxªÉ

VÉ.VÉÉ.
Category (Please tick) SC OBC Others
ST
456
भार्-II
PART-II
स्‍व-मूल्‍र्ांकन/Self-Appraisal
(धजस अधिकारी की ररपोटा धलिी जा रही है उसके द्वारा भरा जाए; इस उद्दे शर् हे तु काई अधतररकत पन्ने का उपर्ोर्
नहीं धकर्ा जाना है ।
To be filled up by the Ratee Officer; no extra sheet is to be used for the purpose.)
1. कार्ों का संधक्षपत धववरण
Brief description of duties
457
2. जो लक्षर्/उद्दे शर्/धर्ेर् र्ा कार्ा आपके धलए धनिाा ररत धकए र्ए हों र्ा जो आपने स्वर्ं अपने धलए धनिाा ररत धकए
हों (पररणाम/मात्रा र्ा अन्र् रूप में ) का धवशे ष रूप से उललेि करें ; प्राथधमकता के आिार पर कार्ा की आठ-
दस मदें और हर एक के बाबत उपनी उपलक्ति का धववरण दें ।(उदाहरणाथा , आपके प्रभार् के धलए वाधषा क
कार्ा-र्ोजना)
Please specify target/objectives/goals (in quantitative or other terms) or work that

were set for you or you set for yourself: 8 to 10 items of work in order of priority
and your achievement against each (for example, Annual Action Plan for your
Division).
लक्षर्/उद्दे शर्/धर्ेर् उपलक्तिर्ॉं
Targets/objectives/goals Achievements
458
3. (क) कृपर्ा कॉलम 2 में बताए र्ए लक्षर्ों/उद्दे शर्ों/धर्ेर्ों के संदभ में न्र्ूनताओं का संक्षेप में उललेि करें । र्धद
उनकी प्राक्तप्त में कोई बािाएं रहीं हों, तो उनका भी उलले ि करें ।
(A) Please state briefly the shortfalls with reference to the targets/objectives/goals
referred to in Col. 2. Also please specify constraints, if any, in achieving the same.
(ि) र्धद कोई ऐसे कार्ाक्षेत्र हों धजनमें धवशेष तौर पर उचचतर उपलक्तिर्ॉं रही हों, तो उनका तथा उनमें
अपने र्ोर्दान का उललेि करें ।
(B) Please indicate the areas, if any, in which there have been significantly higher
achievements and your contribution thereto.
459
4. कृपर्ा बताएं धक कर्ा पूवावती कैले णडर वषा की अचल संपधत्त की वाधषा क धववरणी उततरवती वषा की 31
जनवरी तक दजा करा दी र्ई थी। र्धद नहीं, तो धववरण दजा कराने की धतधथ इं धर्त करें ।
Please state if the Annual Return for immovable property for the preceding calendar
year was filled up by 31st January of the succeeding year. If not, indicate the date of
filing the same.
cÉÄ xÉcÉÓ
Yes No ªÉÉÊn cÉÄ, |ÉºiÉÖiÉ BÉE®xÉä BÉEÉÒ iÉÉ®ÉÒJÉ

If Yes, date of Submission _______________________
5. कृपर्ा बताएं धक कर्ा आपके अिीन कार्ारत अधिकाररर्ों/िाफ, र्धद कोई है, से संबंधित इस वषा 31 माचा
तक की एवं धपछले वषों की ररपोटा वा0 का0 मू 0 रर0 पर संलगन धनदिे शों के अनु लगनक III में इं धर्त धतधथर्ों
के भीतर भरकर सक्षम प्राधिकारी को भे ज दी र्ई हैं ।
Please state whether Reports of officers/staff, if any, working under you for the
period ending 31 Mar of this year and for the previous years have been completed
and forwarded to the Competent Authority by the due dates as indicated in
Annexure-III to the Instructions on APAR.
460
हस्ताक्षर/Signature : ________________________
धदनां क/ Date : ________________________
कार्ाा लर्/ Office : ________________________
दू रभाष/ Tele : ________________________

461
भार्- III
PART-III
मू लर्ां कन पत्रक / RATING SHEET
1.
ररपोधटिं र् अधिकारी/ Reporting Officer पुनरीक्षण अधिकारी/Reviewing Officer
नाम / Name
रैं क/पद
Rank/Designation
2. से वा की अवधि/Length of service.
धद./ धद./ मा./ मा./ वषा/ वषा/ धद./ धद./ मा./ मा./ वषा/ वषा/
D D M M Y Y D D M M Y Y
से /
ररपोधटिं र् अधिकारी के TO
अिीनस्थ /Under
Reporting Officer
पुनरीक्षण अधिकारी के
Reviewing Officer
462
3. ‘कार्ा -धनषपादन’ का मूलर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 40 प्रधतशत होर्ा।
Assessment of ‘Work Output’ (on a scale of 1-10); weightage to this Section would be 40%
र्ु ण /Attributes ररपोधटिं र् पुनरीक्षण पुनरीक्षण अधि. के

अधिकारी/ अधिकारी/ हस्ताक्षर/Initial of
Reviewing Reviewing Officer
Reporting Officer *
Officer
(i) धनर्ोधजत कार्ों/आवं धटत धवषर्ों के आिार पर आवं धटत कार्ों

की उपलक्ति / Accomplishment of planned
work/work allotted as per subjects allotted
(ii) कार्ा धनषपादन की कोधट / Quality of work output
(iii) धवशलेषण-क्षमता / Analytical ability
(iv) धवधशषट कार्ा की उपलक्ति/अप्रतर्ाधशत कार्ों का धनषपादन /
Accomplishment of exceptional
work/unforeseen tasks performed
(A) ‘कार्ा-दनष्‍पादन’ का समग्र श्रेणीकरण
Overall Grading on ‘Work Output’
[Total of (i) to (iv)/4 *0.40]
463
* - to be filled in case the Reviewing Officer do not agree with the ratings given by the Reporting Officer/
केवल उस क्तस्थधत में भरा जाए, र्धद पुनरीक्षण अधिकारी, रे पोधटिं र् अधिकारी के मूल्ां कन से सहमत नहीं हैं
4. ‘वर्क्तिर्त र्ुणों का मूलर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 30 प्रधतशत होर्ा।
Assessment of ‘Personal Attributes’ (on a scale of 1-10); weightage to this Section would
be 30%
र्ुण /Attributes ररपोधटिं र् पुनरीक्षण पुनरीक्षण अधि. के

Reporting Officer *
Officer
(i) कार्ा के प्रधत दृधिकोण / Attitude to work
(ii) उततरदाधर्तव की भावना / Sense of responsibility
(iii) टीम भावना / Team spirit
(iv) संप्रेषण कौशल / Communication skills
(v) ने तृतव के र्ुण / Leadership qualities
(vi) अनु शासन बनाए रिना / Maintenance of

discipline
(vii) समर्-सीमा के अंतर्ात कार्ा करने की क्षमता /

Capacity to work in time limit
(viii) अन्तवैर्क्तिक संबंि / Inter-Personal relations
(B) ‘वर्क्तिर्त र्ुणों’ का समग्र श्रेणीकरण
OverallGrading on ‘Personal Attributes’
[Total of (i) to (viii)/8 *0.30]

464
* - to be filled in case the Reviewing Officer do not agree with the ratings given by the Reporting Officer /
केवल उस क्तस्थधत में भरा जाए, र्धद पुनरीक्षण अधिकारी, रे पोधटिं र् अधिकारी के मू ल्ां कन से सहमत नहीं हैं
5. ‘कार्ाक्षमता का मूलर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 30 प्रधतशत होर्ा।
Assessment of ‘Functional Competency’ (on a scale of 1-10); weightage to this section

would be 30%.

Reporting Officer *
Officer
(i) कार्ाक्षेत्र से संबंधित धनर्मों/धवधनर्मों/कार्ाप्रणाली का ज्ञान

और उनको सही तरह से लार्ू करने की र्ोगर्ता / Knowledge
of Rules/regulations/procedures in the area of
function and ability to apply them correctly.
(ii) रणनीधतक धनर्ोजन की र्ोगर्ता / Strategic planning

ability.
(iii) धनणार् ले ने की र्ोगर्ता / Decision making ability
(iv) समन्वर् की र्ोगर्ता / Coordination ability
(v) अिीनस्थों को अधभप्रेररत एवं धवकधसत करने की और टीम

में काम करने की र्ोगर्ता / Ability to motivate and
develop subordinates and work in a tem
(vi) पहलशक्ति /Initiative
(C) ‘कार्ाक्षमता’ का समग्र श्रे णीकरण
Overall Grading on ‘Functional Competency’
[Total of (i) to (vi)/6 *0.30]

465
* - to be filled in case the Reviewing Officer do not agree with the ratings given by the Reporting Officer /
केवल उस क्तस्थधत में भरा जाए, र्धद पुनरीक्षण अधिकारी, रे पोधटिं र् अधिकारी के मू ल्ां कन से सहमत नहीं हैं
6. स्वास्थर् की क्तस्थधत/State of Health :
7. अनु 0जाधत/अनु 0जनजाधत/अ0धप0व0/शा0धव0 श्रे णी के :

वर्क्तिर्ों के प्रधत रवैर्ा: (अनु 0जाधतर्ों और/र्ा अनु0
जनजाधतर्ों/अ0धप0व0/शा0धव0 और समाज के कमजोर
वर्ों के धवकास और संरक्षण के मामलों को धनपटाने वाले
अधिकाररर्ों मात्र के मामले में लार्ू)
Attitude towards people belonging to SC/ST/OBC/PH

categories:(Applicable only in case of officers dealing
with the development and protection of people
belonging to SC/ST/OBC/PH categories and Weaker
Sections of the Society)
8. जनसािारण से संबंि (जहां कहीं लार्ू हो) / Relations :

with public (wherever applicable)
9. सतर्धनषठा /Integrity
466
(इस कॉलम में धटपपणी धनमनधलक्तित तीन धवकलपों में से एक होर्ी /

The remarks against this column shall be made in one of the
three options mentioned below)
(i) सन्दे ह से परे ; अथवा,
Beyond Doubt; or,
(ii) मे रे संज्ञान में कोई प्रधतकूल बात नहीं आई है ; अथवा,
Nothing adverse has come to my notice; or,
(iii) चूंधक अधिकारी की सतर्धनषठा में संदेह है , अत: एक र्ुपत

धटपपणी संलगन है ।
Since the integrity of the officer is doubtful, a

Secret Note is attached herewith.
(इस कॉलम को वा0 का 0मू0 रर0 पर धनदिे शों के अनु लगनक-II में
इं धर्त धकए र्ए धदशाधनदिे शों के अनु सार भरा जाना चाधहए /This Col.
Should be filled up as per Guidelines indicated in Annexure-II
to the Instruction on APAR)
10. रूझान एवं धवकास क्षमताएं

(कृपर्ा धवकास एवं प्रर्धत की संभाधवत धदशाओं के बारे में सुझाव दें )
Aptitude and Potential:
(Please indicate possible lines of growth and development of
the officer)
11. धजस अधिकारी की ररपोटा धलिी जा रही है उसके उततरोततर धवकास

हे तु प्रस्ताधवत प्रधशक्षण
Recommended training for further development of the Ratee

Officer reported upon.
467
12. ररपोधटिं र् अधिकारी द्वारा अंधकत शबद-धचत्र
(धजस अधिकारी की ररपोटा धलिी जा रही है उसका उसके समग्र र्ुणों, सामथार्, कमतर सामथार् एवं कमजारे
वर्ों के प्रधत वर्वहार सधहत वर्ापक मू लर्ां कन एवं छोटे िाने में 01 से 10 के पैमाने पर समग्र श्रे णीकरण (समग्र
श्रे णीकरण हर वर्ा के संकेतक के धलए धनर्त वेटेज के अनु पात के औसत मान के र्ोर् के आिार पर धकर्ा
जाना है )। ररपोधटिं र् अधिकारी, अधिकारी द्वारा धहन्दी में धकए र्ए प्रशं सनीर् कार्ा, र्धद कोई है , तो उस पर भी
धटप्पणी करें ।
Pen-Picture by Reporting Officer
[General assessment of the Ratee Officer including overall qualities, strengths, lesser strengths and
attitude towards weaker sections and overall grading in the smaller box provided on a scale of 1-10
(the overall grading is to be based on addition of the mean value of each group of indicators in
proportion to the weightage assigned, i.e. total of (A) + (B) + (C) of Column Nos.3, 4 and 5)] The
Reporting Officer should also comment on commendable work, if any, done in Hindi done by the
Ratee Officer.
ररपोधटिं र् अधिकारी का हस्ताक्षर/
Signature of the Reporting Officer : ______________________________
धतधथ/Date: _____________
दू रभाष/Tele : ____________________
स्थान/Place: _____________
468
13. पुनरीक्षण अधिकारी की धटपपधणर्ां

(कृपर्ा ररपोधटिं र् अधिकारी के द्वारा अंधकत शबद-धचत्र पर धटपपणी दें । कृपर्ा छोटे िाने में 01 से 10 के पैमाने
पर समग्र श्रेणीकरण दें । (समग्र श्रे णीकरण हर वर्ा के संकेतक के धलए धनर्त वेटेज के अनु पात के औसत
मान के र्ोर् के आिार पर धकर्ा जाना है ) ररपोधटिं र् अधिकारी द्वारा धकए र्ए मू लर्ां कन से र्धद कोई असहमधत
हों, तो कृपर्ा उसका कारण सधहत धवशे ष तौर पर उलले ि करें । धजस अधिकारी की ररपोटा धलिी जा रही है ,
र्धद वो अनु 0 जाधत/अनु 0 जनजाधत/अ0 धप0 व0/शा0 धव0 श्रेणी का है , तो कृपर्ा इस बात को धवशेष रूप से
बताएं धक कर्ा ररपोधटिं र् अधिकारी का दृधिकोण उसका मू लर्ां कन करते समर् न्र्ार्पूणा तथा उधचत रहा है।
पुनरीक्षण अधिकारी, अधिकारी द्वारा धहन्दी में धकए र्ए प्रशं सनीर् कार्ा, र्धद कोई है, तो उस पर भी धटप्पणी
करें ।
Remarks by Reviewing Officer
(Please give remarks on the Pen-Picture given by the Reporting Officer. Please give
overall grading in the box provided on a scale of 1-10 (the overall grading is to be based
on addition of the mean value of each group of indicators in proportion to the weightage
assigned. Also please indicate specifically the difference, if any, with the assessment
made by the Reporting Officer together with reasons therefore.
469
If the Ratee Officer belongs to SC/ST/OBC/PH category, please indicate specifically

whether the attitude of the Reporting Officer in assessing the performance of the Ratee
Officer has been fair and just. The Reviewing Officer should also comment on
commendable work, if any, done in Hindi done by the Ratee Officer)
पुनरीक्षण अधिकारी का हस्ताक्षर/
Signature of the Reviewing Officer : ______________________________
धतधथ/Date: _____________________ दू रभाष/Tele :_____________________

470
वा0 का0 मू0 रर0 के दवषर् में दनदे श INSTRUCTIONS ON APAR
1. वाधषा क कार्ा मूलर्ां कन ररपोटा (वा0का0मू 0रर0) एक 1. The Annual Performance Appraisal
महतवपूणा दस्तावेज है । इसमें अधिकारी के कार्ाधनषपादन Report (APAR) is an important document.
It provides the basic and vital inputs for
तथा उसकी प्रर्धत के मूलर्ां कन के धलए मूलभू त और
assessing the performance of the officer
महतवपूणा सूचनाएं होती है । अत: अधिकारी, धजसकी
and his/her carrier. The Ratee Officer, the
ररपोटा धलिी जा रही है , ररपोधटिं र् अधिकारी एवं पुनरीक्षण Reporting Officer and the Reviewing
अधिकारी द्वारा वा0का0मू 0रर0 प्रपत्र को भरने के Officer, should, therefore, undertake the
कतता वर् का धनवाहन उततरदाधर्तव की एक उचच भावना से duty of filling up the APAR proforma with
करना चाधहए। a high sense of responsibility.
2. वा0का0मू 0रर0 का उपर्ोर् मानव संसािन धवकास के 2. APAR is to be used as a tool for human
एक सािन के रूप में धकर्ा जाना है । ररपोधटिं र् अधिकारी resource development. Reporting
Officers should realize that the objective
को र्ह समझना चाधहए धक उद्दे शर् एक अधिकारी का
is to develop an officer so that he/she
धवकास करना है ताधक वह अपनी वास्तधवक क्षमता को
realises his/her true potential. It is not
प्रापत कर सके। र्ह एक दोषान्वेषण प्रधक्रर्ा नहीं है । meant to be a fault-finding process.
अधपतु, र्ह एक धवकासातमक प्रधक्रर्ा है । ररपोधटिं र् Instead, it is intended to be a
अधिकारी तथा पुनरीक्षण अधिकारी को उस अधिकारी, developmental one. The Reporting
धजसकी ररपोटा धलिी जा रही है , के कार्ाा धनषपादन, रवैर्ा Officer and the Reviewing Officer should
एवं समग्र वर्क्तितव की कधमर्ों का उलले ि करने में not shy away from reporting short-
comings in performance, attitude and
संकोच नहीं करना चाधहए।
overall personality of the Ratee Officer.
3. वा0का0मू 0रर0 के भार्-III के कॉलम 3, 4 तथा 5 में 3. The guidelines regarding filling up of
संखर्ातमक श्रे णीकरण करने संबंिी धदशाधनदिे श Col. Nos. 3,4 and 5 pertaining to awarding
numerical grading in PART-III of APAR
अनु लगनक- I में उक्तिक्तित हैं । ‘सतर्धनषठा’ से संबंधित
are indicated in Annexure-I. The MHA
कॉलम 9 को भरने के धलए र्ृह मं त्रालर् के धदशाधनदिे श
Guidelines for filling up of Col. No. 9,
अनु लगनक- II में इं धर्त है। relating to ‘integrity’ are indicated in
Annexure-II.
4. सभी कॉलमों को साविानी पूवाक, धर्ान से तथा पर्ाा पत 4. All the Cols. Should be filled up with
समर् लर्ा कर भरा जाना चाधहए। ररपोटा को सरसरी तौर due care and attention and after devoting
471
पर र्ा सतहे तरीके से भरा जाना वां छनीर् नहीं है । कोई adequate time. Filling up the report in a
भी कॉलम ररकत न छोड़ा जाना चाधहए। शबदों और casual or superficial manner is not
desirable. NoCol. Should be left blank.
वाकर्ां शों का चुनाव, जहां भी आवशर्क हो,
Words and phrases, wherever required,
साविानीपूवाक धकर्ा जाना चाधहए और इससे ररपोटा
should be chosen carefully and it should
धलिने वाले अधिकारी का मन्तवर् स्पषटरूप से प्रकट accurately reflect the intention of the
होना चाधहए। officer writing the report.
5. ररपोधटिं र् अधिकारी वषा के आरं भ में ऐसे हरे क अधिकारी 5. The Reporting officer shall, in the
के लक्षर् समर् के दौरान पूणा करने हे तु धनिाा ररत करे र्ा beginning of the year, assign targets for
completion during the period to each of
धजनकी ररपोटा उसके द्वारा धलिी जानी है। र्धद कोई
the officer on whom he is required to
अधिकारी ररपोटा से संबंधित वषा के दौरान एक नए पद
initiate the report. In the case of an officer
का कार्ा-भार संभालता है तो ऐसे लक्षर्/उद्दे शर्, नए taking up a new post in the course of the
कार्ाभार संभालने के समर् धनर्म धकए जाएं र्े। दोनों ही reporting year, such targets/goals shall be
अधिकाररर्ों को धनर्म लक्षर्ों/उद्दे शर्ों की जानकारी और set at the time of assumption of the new
समझ स्पषट रूप से होनी चाधहए। charge. The target/goals set should
clearly be known and understood by both
the officers concerned.
6. र्द्धधप कार्ाधनषपादन-मूलर्ां कन वषा की समाक्तप्त पर की 6. Although performance appraisal is a

जानी वाली प्रधक्रर्ा है, तथाधपत र्ह सुधनधित करने के year-end exercise, in order that it may
serve as a toll for human resource
धलए धक र्ह मानव संसािन धवकास का एक सािन बने
development, the Reporting Officer
ररपोधटिं र् अधिकारी को धनर्धमत अंतरालों पर
should at regular intervals review the
कार्ाधनषपादन की समीक्षा करनी चाधहए तथा सलाह performance and take necessary
इतर्ाधद दे ने जै से आवशर्क सुिारातमक कदम उठाने corrective steps by way of advice etc.
चाधहए।
7. मू लर्ां कन करने वाले हरे क अधिकारी का र्ह प्रर्तन होना 7. It should be the endeavour of each
चाधहए धक धजस वर्क्ति के कार्ों का मूलर्ां कन धकर्ा जा appraiser to present a correct picture, as
far as possible, of the appraisee in regard
रहा है , उसके कार्ाधनषपादन, आचरण, वर्वहार तथा
to his/her performance, conduct, behavior
क्षमता का र्था समभव सही धचत्र प्रस्तुत धकर्ा जाए।
and potential.
8. एक ही रैं क के कुछ पद दू सरों की तुलना में अधिक 8. Some posts of the same rank may be
उपसाधर् हो सकते हैं। धकसी पद में दबाव एवं तनाव more exacting than others. The degree of
stress and strain in any posts may also
समर्-समर् पर र्टता-बढता रहता है । मू लर्ां कन करते
vary from time to time. These facts should
472
समर् इन तथर्ों को धर्ान में रिा जाना चाधहए और be borne in mind during appraisal and
उनपर र्थोधचत धटपपणी की जानी चाधहए। should be commented upon
appropriately.
9. वा0का0मू 0रर0 के धलए ररपोधटिं र्/पुनरीक्षण अधिकारी 9. Officer Eligible to Report/Review

की पात्रता: ररपोधटिं र्/पुनरीक्षण अधिकारी को उस APAR: Reporting/Reviewing Officer
should have at least three months
अधिकारी धजसकी ररपोटा धलिी जानी है , के आचरण एवं
experience of observing the conduct and
कार्ा के अवलोकन का ररपोटा की अवधि के दौरान कम
work of the Ratee Officer during the
से कम तीन माह का अनु भव होना चाधहए। APAR period.
10. वा0का0मू 0रर0 का संप्रेषण- ररपोटा को संवर्ा धनर्ंत्रण 10. Communication of the contents of
प्राधिकारी को भे जने सेपहले , पुनरीक्षण अधिकारी the APAR: Before sending the APARs to
the cadre controlling Authority, the
(आशु धलधप सेवा के संबंि में ररपोधटिं र् अधिकारी) कृपर्ा
Reviewing Officer (Reporting Officer in
र्ह सुधनधित करें धक धजस अधिकारी की ररपोटा धलिी
case of Officers of Stenographers’ cadre)
र्ई है उसे ररपोटा की प्रधत दे कर उसकी पावती ले ली र्ई may kindly ensure that a copy of the
है । APAR has been given to the Ratee
Officer concerned and receipt obtained
therefore.
11. वा0का0मू 0रर0 धलिने का चैनल- ररपोधटं र्/पुनरीक्षण से 11. Channel of Reporting the APAR: The
संबंधित चैनल का समर्-समर् पर जारी धकए र्ए धनदिे शों Channel of initiating/reviewing of the
APAR should be strictly adhered to, as
के अनु सार, कड़ाई से पाल धकर्ा जाना चाधहए।
per instruction issued from time to time.
12. धवधिवत पररपूणा वा0का0मू 0रर0 को धनमनानु सार भे जा 12. The APARs duly completed are
जाना चाधहए: required to be forwarded as follows:
प्रबन्धक (म०स०) Manager (HR)
भारतीर् राधिरर् राजमार्ा प्राधिकरण National Highways Authority of India
जी-5 एवं 6, सैक्टर – 10, द्वारका G-5 & 6, Sector-10, Dwarka,

473
नई धदिी – 110075 Tel.25074100 Extn.2444
फोन: 25074100 एक्स। 2444
13. समर् सीमा- वा0का0मू 0रर0 को तैर्ार करने/पररपूणा 13. Time-schedule: The time-schedule
करने की समस्त कार्ावाही के धलए धनर्त समर्-सीमा for preparation/completion of all actions
pertaining to APARs is indicated in
अनु लगनक-III में इं धर्त है।
Annexure-III.
474
अनु िग्नक –I / Annexure – I
संखर्ात्‍
्‍ मक ग्रे दिर् सद त वा0का0मू0रर0 भरने के दिए GUIDELINES REAGARDING FILLING UP
APARS WITH NUMBERICAL GRADING
ददशादनदे श
(i) वा0का0मू0रर0 के सभी कॉलमों को र्थोधचत साविानी, (i) All the columns in the APAR should be filled
धर्ान तथा पर्ाा पत समर् लर्ा कर भरा जाना चाधहए। up with due care and attention and after devoting
adequate time.
(ii) र्ह अपेक्षा की जाती है धक (‘कार्ा -उतपादन’, ‘वर्क्तिर्त (ii) It is expected that any grading of 1 or 2
र्ु णों’ और (against ‘work output’ or ‘Personal Attributes’ or
‘Functional Competency’ or overall grade) would
‘कार्ा क्षमता’ तथा समग्र श्रेणीकरण के बाबत) ‘1’ र्ा ‘2’ be adequately justified in the pen-picture by way of
ग्रे धडं र् शबद-धचत्र में धवशेष तौर पर उक्तिक्तित असफलताओं specific failure and, similarly, any grade of 9 or 10
के साथ पर्ाा पत रूप से तकासंर्त ठहराई जाएर्ी। इसी would be justified with respect to specific
प्रकार, ‘9’ र्ा ‘10’ की ग्रे धडं र् धवशेष उपलक्तिर्ों के बाबत accomplishments. Grade of 1-2 or 9-10 are
तकासं र्त ठहराई जाएर्ी। 1-2 र्ा 9-10 ग्रे धडं र् धवरले हाने expected to be rare occurrences and, hence, the
की अपेक्षा की जाती है और इसधलए उसे need to justify them. In awarding a numerical
grade, the reporting and reviewing authorities
तकासं र्त ठहराने की आवशर्कता है । सं खर्ातमक श्रेणीकरण should rate the officer against a larger population
करते समर् ररपोधटिं र् एवं पुनरीक्षण अधिकाररर्ों को चाधहए of his/her peers that may be currently working
धक अधिकारी का उनके अिीनस्थ कार्ा रत उसके समकक्ष under them.
जर्ादातर अधिकाररर्ों के बाबत मूलर्ां कन करें ।
(iii) ‘8’ एवं ‘10’ के बीच श्रेणीकृत वा0का0मू0रर0 को ‘उतकृषट’ (iii) APARs graded between 8 and 10 will be rated
माना जाएर्ा तथा नाधमकार्न/पदोन्न्धत के धलए औसत र्णना as ‘Outstanding’ and will given a score of 9 for the
purpose of calculating average scores for
के उद्दे शर् से ‘9’ अंक धदर्ा जाएर्ा।
empanelment/promotion.
(iv) ‘6’ एवं ‘8’ से कम के बीच में श्रे णीकृत वा0का0मू0रर0 को (iv) APARs graded between 6 and short of 8 will
‘बहुत अचछा’ माना जाएर्ा तथा उसे ‘7’ अंक धदर्ा जाएर्ा। be rated as ‘Very God’ and will be given a score of
7.
(v) ‘4’ एवं ‘6’ से कम के बीच में श्रे णीकृत वा0का0मू0रर0 को (v) APARs graded between 4 and short of 6 will
‘अचछा माना जाएर्ा तथा उसे ‘5’ अंक धदर्ा जाएर्ा। be rated as ‘Good’ and given a score of 5.
(vi) ‘4’ के नीचे श्रेणीकृत वा0का0मू 0रर0 को शून्र् अंक धदर्ा (vi) APARs graded below 4 will be given a score
जाएर्ा। of Zero.
475
(vii) ªÉÉÊn ÉÊBÉEºÉÉÒ +ÉÉÊvÉBÉEÉ®ÉÒ BÉEä àÉÉàÉãÉä àÉå भार्- III की µÉEàÉ ºÉÆJªÉÉ 3, 4 एवं (vii) Wherever any of the attributes related to
5 àÉå “BÉEÉªÉÉÇiàÉBÉE FÉàÉiÉÉ” BÉEä àÉÚãªÉÉÆBÉExÉ ºÉä” ºÉÆ¤ÉÆÉÊvÉiÉ BÉEÉä<Ç ¤ÉÉiÉ ãÉÉMÉÚ xÉcÉÓ assessment in Sl.No.3, 4 and 5 of Part-III are not
cÉäiÉÉÒ cè, iÉÉä ÉÊ®{ÉÉä]Ç BÉE®xÉä ´ÉÉãÉä +ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉä =ºÉ BÉEÉìãÉàÉ àÉå “ãÉÉMÉÚ xÉcÉÓ” applicable in case of any officer, the Reporting
Officer should write “Not Applicable” in the said
ÉÊãÉJÉxÉÉ SÉÉÉÊcA +ÉÉè® <ºÉ JÉÆb àÉå ºÉcÉÒ àÉÚãªÉÉÆBÉExÉ BÉE®xÉä cäiÉÖ =ºÉBÉEä BÉEÉìãÉàÉ
column and the dividing factor in column (C)
(MÉ) àÉå ÉÊ´É£ÉÉVÉBÉE ºÉÆJªÉÉ BÉEÉä =ÉÊSÉiÉ âó{É ºÉä BÉEàÉ BÉE® näxÉÉ SÉÉÉÊcA*
thereof should be reduced appropriately to arrive at
the correct weightage against this section
476
अनु िग्नक –II / Annexure – II
‘सत्‍र्दनष्‍ठा’ से संबंदित कॉिम 9 को भरने े तु र्ृ मंत्रािर् के कार्ाािर् ज्ञापन संखर्ा

्‍ 51/4/64-स्‍था. (ए)
ददनांक 21.06.1965 द्वारा जारी ददशादनदे श
GUIDELINES ISSUED VIDE MHA OM No. 51/4/64-ESTT.(A) dt. 21.06.1965
FOR FILLING UP COLUMN 9 RELATING TO ‘INTEGRITY’
सतर्धनषठा से संबंधित कॉलम को भरने के धलए The following procedure should be followed in
धनमनधलक्तित धवधि का पालन धकर्ा जाना चाधहए। filling u the Col. Relating to integrity:
(i) र्धद अधिकारी की सतर्धनषठा में कोई संदेह नहीं (i) If the officer’s integrity is beyond doubt, it
है , तो ऐसा उललेि धकर्ा जाए। may be so stated.
(ii) र्धद कोई संदेह र्ा शं का है , तो मद िाली छोड़ (ii) If there is any doubt or suspicion, the item
दी जानी चाधहए और धनमनधलक्तित कार्ावाही करनी should be left blank and action taken as under.
चाधहए:
(क) एक अलर् र्ुपत धटपपणी धलिकर उस पर (a) A separate secret note should be
अनु वती कारा वाई की जानी चाधहए। धटपपणी की प्रधत recorded and followed up. A copy of the note
should also be sent together with the APAR to
वा0का0मू 0रर0 सधहत अलर् से वररषठ अधिकारी को भी
the next superior officer who will ensure that
भे जी जानी चाधहए जो र्ह सुधनशधचत करे र्ा धक अनु वती
the follow up action is taken expeditiously.
कारा वाई शीघ्रता से की जाए। धजन मामलों में सतर्धनषठा Where it is not possible either to certify the
को प्रमाधणत करना र्ा र्ोपनीर् धटपपणी दजा करना integrity or to record the secret note, the
समभव न हो, वहां ररपोधटिं र् अधिकारी को, क्तस्थधत के Initiating Officer should state either that he/she
अनु सार, र्ा तो र्ह उलले ि करना चाधहए धक उसने has not watched the officer’s work for sufficient
अधिकारी का कार्ा पर्ाा पत समर् तक नहीं दे िा है time to form a definite judgment or that he/she
has heard nothing against the Officer, as the
धजससे धक वह एक धनधित रार् कार्म कर सके र्ा धक
case may be.
उसने अधिकारी के धवरूद्ध कुछ नहीं सुना है ।
(ि) र्धद अनु वती कारा वाई के फलस्वरूप संदेह र्ा (b) If, as a result of the follow up action, the
शं काएं दू र हो जाती हैं तो अधिकारी की सतर्धनषठा doubts or suspicions are cleared, the officer’s
477
प्रमाधणत की जानी चाधहए और वा0का0मू 0रर0 मे integrity should be certified and an entry made
तदनु सार प्रधवधि की जानी चाधहए। accordingly in the APAR.
(र्) र्धद संदेह र्ा शं काओं की पुधि हो जाती है तो र्ह (c) If the double or suspicions are confirmed,
तथर् भी दजा धकर्ा जाना चाधहए और संबंधित अधिकारी this fact should also be recorded and duly
communicated to the officer concerned.
को इसे धवधिवत सूधचत धकर्ा जाना चाधहए।
(र्) र्धद अनु वती कारा वाई के फलस्वरूप, संदेह र्ा (d) If, as a result of the follow-up action,
शं काएं न दू र होती हों और न ही उसकी पुधि होती हो, doubts or suspicions are neither cleared nor
confirmed, the officer’s conduct should be
तो अधिकारी के आचरण की धनर्रानी और अधिक
watched for a further period and thereafter
अवधि तक की जानी चाधहए और उसके बाद ऊपर (ि)
action taken as indicated at (b) & (c) above.
और (र्) में इं धर्त कारा वाई की जानी चाधहए।
*****
478
अनु िग्नक –III / Annexure – III
वा0का0मू0रर0 से संबंदितसमस्‍त कार्ा करने/ उसे पररपू णा करने के दिए समर्-सीमा
TIME SCHEDULE FOR PREPARATION/COMPLETION OF ALL ACTIONS PERTAINIG TO

APARS
क्रमांक/ Srl. र्दतदवदि/Activity पररपू णान की दतदथ/Date

No. by which to be
completed
1. सभी संबंधित अधिकाररर्ों को वा0का0मू 0रर0 के िाली प्रपत्र का 31 माचा/31st March

धवतरण (अथाा त उन अधिकाररर्ों को धजनकी ररपोटा धलिी जानी है ,
(इसे एक सपताह पहले भी
जहां स्व-मूलर्ां कन का प्राविान है, र्ा ररपोधटिं र् अधिकाररर्ों को
धकर्ा जा सकता है)
जहां स्व-मू लर्ां कन प्रस्तुत नहीं धकर्ा जाना है )।
(This may be completed
Distribution of blank APAR proforma to all concerned even a week earlier)
(i.e. to the Ratee Officers where self-appraisal has to be
given and to reporting officers where self-appraisal is
not to be given).
2. धजस अधिकारी की ररपोटा धलिी जा रही है उसके द्वारा ररपोधटिं र् 15 अप्रैल/15th April.
अधिकारी को स्व-मूलर्ां कन प्रस्तुत धकर्ा जाना (जहां र्ह लार्ू है )।
Submission of self-appraisal to Reporting Officer by

Ratee Officer (where applicable).
3. ररपोधटिं र् अधिकारी द्वारा पुनरीक्षण अधिकारी को ररपोटा प्रस्तुत 30 जू न/30th June.

धकर्ा जाना।
Submission of report by Reporting Officer to Reviewing

Officer.
479
4. पुनरीक्षण अधिकारी द्वारा ररपोटा को पररपूणा धकर्ा जाना, उसकी 31 जु लाई/31st July
धवषर्वस्तु को संबंधित अधिकारी को सूधचत करना, ततपशचात् वा0
का0 मू 0 रर0 को भेजा जाना।
Report to be completed by Reviewing Officer, copy of

the same to be given to the Ratee Officer and then to
be sent to the APAR Cell.
5. पुनरीक्षण अधिकारी द्वारा वा0 का0 मू 0 रर0 पर अभर्ावेदन (र्धद सूचना प्राक्तप्त से 15 धदनों के
कोई हो) की प्राक्तप्त। भीतर
Receipt of representation by the Reviewing Officer, if 15 days from the date

any, on APAR. of receipt of
communication.
6. अभर्ावेदन को सक्षम प्राधिकारी को भे जना जाना। 31 अर्स्त/31st August
Forwarding of representation to the Competent

Authority.
7. सक्षम प्राधिकरण द्वारा अभर्ावेदन का धनस्तारण और उसकी सूचना अभर्ावेदन प्रापत होने के एक
वा0 का0 मू 0 रर0 को भे जा जाना। माह के भीतर
Disposal of representation by the Competent Authority (Within one month

and intimation of the same to the APAR Cell. from the date of receipt
of representation.
8. अमर्ावेदन पर सक्षम प्राधिकारी के धनणार् को वा0 का0 मू0 रर0 15 नवंबर/15th November.
क0 द्वारा संबंधित अधिकारी को सूधचत धकर्ा जाना।
Communication of the decision of the Competent

Authority to the Ratee on his/her representation by the
APAR Cell.
*****
480
वषा2017के दिए )31.12.2017की स्तसथदत के अनु सारदववरण का संपदत्त अचि (

STATEMENT OF IMMOVABLE PROPERTY FOR THE YEAR 2017 (AS ON 31.12.2017)
1. अधिकारी का पूरा नाम/Name of the Officer (in full ) : …………………………..

2. वतामान िाररत पद/Present post held : ………………………………………….
3. वतामानवेतन+ श्रे णीवेतन/Present pay + Grade Pay :……………………………….
4. धनर्ुक्तिकास्वरूप/Nature of appointment
धनर्धमत/प्रधतधनर्ुक्ति/दीर्ाकाधलकसंधवदाRegular/Deputation/LTC
5. तैनाती का स्थान/Place of Posting: ……………….:मु /.प.का.इ/.क्षे .काHQ/PIU/RO .
6. क्षे .का/.प.का.इ/.मु .में प्रभार्कानाम/Name of RO/PIU/Division at HQ
:……………………………………
7. /(.व/.मा/.धद) धतधथ जन्मDate of Birth (DD/MM/YYYY) :…………………………..
प्रतितियुति के ) पता पूरा और पदनाम ,नाम का अधिकारी संबंधित उस में धवभार् मूल ,में मामले के प्रधतधनर्ुक्ति
/(.व/.मा/.दि) जन्म तित Date of Birth (DD/MM/YYYY) :…………………………..
.8 तजसे तववरणी (तपि कोड सतिि) पििाम और पूरा पिा ,मूल तवभाग में उस संबंतिि अतिकारी का िाम ,प्रतितियुति के मामले में
भेजी जािी अपेतिि िै
In case of deputation; name, designation and complete address (with PIN code) of the concerned officer in parent
deptt to whom the return is required to be forwarded
.............................................................................................................................................
....................................................................................................................................
उस दजिे , संपदत्त- मकान के * वतामान र्दद अपने कैसेअदजात संपदत्त से दटप्‍पणी
,मंिि उप ,मकान मामिे में कीमत नाम में न ी ं ै की- वादषाक Remarks
,तािुक और भूदम भूदम सद त तो उस खरीदकी , आर्
* Present
र्ांव और भवनों अन्‍र् दनमााणअजान/ Value व्‍र्स्ति का पट्टे ** परिी , Annual
नाम का नाम का िार्त की नाम दजसके दर्रवीरखक income
from the
पर ज ां ब्‍र्ौरा और खरीद और नाम में ै र,
property
संपदत्त Name and वषा काCost और उसका दवरासतमेंदम
details of
ै Name of of सरकारी िी ,
property – construction
district,
housing, कमाचारी से भेंटर्ाअन् र्
sub- /
lands and acquirement संबंि If not तरीकेसेदम
division,
Taluk and
other including in own िी ,
buildings name, state
Village in land in case दमिने कीता
of house in whose
481
which and year name held रीखऔरदज

property when and his/her
नव्र्स्तिर्ों
is purchased relationship
situated to the Govt. सेदमिीउन
Servants कानामतथा
ब्र्ौराHow
acquired-
whether by
purchase,
lease**,
mortgage,
inheritance,
gift or
otherwise,
with date of
acquisition
and name
with
details of
persons
from whom
acquired
(1) (2) (3) (4) (5) (6) (7) (8)
482
टे लीफोन /नं बर सेल/Tell./Cell No. :………………… हस्ताक्षर/Signature:…………………

ई/डी आई मे ल-E-mail ID: ……………………………………..
तारीि /Date : …………………………....................
दटप्‍पदणर्ां/Notes:-
(1) * ऐसे मामले में अनु माधनत में संबंि के क्तस्थधत वतामान वहां हो नहीं संभव करना मूलर्ां कन का कीमत सही जहॉं ,
। जाए धकर्ा उलले ि का कीमत
* In case where it is not possible to assess the value accurately, the approximate value in
relation to present conditions may be indicated.
(2) ** अलपकाधलक पट्टा भी शाधमल है ।
** Include short-term lease also.
........../2
(3) केन्द्रीर् धसधवल से वाएं 1964 ,धनर्म (आचरण)के धनर्म (1)18के अिीन प्रतर्े क समूह – क और समूह कमाचारी ि -
12 प्रतर्े क पशचात् इसके और है अपेधक्षत करना प्रस्तु त और भरना को फामा र्ोषणा पर धनर्ु क्ति पहली अपनी में से वा से
है धमली में धवरासत उसे अथवा है की अधजात उसने ,है में स्वाधमतव उसके जो सं पधत्त अचल सभी पर अंतराल के मास
द उसके अथवा््वारा पट्टे पर अथवा धर्रवी रिकर िाररत की र्ई है र्ा उसके अपने नाम से अथवा उसके पररवार के
धकन्ही सदस्र्ों के नाम से है अथवा सरकारी कमाचारी पर आधश्रत अन्र् धकसी वर्क्ति के नाम से है ।
The declaration form is required to be filled in and submitted by every Group-A and Group-
B employee under Rule 18 (1) of the Central Civil Services (Conduct) Rules, 1964 on the first
appointment to the service and thereafter at the interval of every 12 months, giving particulars
of all immovable property owned, acquired or inherited by him or held by him on lease or
mortgage, either in his own name or in the name of any members of his family or in the name
of any other person dependent on government servant.
(4) तपछले वर्त की‘ अ वा ’कोई वृति ििीं‘ अ वा ’कोई पररविति ििी‘भांतिजैसे श्‍ि ििीं तलेे जािे ााति और पूणत ्‍यौरा दिया जािा ’
ााति ।
(5) The wording ‘no change’ or ‘no addition’ or ‘as in the previous year’ should be avoided and full details be provided.
(6) कालमों को स्पषट अक्षरों में भरा जाना चाधहए ।

The columns should be filled up neatly in capital letters.
(7) जो लार्ू न हो उसे काट धदर्ा जाए ।
Strike out whichever is not applicable.
483
To,
Shri Krishan Dalal, AM (Admn) &

Member-Secretary
Committee (Death Benevolent Scheme)
NHAI
Sub: Application for Membership of DEATH BENEVOLENT SCHEME of NHAI.
I declare that all particular furnished by me hereunder are correct and true and further
request that I may be admitted as a member of NHAI Death Benevolent Scheme w.e.f.
01.01.2015. I also authorize NHAI to deduct from my salary an amount of Rs.50/- per month on
this account.
1. Name of employee :
(Capital letters)
2. Designation :
3. Nature of appointment : Regular/Deputation/Long Term Contract
4. Place of posting/Division at Hqs :
4(a) Office Address (for field offices only)

e-mail, Fax Nos
5. Date of joining in NHAI :
6. Present Address :
7. Permanent address (in case of :

Change in permanent address,
The member will have to keep the
HR Department informed of such
Changes at the earliest)
484
8. Details of family members

‘Family will mean spouse, children etc.’
Sl.No Name of the Family members Age Marital status Relationship with
the employee
9. My nomination to whom the benefit under this scheme will accrue is given below (where
more than one person is nominated, indicate the percentage of distribution of benefits between
the nominees):
Sl.No Name of the nominee Age Relationship Percentage of benefits
Date:
Place:
(Applicant’s Signature)
(For use in HR Department)
Certified that information given by the applicant, Shri/Smt/Kum ____________ at Sl.No. 1

to 9 has been verified from the official record and found to be correct.
(Dealing Officer in HR Division)

485
Date. ___________
To,
The Dy. General Manager (HR/Admn)-I

G-5 & 6, Sector – 10,
Dwarka, New Delhi
Subject: Issue of Parking Sticker for Car/Scooter/Motor Cycle.
Sir/Madam,
I am coming to the NHAI HQ office by Car / Scooter / Motor Cycle

No._________________________________, therefore, for the parking of my vehicle in the office
premises; the parking sticker may be issued.
2. I am enclosing herewith copy of Registration Certificate of the Vehicle & Old Parking
Sticker.
3. In case of transfer / leaving the organization, I will return the parking sticker to the Admn
Division.
Yours faithfully,
(Signature)
Name: ___________________
Designation: ______________
Mobile No.:________________
Encl: (i) Copy of Registration Certificate

(ii) Old Parking Sticker
 In case the vehicle is hired from Travel Agency, a copy of the request of the Agency may
also be enclosed.
486
PHOTO ID DATA
NAME (BLOCK LETTERS) :
DESIGNATION :
BLOOD GROUP :
EMPLOYEE’S SIGNATURE :
RECORD DATA
DEPARTMENT :
RESIDENTAL ADDRESS :
PLACE OF POSTING :
RESIDENCE TELEPHONE :
EMERGENCY CONTACT NO. :
VEHICLE NO. :
 In case of new joining/ Promotion, officer order of the joining report/ promotion order
to be enclosed.
487
UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ {Éä¶ÉMÉÉÒ BÉEä ÉÊãÉA +ÉÉ´ÉänxÉ {ÉjÉ
APPLICATION FOR LTC ADVANCE
1. BÉEàÉÇSÉÉ®ÉÒ BÉEÉ xÉÉàÉ :
Name of the employee
2. {ÉnxÉÉàÉ :
Designation
3. |É£ÉÉMÉ BÉEÉ xÉÉàÉ, ÉÊVÉºÉºÉä ºÉà¤Ér cè :
Division, associated to
4. ´ÉiÉÇàÉÉxÉ ´ÉäiÉxÉàÉÉxÉ àÉå àÉÚãÉ ´ÉäiÉxÉ :
Basic salary in Present pay scale
5. ÉÊxÉªÉÖÉÎBÉDiÉ BÉEÉÒ iÉÉ®ÉÒJÉ :
Date of appointment
6. ºÉä´ÉÉ {ÉÖÉÎºiÉBÉEÉ àÉå PÉÉäÉÊ-ÉiÉ ÉÊBÉEA MÉA MÉßc xÉMÉ® ºlÉÉxÉ :
Hometown as recorded in the service book.
7. ÉÊ{ÉUãÉä ¤ãÉÉìBÉE ´É-ÉÇ BÉEä ÉÊãÉA ãÉÉÒ MÉ<Ç UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ BÉEÉ ¤ªÉÉè®É : (i) MÉßc xÉMÉ®
488
Detail of the LTC taken in the last block year. Home town
(ii) £ÉÉ®iÉ àÉå BÉEcÉÓ £ÉÉÒ
Anywhere in India.
8. |ÉºiÉÉÉÊ´ÉiÉ ¤ãÉÉBÉE ´É-ÉÇ, ÉÊVÉºÉBÉEä ÉÊãÉA ãÉäxÉÉ SÉÉciÉä cé :
Proposed block year for which LTC is to be

availed.
9. BÉDªÉÉ +ÉÉBÉEÉÎºàÉBÉE/+ÉÉÌVÉiÉ UÖ]Â]ÉÒ ãÉäxÉÉ SÉÉciÉä cé ? :
Whether casual/earned leave wanted?
10. BÉDªÉÉ {ÉcãÉä ãÉÉÒ MÉ<Ç UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ {Éä¶ÉMÉÉÒ BÉEÉ {ÉÚhÉÇ °ô{É ºÉä ÉÊxÉ{É]É®É :
BÉE® ÉÊnªÉÉ MÉªÉÉ cè +ÉlÉ´ÉÉ ÉÊxÉ{É]É®É +É£ÉÉÒ ãÉÉÎà¤ÉiÉ cè, ÉÊ{ÉUãÉä àÉÉàÉãÉä BÉEä
ÉÊxÉ{É]ÉxÉ BÉEÉÒ iÉÉ®ÉÒJÉ ¤ÉiÉÉAÄ *
Whether the advance taken earlier has been

settled if yes mention the date of settlement
11. §ÉàÉhÉ BÉEÉ ºlÉÉxÉ (+ÉÉÊvÉBÉEiÉàÉ nÚ®ÉÒ ´ÉÉãÉÉ ºlÉÉxÉ) :
Place of visit (the place at maximum distance)
12. ªÉÉjÉÉ ¶ÉÖ°ô BÉE®xÉä BÉEÉÒ |ÉºiÉÉÉÊ´ÉiÉ iÉÉ®ÉÒJÉ :
Proposed date of commencement of the tour.
13. ´ÉÉ{ÉºÉÉÒ BÉEÉÒ ªÉÉjÉÉ BÉEÉÒ ºÉÆ£ÉÉÉÊ´ÉiÉ ÉÊiÉÉÊlÉ :
Expected date of return.

489
14. <ºÉ ºÉÖÉÊ´ÉvÉÉ BÉEÉ ãÉÉ£É =~ÉxÉä ´ÉÉãÉä {ÉÉÊ®´ÉÉ® BÉEä ºÉnºªÉÉå BÉEÉ ¤ªÉÉè®É :-
Names of family members in respect of whom LTC is proposed to be availed:
µÉEàÉ ºÉÆ. xÉÉàÉ BÉEàÉÇSÉÉ®ÉÒ BÉEä ºÉÉlÉ ºÉÆ¤ÉÆvÉ VÉxàÉ ÉÊiÉÉÊlÉ BÉDªÉÉ BÉEàÉÇSÉÉ®ÉÒ {É® +ÉÉÉÊgÉiÉ
Sl.No. NAME Relation with DATE OF Whether

theemployee BIRTH dependent on the
employee
1.
2.
3.
4.
5.
6.
7.
8.
15. ®äãÉ ªÉÉjÉÉ BÉEÉÒ |ÉºiÉÉÉÊ´ÉiÉ gÉähÉÉÒ :
Class of proposed rail journey.
16. xªÉÚxÉiÉàÉ nÚ®ÉÒ àÉÉMÉÇ uÉ®É àÉÖJªÉÉãÉªÉ ºÉä MÉßc xÉMÉ®/§ÉàÉhÉ BÉEä ºlÉÉxÉ BÉEÉ ABÉE iÉ®{ÉE BÉEÉ :
®äãÉ£ÉÉ½É/¤ÉºÉ £ÉÉ½É
Single rail fare/bus fare from the HQ to home town/place of

visit by the shortest route.
490
17. +É{ÉäÉÊFÉiÉ {Éä¶ÉMÉÉÒ BÉEÉÒ ®ÉÉÊ¶É :
Proposed amount of advance.
18. BÉEÉªÉÉÇãÉªÉ BÉEÉ xÉÉàÉ ÉÊVÉºÉàÉå BÉEàÉÇSÉÉ®ÉÒ BÉEä {ÉÉÊiÉ/{ÉixÉÉÒ ÉÊxÉªÉÖBÉDiÉ cé :
Office name where employee’s husband/wife is posted.
19. ªÉÉÊn {ÉÉÊiÉ/{ÉixÉÉÒ +É{ÉxÉä ÉÊxÉªÉÉäBÉDiÉÉ ºÉä UÚ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ +ÉlÉ´ÉÉ <ºÉÉÒ |ÉBÉEÉ® BÉEÉÒ ÉÊ®ªÉÉªÉiÉ :
ãÉäxÉä BÉEä/BÉEÉÒ {ÉÉjÉ cé iÉÉä BÉDªÉÉ <ºÉ +ÉÉ¶ÉªÉ BÉEÉÒ PÉÉä-ÉhÉÉ nä nÉÒ MÉ<Ç cè ÉÊBÉE ´Éc º´ÉªÉÆ +É{ÉxÉä A´ÉÆ
{ÉÉÊ®´ÉÉ® BÉEä ÉÊãÉA +É{ÉxÉä BÉEÉªÉÉÇãÉªÉ ºÉä UÚ]Â]ÉÒ ªÉÉjÉÉ/ÉÊ®ªÉÉªÉiÉ BÉEÉ nÉ´ÉÉ xÉcÉÓ BÉE®åMÉä/BÉE®åMÉÉÒ *
If husband/wife is entitled to avail LTC or concession of same

type, whether the declaration has been given that he/she will
not claim LTC/concession from his/her office for either
himself/herself or family.
cºiÉÉFÉ® ................................
Signature
{ÉnxÉÉàÉ ................................
Designation
491
PÉÉä-ÉhÉÉAÄ/Declarations
àÉé <ºÉBÉEä uÉ®É |ÉàÉÉÉÊhÉiÉ BÉE®iÉÉ cÚÄ ÉÊBÉE àÉä®ä uÉ®É >ó{É® ÉÊnªÉÉ MÉªÉÉ ¤ªÉÉè®É ºÉiªÉ A´ÉÆ ~ÉÒBÉE cè *
I hereby certify that the above detail given by me is true and correct.
àÉé ªÉc £ÉÉÒ ´ÉSÉxÉ näiÉÉ cÚÄ ÉÊBÉE ÉÊVÉºÉBÉEä ÉÊãÉA àÉéxÉä {Éä¶ÉMÉÉÒ ãÉÉÒ cè ªÉÉÊn àÉé =ºÉ |ÉºiÉÉÉÊ´ÉiÉ ªÉÉjÉÉ {É® VÉÉxÉä àÉå +ÉºÉ{ÉEãÉ ®ciÉÉ cÚÄ iÉÉä àÉé {ÉÚ®ÉÒ ®ÉÉÊ¶É
iÉiBÉEÉãÉ ´ÉÉ{ÉºÉ VÉàÉÉ BÉE®É nÚÄMÉÉ *
I also under take that if I fail to go on proposed visit for which I have taken advance, I
shall deposit entire amount immediately.
àÉé ªÉc £ÉÉÒ PÉÉä-ÉhÉÉ BÉE®iÉÉ cÚÄ ÉÊBÉE àÉé ºÉFÉàÉ |ÉÉÉÊvÉBÉEÉ®ÉÒ ºÉä ÉÊ¤ÉxÉÉ {ÉÚ´ÉÇ +ÉxÉÖàÉÉÊiÉ ÉÊãÉA +ÉÉ´ÉänxÉ {ÉjÉ àÉå =ÉÎããÉÉÊJÉiÉ §ÉàÉhÉ ºlÉÉxÉ àÉå {ÉÉÊ®´ÉiÉÇxÉ xÉcÉÓ
BÉE°ôÆMÉÉ *
I also undertake that I shall not make any change in place of visit mentioned in this
application without prior approval of the Competent Authority.
àÉé <ºÉ ¤ÉÉiÉ BÉEä ÉÊãÉA ºÉcàÉiÉ cÚÄ ÉÊBÉE ÉÊBÉEºÉÉÒ £ÉÉÒ BÉEÉ®hÉ ºÉä +É{ÉxÉä {ÉÉºÉ ¤ÉSÉÉÒ ÉÊBÉEºÉÉÒ £ÉÉÒ {Éä¶ÉMÉÉÒ BÉEÉä +ÉÉÊiÉÉÊ®BÉDiÉ ®ÉÉÊ¶É BÉEÉä BÉEÉªÉÉÇãÉªÉ àÉå ¶ÉÉÒQÉ VÉàÉÉ
BÉE®É nÚÆMÉÉ *
I do agree that I will deposit the outstanding advance with the office remained with me
due to any reason.
àÉé <ºÉ ¤ÉÉiÉ BÉEä ÉÊãÉA £ÉÉÒ ºÉcàÉiÉ cÚÄ ÉÊBÉE º´ÉªÉÆ +É{ÉxÉä ÉÊãÉA/+É{ÉxÉä {ÉÉÊ®´ÉÉ® BÉEä ºÉnºªÉÉå BÉEä ÉÊãÉA ªÉÉjÉÉ {É® VÉÉxÉä cäiÉÖ JÉ®ÉÒnä MÉA ÉÊ]BÉE]Éå +ÉÉÉÊn BÉEÉÒ
JÉ®ÉÒn BÉEä ºÉÉFªÉ ªÉÉjÉÉ ¶ÉÖ°ô BÉE®xÉä BÉEä 10 ÉÊnxÉ BÉEä +ÉÆn® +ÉlÉ´ÉÉ {Éä¶ÉMÉÉÒ ãÉäxÉä BÉEÉÒ iÉÉ®ÉÒJÉ BÉEä 90 ÉÊnxÉ BÉEä +ÉÆn®, VÉÉä £ÉÉÒ {ÉcãÉä cÉä, |ÉºiÉÖiÉ BÉE® nÚÆ
* àÉÖZÉä àÉÉãÉÚàÉ cè ÉÊBÉE ={É®ÉäBÉDiÉ +É{ÉäFÉÉ BÉEÉä {ÉÚ®É BÉE®xÉä àÉå +ÉºÉ{ÉEãÉ ®cxÉä {É® ºÉÉvÉÉ®hÉ ¤ªÉÉVÉ BÉEä +ÉãÉÉ´ÉÉ 2 1/2 |ÉÉÊiÉ¶ÉiÉ nhbº´É°ô{É ¤ªÉÉVÉ ºÉÉÊciÉ
{Éä¶ÉMÉÉÒ BÉEÉÒ ®ÉÉÊ¶É ABÉE àÉÖ¶iÉ àÉä®ä +ÉMÉãÉä àÉÉc BÉEä ´ÉäiÉxÉ ºÉä ´ÉºÉÚãÉ BÉEÉÒ VÉÉ ºÉBÉEä *
I do agree that I shall present proof of the tickets purchased for self/family members
within 10 days of commencement of journey or within 90 days of taking advance,
whichever is earlier. I know that if fail to produce the same, the lump-sump amount equal
to the advance with general interest plus 2½% interest as punishment will be recovered
from my next month’s salary.
492
àÉÖZÉä àÉÉãÉÚàÉ cè ÉÊBÉE ªÉÉÊn àÉé ªÉÉjÉÉ BÉEÉÒ ´ÉÉ{ÉºÉÉÒ BÉEÉÒ iÉÉ®ÉÒJÉ ºÉä ABÉE àÉÉc BÉEä +ÉÆn® UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ BÉEä ÉÊ¤ÉãÉ |ÉºiÉÖiÉ xÉcÉÓ BÉE®iÉÉ iÉÉä +ÉÉàÉ
¤ªÉÉVÉ BÉEä +ÉãÉÉ´ÉÉ 2 1/2 |ÉÉÊiÉ¶ÉiÉ nhbº´É°ô{É ¤ªÉÉVÉ ºÉÉÊciÉ UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ BÉEÉÒ ¤ÉBÉEÉªÉÉ ®ÉÉÊ¶É BÉEÉä àÉä®ä +ÉMÉãÉä àÉÉc BÉEä ´ÉäiÉxÉ ºÉä ABÉE àÉÖ¶iÉ
àÉå ´ÉºÉÚãÉ BÉE® ÉÊãÉªÉÉ VÉÉAMÉÉ *
I do know that if I fail to produce LTC bills within one month from the date of return, the
lump-sump amount equal to the outstanding amount with general interest plus 2½%
interest as punishment will be recovered from my next month’s salary.
àÉÖZÉä ªÉc £ÉÉÒ àÉÉãÉÚàÉ cè ÉÊBÉE ªÉÉÊn àÉé ªÉÉjÉÉ {ÉÚ®ÉÒ BÉE®xÉä BÉEä {É¶SÉÉiÉÂ ÉÊxÉvÉÉÇÉÊ®iÉ +É´ÉÉÊvÉ àÉå ÉÊ¤ÉãÉ |ÉºiÉÖiÉ BÉE®xÉä àÉå +ÉºÉ{ÉEãÉ ®ciÉÉ cÚÄ iÉÉä àÉä®ä nÉ´Éä BÉEÉä
VÉ¤iÉ BÉE® ÉÊãÉªÉÉ VÉÉAMÉÉ *
I do know that if I fail to produce bills after completing the journey my claim will be
confiscated.
àÉé ªÉc £ÉÉÒ ºÉàÉZÉiÉÉ cÚÄ ÉÊBÉE ªÉÉÊn UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ º´ÉªÉÆ BÉEä ÉÊãÉA cÉÒ ãÉÉÒ MÉ<Ç cè iÉÉä =ºÉBÉEÉÒ |ÉÉÊiÉ{ÉÚÉÌiÉ BÉEä´ÉãÉ ÉÊBÉEºÉÉÒ |ÉBÉEÉ® BÉEÉÒ UÖ]Â]ÉÒ ãÉäBÉE®
BÉEÉÒ MÉ<Ç ªÉÉjÉÉ BÉEä ÉÊãÉA cÉÒ BÉEÉÒ VÉÉAMÉÉÒ * BÉEä´ÉãÉ ºÉ{iÉÉc BÉEä +ÉÆiÉ àÉå +ÉÉxÉä ´ÉÉãÉÉÒ UÖÉÊ]Â]ªÉÉå/+ÉxªÉ UÖÉÊ]Â]ªÉÉå/BÉEä´ÉãÉ |ÉÉÊiÉ¤ÉÆÉÊvÉiÉ UÖÉÊ]Â]ªÉÉå BÉEä nÉè®ÉxÉ
BÉEÉÒ MÉ<Ç ªÉÉjÉÉ BÉEÉÒ ãÉÉMÉiÉ BÉEÉÒ |ÉÉÊiÉ{ÉÚÉÌiÉ xÉcÉÓ cÉäMÉÉÒ *
I do understand that if LTC is taken for self, it will be reimbursable only if I take leaves of
any type. The cost of visit during weekend holidays/other holidays/restricted holidays
only will not be reimbursable.
cºiÉÉFÉ® ................................
Signature
{ÉnxÉÉàÉ ................................
Designation
493
UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ {Éä¶ÉMÉÉÒ BÉEÉÒ ®ÉÉÊ¶É ÉÊxÉvÉÉÇÉÊ®iÉ BÉE®xÉä BÉEä ÉÊãÉA {ÉÉÊ®BÉEãÉxÉ
Calculation to determine the amount of LTC
1. ªÉÉjÉÉ gÉähÉÉÒ +ÉlÉ´ÉÉ |ÉºiÉÉÉÊ´ÉiÉ gÉähÉÉÒ ÉÊVÉºÉàÉå BÉEàÉÇSÉÉ®ÉÒ ªÉÉjÉÉ BÉE®xÉÉ SÉÉciÉÉ cè
VÉÉä £ÉÉÒ BÉEàÉ cÉä, BÉEä uÉ®É VÉÉxÉä A´ÉÆ +ÉÉxÉä BÉEÉ ®äãÉ BÉEÉ ÉÊBÉE®ÉªÉÉ *
To and fro fare by Class of journey or proposed

class in which the employee wants to travel
whichever is less.
2. {ÉÉjÉ BªÉÉÎBÉDiÉªÉÉå BÉEä ÉÊ]BÉE]Éå BÉEÉÒ ºÉÆJªÉÉ ÉÊVÉºÉBÉEä ÉÊãÉA {Éä¶ÉMÉÉÒ cäiÉÖ +ÉÉ´ÉänxÉ
ÉÊBÉEªÉÉ MÉªÉÉ cè *
No. of eligible person for whom advance applied.
3. BÉEàÉÇSÉÉ®ÉÒ BÉEÉä |ÉÉÊiÉ{ÉÚÉÌiÉ BÉEÉÒ VÉÉxÉä ´ÉÉãÉÉÒ ®ÉÉÊ¶É (1X2)
Amount to be reimbursed to the employee.
4. OÉÉÿªÉ {Éä¶ÉMÉÉÒ BÉEÉÒ ®ÉÉÊ¶É 3 µÉE0 ºÉÆ. àÉå nÉÒ MÉ<Ç ®ÉÉÊ¶É BÉEÉ 80 |ÉÉÊiÉ¶ÉiÉ
Amount of payable advance –80% of the amount

given in Sl. No. 3
494
|ÉàÉÉÉÊhÉiÉ ÉÊBÉEªÉÉ VÉÉiÉÉ cè ÉÊBÉE ºÉä´ÉÉ {ÉÖÉÎºiÉBÉEÉ àÉå +ÉÉ´É¶ªÉBÉE |ÉÉÊ´ÉÉÎ-] BÉE® ãÉÉÒ MÉ<Ç cè *
Certified that necessary entry has been maid in the service book.
|É¤ÉÆvÉBÉE (|É¶ÉÉºÉxÉ)/ àÉcÉ|É¤ÉÆvÉBÉE (|É¶ÉÉºÉxÉ)
Manager (Admn.)/General Manager (Admn.)
ºÉÆº´ÉÉÒBÉßEÉÊiÉ YÉÉ{ÉxÉ
SANCTION
UÖ]Â]ÉÒ ªÉÉjÉÉ ÉÊ®ªÉÉªÉiÉ {Éä¶ÉMÉÉÒ BÉEÉÒ ºÉÆº´ÉÉÒBÉßEÉÊiÉ
SANCTION FOR LTC ADVANCE
gÉÉÒ/gÉÉÒàÉiÉÉÒ/BÉÖEàÉÉ®ÉÒ.................................. BÉEÉä =ºÉBÉEä º´ÉªÉÆ A´ÉÆ =ºÉBÉEä {ÉÉÊ®´ÉÉ® BÉEä ºÉnºªÉÉå uÉ®É .................. JÉhb ´É-ÉÇ
BÉEä ÉÊãÉA ................. (MÉßcxÉMÉ®/£ÉÉ®iÉ §ÉàÉhÉ BÉEÉ ºlÉÉxÉ) BÉEä ÉÊãÉA °ô0 .............. (àÉÉjÉ.......................) BÉEÉÒU Ö]Â]ÉÒ ªÉÉjÉÉ
{Éä¶ÉMÉÉÒ àÉÆVÉÚ® BÉE®xÉä BÉEÉÒ ºÉÆº´ÉÉÒBÉßEÉÊiÉ |ÉnÉxÉ BÉEÉÒ VÉÉiÉÉÒ cè *
Mr./Mrs./Ms------------------------------ is hereby sanctioned LTC advance of Rs. --------------- (Rs.---

-------------only) for block year ------------------ (Home town/Place of visit in India) for him/her self
and members of family.
|É¤ÉÆvÉBÉE (ÉÊ´ÉkÉ)
Manager (Finance)
495
भारतीर् रािरीर् राजमार्ा प्राधिकरण
NATIONALHIGHWAYSAUTHORITYOFINDIA
स्थानातरण के धलए र्ात्रा भत्ता धबल
TRAVELLING ALLOWANCE BILL FOR TRANSFER
भार् क
(कमा चारी द्वारा भरा जाना है )
PART–A
(To be filled up by Employee)
1. नाम/Name -
2. पदनाम -
3. स्थानातरण के समर् वेतन
Payatthetimeoftransfer/travel -
4. मु ख्यालर्/Headquarter -
(a) पुराना/Old
(b) नर्ा/new
5. अवसीर् पता -
ResidentialAddress
(a) पुराना/Old
(b) नर्ा/New
6. स्थानां तरण की तारीि को कुटु म्ब के सदस्ों की धवधशिर्ाूँ -
Particularsofthemembersofthefamilyasonthedateofthetransfer
496
क्रं संख्या नाम आर्ु सरकारी सेवक से संबंि
Sl॰ no॰ Name Age RelationshipwiththeGo

vernment
7.कमाचारी और साथ ी उसके कुटु म्ब के सदस्ों के द्वारा की र्ई र्ात्रा (र्ात्राओं) के ब्यौरे
Detailofjourney (s)performedbyemployeeaswellasmembersofhis/herfamily
497
प्रसथान आर् र्ात्रा के प्रकार और उपर्ोर् की र्ई भाड़ों संदत सड़क मार्ा से दक.मी.
मन श्रेणी की भाड़ा
Departur में दू री
संख्या
e Arriv Modeoftravelandclassofacco FarePa
al mmodation id DistanceinKmbyR
No.off
oad
ares
तारीख एवं से तारीख एवं समर् तक

समर्
From DateandTime To
Dateand
Time
1 2 3 4 5 6 7 8
498
8. उस/उन र्ात्रा/र्ात्राओं की धवधशधिर्ाूँ धजनके धलए सरकारी सेवक ने उस श्रे णी से धजसका वह हकदार है
उच्चतर श्रे णी की पास सुधविा का उपर्ोर् धकर्ा है ।
Particularsofjourney
(s)forwhichhigherclassofaccommodationthantheonetowhichtheGovernmentservantisentitl
edwas used.
स्थानों के नाम वाहन का प्रकार र्ह श्रे णी धजसके उस श्रे णी धजससे र्ात्रा उस श्रे णी
धजसका उपर्ोर् धकर्ा धलए हकदार है की है का र्ात्रा
NameofPlaces
र्र्ा है धजसका वह
Classtowhichentitled Classtowhichtravelling
हकदार है
Modeofconveyanceused
Fareentitled
Rs.Ps.
तारीि
से तक
Date
From To
499
र्धद उच्चतर श्रे णी की पास सुधविा में की र्ई र्ात्रा/र्ात्राएं सक्षम प्राधिकारी के अनु मोदन से की र्ई है तो मं जूरी और
तारीि धलिें ।
Ifthejourneybyhigherclassofaccommodationhasbeenperformedwiththeapprovalofthecompetenta
uthority. No.anddateofthesanctionmaybequoted.
9. रे ल से जुड़े स्थानों के बीच सड़क से की र्ई र्ात्रा/र्ात्राओं के ब्योरे ।

Detailsofjourney (s)performedbyroadbetweenplacesconnectedbyrail.
स्थानों के नाम संवत भाड़ा

NameofPlaces
रूपर्े पैसे
तारीि RupeesPaise
Date
से तक
From To
500
10. व्यक्तिर्त चीज विु के पररवहन प्रकार (िन रसीदें संलग्न करें )
Transportchargesofpersonaleffects (Moneyreceipttobeattached)
क्र्म सं धदनां क प्रकार स्थान भार धक० ग्रा० दर राधश धटप्पणी
Sl.No. Date Mode Station में Rate Amount Remarks
WeightinKgs.
से तक
From To
1.
2.
3.
4.
5.
6.
कुल/Total_______
ब्यक्तिर्त वाहन के पररवहन प्रभार (िन रसीदें संलग्न करें )
Transportchargesofpersonalconveyance: (Moneyreceipttobeattached:
(क) पररवहन का प्रकार और वह स्थान धजस तक पररवहन धकर्ा र्र्ा

Modeoftransportandstationtowhichtransported
(ख) राधश
Amount:
11. ली र्ई अधग्रम की राधश, र्धद कोई है ।

Amountofadvanceifany,drawn.
501
प्रमाधणत धकर्ा जाता है धक उपरोि जानकारी मेरे सवोत्तम ज्ञान और धवश्वास के अनु सार सत्य है ।
Certifiedthattheinformation,asgivenaboveistruetothebestofmyknowledgeandbelief.
तारीि/Date कमा चारी के हत्साक्षर

SignatureoftheEmployer
502
NATIONAL HIGHWAYS AUTHORITY OF INIDIA

nÉèè®ä BÉEä ÉÊãÉA ªÉÉjÉÉ £ÉkÉÉ ÉÊ¤ÉãÉ
TRAVELLING ALLOWANCE BILL -FOR TOURS
£ÉÉMÉ-BÉE
(BÉEàÉÇSÉÉ®ÉÒ uÉ®É £É®É VÉÉxÉÉ cè )
PART-A
(To be filled by Employee)
1. xÉÉàÉ / Name -
2. {ÉnxÉÉàÉ/ Designation -
3. ´ÉäiÉxÉ / Pay -
(indicate whether under CDA Pattern or under IDA Pattern )
4. +ÉÉÊOÉàÉ ®BÉEàÉ (]ÉÒ.A.) +ÉMÉ® BÉEÉä<Ç ÉÊãÉªÉÉ cè
Amount of TA Advance Drawn if Any -
5. àÉÖJªÉÉãÉªÉ / Headquarters -
6. BÉEÉÒ MÉ<Ç ªÉÉjÉÉ/ªÉÉjÉÉ+ÉÉäÆ BÉEä ¤ªÉÉè®ä +ÉÉè® |ÉªÉÉäVÉxÉ :
DETAILS AND PURPOSE OF JOURNEY :

|ÉºlÉÉxÉ/ Departure +ÉÉMÉàÉxÉ/ Arrival ªÉÉjÉÉ BÉEÉ ºÉÉvÉxÉ +ÉÉè® |ÉnkÉ ªÉÉjÉÉÒ £ÉÉ½É °ô0 ªÉÉjÉÉ BÉEÉ |ÉªÉÉäVÉxÉ
gÉähÉÉÒ
503
iÉÉ®ÉÒJÉ ºÉä iÉÉ®ÉÒJÉ iÉBÉE Mode of travel ºÉ½BÉE àÉÉÒãÉ BÉDªÉÉ ÉÊ]BÉE]å AxÉ ASÉ
+ÉÉè® +ÉÉè® ºÉàÉªÉD and class of £ÉkÉä BÉEä ÉÊãÉA A +ÉÉ<Ç uÉ®É ãÉÉÒ
ºÉàÉªÉ accomodation nÚ®ÉÒ ÉÊBÉE àÉÉÒ àÉå MÉ<Ç/+ÉÉÊvÉBÉEÉ®ÉÒ uÉ®É
Date
Date & Fare Paid Purpose of
&
Time Journey
Time Rs.
To Distance Whether
From
in Kms. tickets
For road arranged by
mileage NHAI or by
officer
himself
7. =ºÉ/=xÉ ªÉÉjÉÉ/ªÉÉjÉÉ+ÉÉäÆ BÉEÉ ¤ªÉÉè®É ÉÊVÉºÉàÉå/ÉÊVÉxÉàÉå BÉEàÉÇSÉÉ®ÉÒ xÉä +É{ÉxÉÉÒ {ÉÉjÉiÉÉ ºÉä =SSÉiÉ® gÉähÉÉÒ àÉä ªÉÉjÉÉ BÉEÉÒ :-
Details of Journey(s) for which higher class of accomodation than the one to which the
Employee is entitled was used.ªÉÉjÉÉ £ÉkÉÉ nÉ´Éä BÉEÉ ÉÊxÉ{É]ÉxÉ °ô{ÉªÉä BÉEä ÉÊãÉA ÉÊBÉEªÉÉ MÉªÉÉ cè *
iÉÉ®ÉÒJÉ ºlÉÉxÉÉå BÉEÉ xÉÉàÉ / Name ´ÉÉcxÉ BÉEÉ |ÉBÉEÉ® ´Éc ´ÉMÉÇ ÉÊVÉºÉBÉEÉ ´Éc ´ÉMÉÇ ÉÊVÉºÉàÉå =ºÉ ´ÉMÉÇ BÉEÉ =SSÉiÉ® gÉähÉÉÒ àÉä
of Places ÉÊVÉºÉBÉEÉ ={ÉªÉÉäMÉ cBÉEnÉ® cè ªÉÉjÉÉ BÉEÉÒ cè ªÉÉjÉÉ £ÉÉ½É ªÉÉjÉÉ BÉE®xÉä BÉEÉ
ÉÊBÉEªÉÉ MÉªÉÉ cè ÉÊVÉºÉBÉEÉ cBÉEnÉ® BÉEÉ®hÉ
cè
504
ºÉä / iÉBÉE / Class in Fare of the Reason

which entitled for
From To Class to travelled class Travelling
which in Higher
Mode of entitled
conveyanc class
Date e used
8. ªÉÉÊn =SSÉiÉ® gÉähÉÉÒ àÉå BÉEÉÒ MÉ<Ç ªÉÉjÉÉ/ªÉÉjÉÉªÉå ºÉàÉFÉ |ÉÉÉÊvÉBÉEÉ®ÉÒ BÉEä +ÉxÉÖàÉÉänxÉ ºÉä BÉEÉÒ MÉ<Ç cè/cé iÉÉä +ÉxÉÖàÉÉänxÉ ºÉÆ0 +ÉÉè® iÉÉ®ÉÒJÉ BÉEÉ
=ããÉäJÉ BÉE®å *
If the journey(s) by higher class accomodation has been performed with the approval of the
competent authority, Number and date of the sanction may be quoted.
9. ®äãÉ ºÉä VÉÖbä ºlÉÉxÉÉå BÉEä ¤ÉÉÒSÉ ºÉ½BÉE ºÉä BÉEÉÒ MÉ<Ç ªÉÉjÉÉ/ªÉÉjÉÉ+ÉÉäÆ BÉEä ¤ªÉÉè®ä
Details of journey(s) performed by road between places connected by rail
ºlÉÉxÉÉå BÉEÉ xÉÉàÉ / Name of places |ÉnkÉ £ÉÉ½É / ]ÅäxÉ ºÉä ªÉÉjÉÉ xÉ
BÉE®xÉä BÉEÉ BÉEÉ®hÉ
iÉÉ®ÉÒJÉ/ ºÉä/ IÉBÉE/
Reason for
From To Fare paid not travelling
in train
Date °ô0/Rs.
505
10(i) ªÉÉÊn c´ÉÉ<Ç ªÉÉjÉÉ BÉEÉÒ MÉ<Ç cè iÉÉä BÉDªÉÉ ABÉDºÉSÉåVÉ ´ÉÉ=SÉ® BÉEÉªÉÉÇãÉªÉ uÉ®É ={ÉãÉ¤vÉ BÉE®ÉªÉÉ MÉªÉÉ cè cÉÄ/xÉcÉÒ
Please indicate whether the exchange voucher arranged by office

Yes/No
(ii) ªÉÉÊn ´ÉÉ=SÉ® BÉEÉªÉÉÇãÉªÉ uÉ®É ={ÉãÉ¤vÉ xÉcÉÒ BÉE®ÉªÉÉ MÉªÉÉ cè iÉÉä ÉÊBÉEºÉxÉä ÉÊ]BÉE]Éå/ABÉDºÉSÉåVÉ ´ÉÉ=SÉ® ={ÉãÉ¤vÉ BÉE®ÉªÉÉ
If the voucher was not arranged by office, who arranged the tickets / exchange
voucher.
11. BÉEÉªÉÇºlÉãÉ ºÉä ÉÊxÉàxÉÉÊãÉÉÊJÉiÉ BÉEÉ®hÉ ºÉä +ÉxÉÖ{ÉÉÎºlÉiÉ ®cxÉä BÉEÉÒ iÉÉ®ÉÒJÉ
Dates of absence from place of duty on account of
(BÉE) +ÉÉ® ASÉ +ÉÉè® ºÉÉÒ0AãÉ0/ R.H. and C.L.
(JÉ) ¶ÉÉÊxÉ´ÉÉ®/®ÉÊ´É´ÉÉ® iÉlÉÉ +ÉxªÉ +É´ÉBÉEÉ¶É *
(b) Saturday/Sunday and other holidays.
12. ´Éä iÉÉ®ÉÒJÉå ÉÊVÉxÉàÉå ®ÉVªÉ ªÉÉ ®ÉVªÉ ÉÊxÉÉÊvÉ ºÉä ÉÊ´ÉkÉ{ÉÉäÉÊ-ÉiÉ ÉÊBÉEºÉÉÒ ºÉÆMÉ~xÉ uÉ®É àÉÖ{ÉDiÉ £ÉÉäVÉxÉ +ÉÉè®/ªÉÉ +ÉÉ´ÉÉºÉ ={ÉãÉ¤vÉ BÉE®ÉªÉÉ MÉªÉÉ
Date(s) on which free boarding and/or lodging provided by the state or any
organisation financed by State funds.
(BÉE) BÉEä´ÉãÉ £ÉÉäVÉxÉ/ Boarding only
(JÉ) BÉEä´ÉãÉ +ÉÉ´ÉÉºÉ/ Lodging only
(MÉ) £ÉÉäVÉxÉ +ÉÉè® +ÉÉ´ÉÉºÉ/ Boarding & Lodging
13. ÉÊVÉxÉ àÉÉàÉãÉÉå àÉå cÉä]ãÉ/ÉÊxÉªÉiÉ n® {É® +ÉÉ´ÉÉºÉ ={ÉãÉ¤vÉ BÉE®ÉxÉä ´ÉÉãÉä |ÉÉÊiÉ-~ÉxÉÉå àÉå ~c®xÉä BÉEä ÉÊãÉA =SSÉiÉ® n® {É® nèÉÊxÉBÉE £ÉkÉä BÉEÉ nÉ´ÉÉ
ÉÊBÉEªÉÉ VÉÉiÉÉ cè, =xÉàÉå cÉä]ãÉ ®ºÉÉÒn +ÉÉÉÊn BÉEä ºÉÉlÉ ¤ªÉÉè®É |ÉºiÉÖiÉ ÉÊBÉEªÉÉ VÉÉA *
Particulars to be furnished alongwith hotel receipt etc. in cases where higher rate of D.A.
is claimed for stay in hotel/other establishments providing lodging at scheduled tarrifs -
506
~c®xÉä BÉEÉÒ +É´ÉÉÊvÉ/ cÉää]ãÉ BÉEÉ xÉÉàÉ/ cÉä]ãÉ +ÉÉ´ÉÉºÉ BÉEÉÒ BÉÖEãÉ |ÉnkÉ ®BÉEàÉ
nèÉÊxÉBÉE n®
Period of stay Total amount
paid
ºÉä iÉBÉE Name of Hotel /
Establishment Daily rate for
FROM To lodging
14. |ÉàÉÉÉÊhÉiÉ ÉÊBÉEªÉÉ VÉÉiÉÉ cè ÉÊBÉE àÉé £ÉÉ®É®É|ÉÉ BÉEä ÉÊxÉªÉàÉÉå BÉEä àÉÖiÉÉÉÊ¤ÉBÉE ={É®ÉäBÉDiÉ ´ÉÉÌhÉiÉ cÉä]ãÉ +ÉÉ´ÉÉºÉ ºÉÖÉÊ´ÉvÉÉ BÉEÉ ãÉÉ£É =~ÉxÉä BÉEÉ
cBÉEnÉ® cÚÆ +ÉÉè® ={É®ÉäBÉDiÉ VÉÉxÉBÉEÉ®ÉÒ àÉä®ä ºÉ´ÉÉæiÉàÉ YÉÉxÉ +ÉÉè® ÉÊ´É¶´ÉÉºÉ BÉEä +ÉxÉÖºÉÉ® ºÉcÉÒ cè *
Certified that hotel accommodation availed is within my entitlement as per NHAI rules and
information given above is true to the best of my knowledge and belief.
BÉEàÉÇSÉÉ®ÉÒ BÉEä cºiÉÉFÉ®

Signature of the Employee
iÉÉ®ÉÒJÉ/Date
507
£ÉÉMÉ-JÉ (BÉEÉªÉÉÇãÉªÉ uÉ®É £É®É VÉÉxÉÉ cè )
PART-B (To be filled by Office)
ªÉÉjÉÉ £ÉkÉä cäiÉÖ ´ÉÉºiÉÉÊ´ÉBÉE {ÉÉjÉiÉÉ BÉEÉ ¤ªÉÉè®É ÉÊxÉàxÉ |ÉBÉEÉ® cè *

The net entitlement on account of travelling allowance works out to as detailed below:-
(BÉE) ®äãÉ/´ÉÉªÉÖªÉÉxÉ/¤ÉºÉ/º]ÉÒàÉ® ªÉÉjÉÉ £ÉÉ½É
(a) Railway/air/bus/steamer fare Rs________
(JÉ . . . . . . . . . . . . .ÉÊBÉE.àÉÉÒ. BÉEä ÉÊãÉA ºÉ½BÉE
àÉÉÒãÉ £ÉkÉÉ |ÉÉÊiÉ ÉÊBÉE.àÉÉÒ. BÉEÉÒ n® ºÉä
(b) Road mileage for ………………kms. @ Rs_______/Km. Rs________
(c) (MÉ) nèÉÊxÉBÉE £ÉkÉÉ / Daily allowance
(i) ….ÉÊnxÉ/Days @ Rs….…°ô0 |ÉÉÊiÉ ÉÊnxÉ BÉEÉÒ n® ºÉä /pd Rs________
(ii) ….ÉÊnxÉ/Days @ Rs…….°ô0 |ÉÉÊiÉ ÉÊnxÉ BÉEÉÒ n® ºÉä /pd Rs________
(iii) ….ÉÊnxÉ/Days @ Rs…….°ô0 |ÉÉÊiÉ ÉÊnxÉ BÉEÉÒ n® ºÉä /pd Rs________
(d) (PÉ)´ÉÉºiÉÉÊ´ÉBÉE BªÉªÉ / Actual expenses Rs________
_______________
BÉÖEãÉ ®ÉÉÊ¶É / GROSS AMOUNT Rs…….…..…..
´ÉÉ=SÉ® ºÉÆ0 . . . . . . . . . . . . . iÉÉ®ÉÒJÉ. . . . . . . . . BÉEä uÉ®É ÉÊãÉA
MÉA ªÉÉjÉÉ +ÉÉÊOÉàÉ,ªÉÉÊn BÉEÉä<Ç cÉä,BÉEÉä PÉ]ÉBÉE® *
(e) Less amount of T.A. advance If any, drawn vide
voucher No………… dated ……………..
Rs………………
BÉÖEãÉ ®BÉEàÉ / Nett amount Rs…….…
+ÉÉc®hÉ +ÉÉè® ºÉÆÉÊ´ÉiÉ®hÉ +ÉÉÊvÉBÉEÉ®ÉÒ BÉEä cºiÉÉFÉ®

Signature of DDO
ÉÊnxÉÉÆBÉE/Dated ……….
____________________________________________________________________________
ºlÉÉxÉÉxiÉ®hÉ ªÉÉjÉÉ £ÉkÉÉ nÉ´Éä BÉEÉ ÉÊxÉ{É]ÉxÉ
Settlement Memo of Transfer TA Claim
+ÉÉÊOÉàÉ BÉEÉ ºÉàÉÉªÉÉäVÉxÉ BÉE®xÉä BÉEä ¤ÉÉn gÉÉÒ BÉEä ºlÉÉxÉÉxiÉ®hÉ ªÉÉjÉÉ £ÉkÉÉ nÉ´Éä BÉEÉ ÉÊxÉ{É]ÉxÉ
°ô{ÉªÉä BÉEä ÉÊãÉA ÉÊBÉEªÉÉ MÉªÉÉ cè *
Transfer TA claim of Shri ………………………………………has been settled for Rs…………
and after adjusting advance of Rs………°ô{ÉªÉä BÉEÉÒ ÉÊxÉ´ÉãÉ ®ÉÉÊ¶É BÉEÉ £ÉÖMÉiÉÉxÉ ÉÊBÉEªÉÉ VÉÉxÉÉ cè/´ÉÉ{ÉºÉ ãÉÉè]É<Ç VÉÉxÉÉÒ cé *
net amount payable/refundable is Rs…………
508
ãÉäJÉÉ +ÉÉÊvÉBÉEÉ®ÉÒ
DDO
सेवा में, धदनां क ____________
श्री आशीष हां डा,

ब्रां च मै नेजर (र्ुड़र्ाूँ व)
मैससा बाल्मर िारी एं ि कंपनी दिदमटे ि,
चतुथा तल, वेल्डन टे क पाका, सैक्टर-48, टावर-डी,
सोहना रोड, र्ुड़र्ाूँ व-122002, हररर्ाणा
टे लीफ़ोन : 0124-4798135/36
फ़ैक्स: 0124-4798172
मोबाइल संख्या: 9810121529
Customer care No. 1800-200-23000 (24 hrs.)
Customercareno. 1800-180-1407(AirIndia)
email:- blgurugram@gmail.com, handa.a@balmerlawrie.com
दवषर्: श्री श्रीमती/______________________, पद__________________, उम्र _____ वषा,

भा े तु। बु दकंर् दटकट वार्ुर्ान में पक्ष के प्रा.रा.रा.
महोदर्,
कृपर्ा उपरोिआधिकारी के पक्ष में उपलि प्रधतदे र्कम धकरार्ा )available refundable low fare)के
वार्ुर्ान धटकट (इकॉनमी क्लास) नीचे धदए र्ए धववरणकेअनु सार बुक करें :-
धदनां क फ्लाइट संख्या/ से/ From तक/ To

/Date Flight No.
2. उपरोि धटकट ईमे लद्वारा_________________________परभे जधदर्ा जार्। धकसी भी स्पिीकरण के

धलए संबंधित अधिकारी से उनके मोबाइलसंख्या दू रभाष/:_________________________पर संपका करें ।
509
भवदीर्
(कुमार र्ोर्ेन्द्र)
प्रबन्धक (प्रशासन)
सेवा में, धदनां क ____________
श्री आशीष हां डा,

ब्रां च मै नेजर (र्ुड़र्ाूँ व)
मैससा बाल्मर िारी एं ि कंपनी दिदमटे ि,
चतुथा तल, वेल्डन टे क पाका, सैक्टर-48, टावर-डी,
सोहना रोड, र्ुड़र्ाूँ व-122002, हररर्ाणा
टे लीफ़ोन : 0124-4798135/36
फ़ैक्स: 0124-4798172
मोबाइल संख्या: 9810121529
Customer care No. 1800-200-23000 (24 hrs.)
Customercareno. 1800-180-1407(AirIndia)
email:- blgurugram@gmail.com, handa.a@balmerlawrie.com
दवषर्: वार्ुर्ान दटकट रद्दीकरण के संबंि में।
महोदर्,
कृपर्ा नीचे धदर्े र्ए धववरण के अनु सार बुक धकए र्ए हवाई धटकट को रद्द कर धदर्ा जाए:
धदनां क फ्लाइट संख्या/ से/ From तक/ To श्रे णी/class

/Date Flight No.
2. उपरोि धटकट ईमेलद्वारा______________परभे जधदर्ा जार्एवं रद्द धकए र्ए धटकट की सूचना भी भे ज
धदर्ा जार्। धकसी भी स्पिीकरण के धलए,कृपर्ा मोबाइल/दू रभाष संख्या संख्या ्ूरभाष:_______________पर
संपका करें ।
510
भवदीर्
(कुमार र्ोर्ेन्द्र)
प्रबन्धक (प्रशासन)
Proposed Tour Programme
Departure Arrival Mode of Travel Entitled Purpose of Visit
Class
Date From Date To (bus/train/air)
Signature:
Name & Designation:
RECOMMENDED / NOT
RECOMMENDED
511
Signaure: Desgn.:
RECOMMENDED / NOT
RECOMMENDED
Signature: Desgn.:
RECOMMENDED / NOT
RECOMMENDED
Signature: Desgn.:
APPROVED / NOT APPROVED Signature: Desgn.:
Details of Tour Advance Claimed
Sl# Towards (Rs.)
01 Expenditure on travel [rail/bus/air fare]
02 Local Conveyance
03 Daily Allowance
04 Hotel Charges
05 Others (pl. specify)
Total
Sign. of claimant:
For use in Fiance Division:
Total amount of advance admissible Rs.
DDO
Recd Rs. __________ Signature ____________

512
Acknowledgement FORM – I
(To be filled by the officer reported upon and forwarded to APAR Cell)
The ACR/APAR of the undersigned for the period ______________________________

after filling Part-I and Part-II has been forwarded to Reporting Officer, Shri / Smt. / Km.
_______________________________________ (name & designation).
Signature : ________________________
Name : ________________________
Designation : ________________________
Date : ________________________
To,
Manager (Admn./HR)

513
Acknowledgement FORM – II
(To be filled by the Reporting Officer and forwarded to APAR Cell & Officer reported upon)
The ACR/APAR of Shri / Smt. / Km.

___________________________________________ (name & designation) for the period
______________________________ has been reported by the undersigned and forwarded to
Reviewing Officer, Shri / Smt. / Km. _______________________________________ (name &
designation).
Signature : ________________________
Name : ________________________
Designation : ________________________
Date : ________________________
To,
(i) Manager (Admn./HR)

(ii) Copy to the officer reported upon:
____________________________________
____________________________________
____________________________________
____________________________________
514
SUMMARY SHEET
Name of the Ratee Officer : __________________________________
Designation : __________________________________
Whether working on Regular/ : __________________________________

Deputation/ Contract basis
Period of APAR/ ACR : __________________________________
Reasons for gap, if any * : __________________________________

Reporting Officer **

Reporting Officer

Reviewing Officer **

Reviewing Officer
515
Address of Ratee Officer with PIN : __________________________________

Code at which the intimation copy is
__________________________________
required to be sent
__________________________________
Telephone No. (With STD code) : __________________________________
Cell No. : __________________________________
E-mail ID : __________________________________
Name and address of the officer in : __________________________________

parent department to whom the
__________________________________
ACR/ APAR is required to be
forwarded (in case of deputationist) __________________________________
* In case there is any gap in the ACR/ APAR period due to being under posting/ leave or
any other reason, please indicate here.
** In case there are more than more reporting/ reviewing officers during the year, please
indicate the names, designation and period for which worked under
them.
516
प्रपत्र –8/ Form - 8

____________________________________________________________________________
सं धवदा आिार पर कार्ा रत धवत्त धवभार् के कमा चाररर्ों हे तु वाधषा क कार्ा धनष्पादन मू ल्ां कन ररपोटा का प्रपत्र
FORM OF ANNUAL PERFO RMANCE APPRAISAL REPORT FOR FINANCE PERSONNEL

W ORKING ON CONTRACT BASIS
___________________________________________________________________________
NAME OF THE OFFICER : ________________________________
{Én
DESIGNATION : ________________________________
REPORT FOR THE YEAR/
PERIOD ENDING : ________________________________

517
PLACE OF POSTING : ________________________________

2. Date of Birth :

of appointment. :
´ÉäiÉxÉàÉÉxÉ
°ô.
4 Scale of Pay : :
Rs.

´É-ÉÇ
Examination Passed University/Institute Percentage of
Year of Marks
Passing
518
BªÉÉ´ÉºÉÉÉÊªÉBÉE ºÉÆMÉ~xÉ(xÉÉå) BÉEÉÒ ºÉnºªÉiÉÉ ªÉÉÊn BÉEÉä<Ç cè
6. Membership of professional
Organization(s) if any.
BªÉÚ]ÉÒ ºÉä +ÉxÉÖ{ÉÉÎºlÉÉÊiÉ BÉEÉÒ +É´ÉÉÊvÉ (´É-ÉÇ BÉEä nÉè®ÉxÉ/ÉÊ®{ÉÉä]Ç BÉEÉÒ +É´ÉÉÊvÉ àÉå UÖ]Â]ÉÒ, |ÉÉÊ¶ÉFÉhÉ +ÉÉÉÊn)
7. Period of absence :
from duty (on leave,
training etc. during
the year/period under
report.
र्धद अधिकारी ने कोई प्रधशक्षण प्राप्त धकर्ा है,तो कृप्या उसका ब्योरा दें
8. If the officer has undergone any training, please specify:
BÉEÉªÉÇµÉeàÉ ÉÊVÉºÉàÉå £ÉÉMÉ ÉÊãÉªÉÉ MÉªÉÉ +É´ÉÉÊvÉ ºÉÆºlÉÉxÉ
Programme Attended Duration Institute
9. gÉähÉÉÒ (BÉEß{ÉªÉÉ ÉÊSÉxc ãÉMÉÉAÆ) : +ÉxÉÖ.VÉÉ. +ÉxÉÖ. +É.ÉÊ{É.´É. +ÉxªÉ

VÉ.VÉÉ.
Category (Please tick) SC OBC Others
ST
519
भार्-II
PART-II
स्‍व-मूल्‍र्ांकन/Self-Appraisal
(धजस अधिकारी की ररपोटा धलिी जा रही है उसके द्वारा भरा जाए; इस उद्दे शर् हे तु काई अधतररकत पन्ने का उपर्ोर्
नहीं धकर्ा जाना है ।

520
2. जो लक्षर्/उद्दे शर्/धर्ेर् र्ा कार्ा आपके धलए धनिाा ररत धकए र्ए हों र्ा जो आपने स्वर्ं अपने धलए धनिाा ररत धकए
हों (पररणाम/मात्रा र्ा अन्र् रूप में ) का धवशे ष रूप से उललेि करें ; प्राथधमकता के आिार पर कार्ा की आठ-
दस मदें और हर एक के बाबत उपनी उपलक्ति का धववरण दें ।(उदाहरणाथा , आपके प्रभार् के धलए वाधषा क
कार्ा-र्ोजना)

Division).
लक्षर्/उद्दे शर्/धर्ेर् उपलक्तिर्ॉं
Targets/objectives/goals
Achievements
521
3. (क) कृपर्ा कॉलम 2 में बताए र्ए लक्षर्ों/उद्दे शर्ों/धर्ेर्ों के संदभ में न्र्ूनताओं का संक्षेप में उललेि करें । र्धद
उनकी प्राक्तप्त में कोई बािाएं रहीं हों, तो उनका भी उलले ि करें ।
(ि) र्धद कोई ऐसे कार्ाक्षेत्र हों धजनमें धवशेष तौर पर उचचतर उपलक्तिर्ॉं रही हों, तो उनका तथा उनमें
अपने र्ोर्दान का उललेि करें ।
4. कृपर्ा बताएं धक कर्ा पूवावती कैले णडर वषा की अचल संपधत्त की वाधषा क धववरणी उततरवती वषा की 31
जनवरी तक दजा करा दी र्ई थी। र्धद नहीं, तो धववरण दजा कराने की धतधथ इं धर्त करें ।
Please state if the Annual Return for immovable property for the preceding calendar
year was filled up by 31st January of the succeeding year. If not, indicate the date of
filing the same.
cÉÄ xÉcÉÓ
Yes No ªÉÉÊn cÉÄ, |ÉºiÉÖiÉ BÉE®xÉä BÉEÉÒ iÉÉ®ÉÒJÉ

522
If Yes, date of Submission _______________________
5. कृपर्ा बताएं धक कर्ा आपके अिीन कार्ारत अधिकाररर्ों/िाफ, र्धद कोई है, से संबंधित इस वषा 31 माचा
तक की एवं धपछले वषों की ररपोटा वा0 का0 मू 0 रर0 पर संलगन धनदिे शों के अनु लगनक III में इं धर्त धतधथर्ों
के भीतर भरकर सक्षम प्राधिकारी को भे ज दी र्ई हैं ।
Please state whether Reports of officers/staff, if any, working under you for the
period ending 31 Mar of this year and for the previous years have been completed
and forwarded to the Competent Authority by the due dates as indicated in
Annexure-III to the Instructions on APAR.
हस्ताक्षर/Signature : _____________________________
धदनां क/ Date : _____________________________
कार्ाा लर्/ Office : _____________________________
दू रभाष/ Tele : _____________________________

523
भार्- III
PART-III
मू लर्ां कन पत्रक/RATING SHEET
1.
ररपोधटिं र् अधिकारी/ Reporting पुनरीक्षण अधिकारी/Reviewing Officer

Officer
नाम / Name
रैं क/पद
Rank/Designation
2. सेवा की अवधि/Length of service.
धद./ धद./ मा./ मा./ वषा / वषा / धद./ धद./ मा./ मा./ वषा / वषा /
D D M M Y Y D D M M Y Y
से/
ररपोधटिं र् अधिकारी के TO
Reporting Officer
पुनरीक्षण अधिकारी के
Reviewing Officer
524
3. ‘कार्ा-धनषपादन’ का मू लर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 40 प्रधतशत होर्ा।

Assessment of ‘Work Output’ (on a scale of 1-10); weightage to this Section would
be 40%

Reviewing Reviewing
Reporting Officer * Officer
Officer
(i) धनर्ोधजत कार्ों/आवंधटत धवषर्ों के आिार पर

आवंधटत कार्ों की उपलक्ति / Accomplishment of
planned work/work allotted as per subjects
allotted
(ii) कार्ा धनषपादन की कोधट / Quality of work output
(iii) धवशलेषण-क्षमता / Analytical ability
(iv) धवधशषट कार्ा की उपलक्ति/अप्रतर्ाधशत कार्ों का

धनषपादन /
Accomplishment of exceptional work/unforeseen

tasks performed
(A) ‘कार्ा-दनष्‍पादन’ का समग्र श्रेणीकरण
Overall Grading on ‘Work Output’
[Total of (i) to (iv)/4 *0.40]

525
* - to be filled in case the Reviewing Officer do not agree with the ratings given by the Reporting
Officer/ केवल उस क्तस्थधत में भरा जाए, र्धद पुनरीक्षण अधिकारी, रे पोधटिं र् अधिकारी के मूल्ां कन से सहमत नहीं
हैं
4. ‘वर्क्तिर्त र्ुणों का मूलर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 30 प्रधतशत होर्ा।
Assessment of ‘Personal Attributes’ (on a scale of 1-10); weightage to this Section

would be 30%

Reporting Reviewing Reviewing
Officer Officer * Officer
(i) कार्ा के प्रधत दृधिकोण / Attitude to work
(ii) उततरदाधर्तव की भावना / Sense of responsibility
(iii) टीम भावना / Team spirit
(iv) संप्रेषण कौशल / Communication skills
(v) ने तृतव के र्ुण / Leadership qualities
(vi) अनु शासन बनाए रिना / Maintenance of

discipline
(vii) समर्-सीमा के अंतर्ात कार्ा करने की क्षमता /

Capacity to work in time limit
(viii) अन्तवैर्क्तिक संबंि / Inter-Personal relations

526
(B) ‘वर्क्तिर्त र्ुणों’ का समग्र श्रेणीकरण

OverallGrading on ‘Personal Attributes’
[Total of (i) to (viii)/8 *0.30]
हैं
5. ‘कार्ाक्षमता का मू लर्ां कन (1-10 के पैमाने पर); इस अंश का महतव 30 प्रधतशत होर्ा।
Assessment of ‘Functional Competency’ (on a scale of 1-10); weightage to this

section would be 30%.

Reporting Reviewing Reviewing
Officer Officer * Officer
(i) कार्ाक्षेत्र से संबंधित धनर्मों/धवधनर्मों/कार्ाप्रणाली का ज्ञान
और उनको सही तरह से लार्ू करने की र्ोगर्ता /
Knowledge of
Rules/regulations/procedures in the area of
function and ability to apply them correctly.
(ii) रणनीधतक धनर्ोजन की र्ोगर्ता / Strategic planning

ability.
(iii) धनणार् ले ने की र्ोगर्ता / Decision making ability
(iv) समन्वर् की र्ोगर्ता / Coordination ability

527
(v) अिीनस्थों को अधभप्रेररत एवं धवकधसत करने की और टीम

में काम करने की र्ोगर्ता / Ability to motivate and
develop subordinates and work in a tem
(vi) पहलशक्ति /Initiative
(C) ‘कार्ाक्षमता’ का समग्र श्रे णीकरण

Overall Grading on ‘Functional
Competency’
[Total of (i) to (vi)/6 *0.30]
हैं
6. स्वास्थर् की क्तस्थधत/State of Health :
7. अनु 0जाधत/अनु 0जनजाधत/अ0धप0व0/शा0धव0 श्रे णी के :

वर्क्तिर्ों के प्रधत रवैर्ा: (अनु 0जाधतर्ों और/र्ा अनु0
जनजाधतर्ों/अ0धप0व0/शा0धव0 और समाज के कमजोर
वर्ों के धवकास और संरक्षण के मामलों को धनपटाने वाले
अधिकाररर्ों मात्र के मामले में लार्ू)
Attitude towards people belonging to

SC/ST/OBC/PH categories:(Applicable only in
case of officers dealing with the development
and protection of people belonging to
528
SC/ST/OBC/PH categories and Weaker

Sections of the Society)
8. जनसािारण से संबंि (जहां कहीं लार्ू हो) :

/ Relations with public (wherever applicable)
9. सतर्धनषठा /Integrity
(इस कॉलम में धटपपणी धनमनधलक्तित तीन धवकलपों में से

एक होर्ी / The remarks against this column shall
be made in one of the three options mentioned
below)
(i) सन्दे ह से परे ; अथवा, :
Beyond Doubt; or,

529
(ii) मे रे संज्ञान में कोई प्रधतकूल बात नहीं आई है ; :

अथवा,
Nothing adverse has come to my notice;

or,
(iii) चूंधक अधिकारी की सतर्धनषठा में संदेह है , अत: :

एक र्ुपत धटपपणी संलगन है ।
Since the integrity of the officer is

doubtful, a Secret Note is attached herewith.
(इस कॉलम को वा0 का 0मू 0 रर0 पर धनदिे शों के अनु लगनक-II में इं धर्त धकए र्ए धदशाधनदिे शों के अनु सार भरा
जाना चाधहए /This Col. Should be filled up as per Guidelines indicated in Annexure-II to the
Instruction on APAR)
10. रूझान एवं धवकास क्षमताएं :

(कृपर्ा धवकास एवं प्रर्धत की संभाधवत धदशाओं के बारे में
सुझाव दें )
Aptitude and Potential:
(Please indicate possible lines of growth and

development of the officer)
530
11. धजस अधिकारी की ररपोटा धलिी जा रही है उसके :

उततरोततर धवकास हे तु प्रस्ताधवत प्रधशक्षण
Recommended training for further development

of the Ratee Officer reported upon.
12. ररपोधटिं र् अधिकारी द्वारा अंधकत शबद-धचत्र
(धजस अधिकारी की ररपोटा धलिी जा रही है उसका उसके समग्र र्ुणों, सामथार्, कमतर सामथार् एवं कमजारे
वर्ों के प्रधत वर्वहार सधहत वर्ापक मू लर्ां कन एवं छोटे िाने में 01 से 10 के पैमाने पर समग्र श्रे णीकरण (समग्र
श्रे णीकरण हर वर्ा के संकेतक के धलए धनर्त वेटेज के अनु पात के औसत मान के र्ोर् के आिार पर धकर्ा
जाना है )। ररपोधटिं र् अधिकारी, अधिकारी द्वारा धहन्दी में धकए र्ए प्रशं सनीर् कार्ा, र्धद कोई है, तो उस पर भी
धटप्पणी करें ।
Pen-Picture by Reporting Officer
[General assessment of the Ratee Officer including overall qualities, strengths, lesser
strengths and attitude towards weaker sections and overall grading in the smaller box
provided on a scale of 1-10 (the overall grading is to be based on addition of the mean value
of each group of indicators in proportion to the weightage assigned, i.e. total of (A) + (B) +
(C) of Column Nos.3, 4 and 5)] The Reporting Officer should also comment on
commendable work, if any, done in Hindi done by the Ratee Officer.
531
ररपोधटिं र् अधिकारी का हस्ताक्षर/
Signature of the Reporting Officer : ______________________________
धतधथ/Date: _____________
दू रभाष/Tele : ______________________________
स्थान/Place: _____________
13. पुनरीक्षण अधिकारी की धटपपधणर्ां

(कृपर्ा ररपोधटिं र् अधिकारी के द्वारा अंधकत शबद-धचत्र पर धटपपणी दें । कृपर्ा छोटे िाने में 01 से 10 के पैमाने
पर समग्र श्रेणीकरण दें । (समग्र श्रे णीकरण हर वर्ा के संकेतक के धलए धनर्त वेटेज के अनु पात के औसत
मान के र्ोर् के आिार पर धकर्ा जाना है ) ररपोधटिं र् अधिकारी द्वारा धकए र्ए मू लर्ां कन से र्धद कोई असहमधत
हों, तो कृपर्ा उसका कारण सधहत धवशे ष तौर पर उलले ि करें । धजस अधिकारी की ररपोटा धलिी जा रही है ,
र्धद वो अनु 0 जाधत/अनु 0 जनजाधत/अ0 धप0 व0/शा0 धव0 श्रेणी का है , तो कृपर्ा इस बात को धवशेष रूप से
बताएं धक कर्ा ररपोधटिं र् अधिकारी का दृधिकोण उसका मू लर्ां कन करते समर् न्र्ार्पूणा तथा उधचत रहा है।
पुनरीक्षण अधिकारी, अधिकारी द्वारा धहन्दी में धकए र्ए प्रशं सनीर् कार्ा, र्धद कोई है, तो उस पर भी धटप्पणी
करें ।
(Please give remarks on the Pen-Picture given by the Reporting Officer. Please give
overall grading in the box provided on a scale of 1-10 (the overall grading is to be based
on addition of the mean value of each group of indicators in proportion to the weightage
assigned. Also please indicate specifically the difference, if any, with the assessment
made by the Reporting Officer together with reasons therefore. If the Ratee Officer
532
belongs to SC/ST/OBC/PH category, please indicate specifically whether the

attitude of the Reporting Officer in assessing the performance of the Ratee Officer
has been fair and just. The Reviewing Officer should also comment on
commendable work, if any, done in Hindi done by the Ratee Officer)
धतधथ/Date: _____________
दू रभाष/Tele : ______________________________
वा0 का0 मू0 रर0 के दवषर् में दनदे श INSTRUCTIONS ON APAR
1. वाधषा क कार्ा मूलर्ां कन ररपोटा (वा0का0मू 0रर0) एक 1. The Annual Performance Appraisal
महतवपूणा दस्तावेज है । इसमें अधिकारी के कार्ाधनषपादन Report (APAR) is an important document.
It provides the basic and vital inputs for
तथा उसकी प्रर्धत के मूलर्ां कन के धलए मूलभू त और
assessing the performance of the officer
महतवपूणा सूचनाएं होती है । अत: अधिकारी, धजसकी
and his/her carrier. The Ratee Officer, the
ररपोटा धलिी जा रही है , ररपोधटिं र् अधिकारी एवं पुनरीक्षण Reporting Officer and the Reviewing
अधिकारी द्वारा वा0का0मू 0रर0 प्रपत्र को भरने के Officer, should, therefore, undertake the
533
कतत
ा वर् का धनवाहन उततरदाधर्तव की एक उचच भावना से duty of filling up the APAR proforma with
करना चाधहए। a high sense of responsibility.
2. वा0का0मू 0रर0 का उपर्ोर् मानव संसािन धवकास के 2. APAR is to be used as a tool for human
एक सािन के रूप में धकर्ा जाना है । ररपोधटिं र् अधिकारी resource development. Reporting
Officers should realize that the objective
को र्ह समझना चाधहए धक उद्दे शर् एक अधिकारी का
is to develop an officer so that he/she
धवकास करना है ताधक वह अपनी वास्तधवक क्षमता को
realises his/her true potential. It is not
प्रापत कर सके। र्ह एक दोषान्वेषण प्रधक्रर्ा नहीं है । meant to be a fault-finding process.
अधपतु, र्ह एक धवकासातमक प्रधक्रर्ा है । ररपोधटिं र् Instead, it is intended to be a
अधिकारी तथा पुनरीक्षण अधिकारी को उस अधिकारी, developmental one. The Reporting
धजसकी ररपोटा धलिी जा रही है , के कार्ाा धनषपादन, रवैर्ा Officer and the Reviewing Officer should
एवं समग्र वर्क्तितव की कधमर्ों का उलले ि करने में not shy away from reporting short-
comings in performance, attitude and
संकोच नहीं करना चाधहए।
overall personality of the Ratee Officer.
3. वा0का0मू 0रर0 के भार्-III के कॉलम 3, 4 तथा 5 में 3. The guidelines regarding filling up of
संखर्ातमक श्रे णीकरण करने संबंिी धदशाधनदिे श Col. Nos. 3,4 and 5 pertaining to awarding
numerical grading in PART-III of APAR
अनु लगनक- I में उक्तिक्तित हैं । ‘सतर्धनषठा’ से संबंधित
are indicated in Annexure-I. The MHA
कॉलम 9 को भरने के धलए र्ृह मं त्रालर् के धदशाधनदिे श
Guidelines for filling up of Col. No. 9,
अनु लगनक- II में इं धर्त है। relating to ‘integrity’ are indicated in
Annexure-II.
4. सभी कॉलमों को साविानी पूवाक, धर्ान से तथा पर्ाा पत 4. All the Cols. Should be filled up with
समर् लर्ा कर भरा जाना चाधहए। ररपोटा को सरसरी तौर due care and attention and after devoting
adequate time. Filling up the report in a
पर र्ा सतहे तरीके से भरा जाना वां छनीर् नहीं है । कोई
casual or superficial manner is not
भी कॉलम ररकत न छोड़ा जाना चाधहए। शबदों और
desirable. NoCol. Should be left blank.
वाकर्ां शों का चुनाव, जहां भी आवशर्क हो, Words and phrases, wherever required,
साविानीपूवाक धकर्ा जाना चाधहए और इससे ररपोटा should be chosen carefully and it should
धलिने वाले अधिकारी का मन्तवर् स्पषटरूप से प्रकट accurately reflect the intention of the
होना चाधहए। officer writing the report.
534
5. ररपोधटिं र् अधिकारी वषा के आरं भ में ऐसे हरे क अधिकारी 5. The Reporting officer shall, in the
के लक्षर् समर् के दौरान पूणा करने हे तु धनिाा ररत करे र्ा beginning of the year, assign targets for
completion during the period to each of
धजनकी ररपोटा उसके द्वारा धलिी जानी है। र्धद कोई
the officer on whom he is required to
अधिकारी ररपोटा से संबंधित वषा के दौरान एक नए पद
initiate the report. In the case of an officer
का कार्ा-भार संभालता है तो ऐसे लक्षर्/उद्दे शर्, नए taking up a new post in the course of the
कार्ाभार संभालने के समर् धनर्म धकए जाएं र्े। दोनों ही reporting year, such targets/goals shall be
अधिकाररर्ों को धनर्म लक्षर्ों/उद्दे शर्ों की जानकारी और set at the time of assumption of the new
समझ स्पषट रूप से होनी चाधहए। charge. The target/goals set should
clearly be known and understood by both
the officers concerned.
6. र्द्धधप कार्ाधनषपादन-मूलर्ां कन वषा की समाक्तप्त पर की 6. Although performance appraisal is a

जानी वाली प्रधक्रर्ा है, तथाधपत र्ह सुधनधित करने के year-end exercise, in order that it may
serve as a toll for human resource
धलए धक र्ह मानव संसािन धवकास का एक सािन बने
development, the Reporting Officer
ररपोधटिं र् अधिकारी को धनर्धमत अंतरालों पर
should at regular intervals review the
कार्ाधनषपादन की समीक्षा करनी चाधहए तथा सलाह performance and take necessary
इतर्ाधद दे ने जै से आवशर्क सुिारातमक कदम उठाने corrective steps by way of advice etc.
चाधहए।
7. मू लर्ां कन करने वाले हरे क अधिकारी का र्ह प्रर्तन होना 7. It should be the endeavour of each
चाधहए धक धजस वर्क्ति के कार्ों का मूलर्ां कन धकर्ा जा appraiser to present a correct picture, as
far as possible, of the appraisee in regard
रहा है , उसके कार्ाधनषपादन, आचरण, वर्वहार तथा
to his/her performance, conduct, behavior
क्षमता का र्था समभव सही धचत्र प्रस्तुत धकर्ा जाए।
and potential.
8. एक ही रैं क के कुछ पद दू सरों की तुलना में अधिक 8. Some posts of the same rank may be
उपसाधर् हो सकते हैं। धकसी पद में दबाव एवं तनाव more exacting than others. The degree of
stress and strain in any posts may also
समर्-समर् पर र्टता-बढता रहता है । मू लर्ां कन करते
vary from time to time. These facts should
समर् इन तथर्ों को धर्ान में रिा जाना चाधहए और
be borne in mind during appraisal and
उनपर र्थोधचत धटपपणी की जानी चाधहए। should be commented upon
appropriately.
9. वा0का0मू 0रर0 के धलए ररपोधटिं र्/पुनरीक्षण अधिकारी 9. Officer Eligible to Report/Review

की पात्रता: ररपोधटिं र्/पुनरीक्षण अधिकारी को उस APAR: Reporting/Reviewing Officer
should have at least three months
535
अधिकारी धजसकी ररपोटा धलिी जानी है , के आचरण एवं experience of observing the conduct and
कार्ा के अवलोकन का ररपोटा की अवधि के दौरान कम work of the Ratee Officer during the
APAR period.
से कम तीन माह का अनु भव होना चाधहए।
10. वा0का0मू 0रर0 का संप्रेषण- ररपोटा को संवर्ा धनर्ंत्रण 10. Communication of the contents of
प्राधिकारी को भे जने सेपहले , पुनरीक्षण अधिकारी the APAR: Before sending the APARs to
the cadre controlling Authority, the
(आशु धलधप सेवा के संबंि में ररपोधटिं र् अधिकारी) कृपर्ा
Reviewing Officer (Reporting Officer in
र्ह सुधनधित करें धक धजस अधिकारी की ररपोटा धलिी
case of Officers of Stenographers’ cadre)
र्ई है उसे ररपोटा की प्रधत दे कर उसकी पावती ले ली र्ई may kindly ensure that a copy of the
है । APAR has been given to the Ratee
Officer concerned and receipt obtained
therefore.
11. वा0का0मू 0रर0 धलिने का चैनल- ररपोधटं र्/पुनरीक्षण से 11. Channel of Reporting the APAR: The
संबंधित चैनल का समर्-समर् पर जारी धकए र्ए धनदिे शों Channel of initiating/reviewing of the
APAR should be strictly adhered to, as
के अनु सार, कड़ाई से पाल धकर्ा जाना चाधहए।
per instruction issued from time to time.
12. धवधिवत पररपूणा वा0का0मू 0रर0 को धनमनानु सार भे जा 12. The APARs duly completed are
जाना चाधहए: required to be forwarded as follows:
प्रबन्धक (म०स०) Manager (HR)
भारतीर् राधिरर् राजमार्ा प्राधिकरण National Highways Authority of India
जी-5 एवं 6, सैक्टर – 10, द्वारका G-5 & 6, Sector-10, Dwarka,
नई धदिी – 110075 New Delhi – 110075
फोन: 25074100 एक्स। 2444 Tel.25074100 Extn.2444

536
13. समर् सीमा- वा0का0मू 0रर0 को तैर्ार करने/पररपूणा 13. Time-schedule: The time-schedule
करने की समस्त कार्ावाही के धलए धनर्त समर्-सीमा for preparation/completion of all actions
pertaining to APARs is indicated in
अनु लगनक-III में इं धर्त है।
Annexure-III.
537
अनु िग्नक –I / Annexure – I
संखर्ात्‍
्‍ मक ग्रे दिर् सद त वा0का0मू0रर0 भरने के दिए GUIDELINES REAGARDING FILLING
ददशादनदे श UP APARS WITH NUMBERICAL
GRADING
(i) वा0का0मू 0रर0 के सभी कॉलमों को र्थोधचत (i) All the columns in the APAR should
साविानी, धर्ान तथा पर्ाा पत समर् लर्ा कर भरा जाना be filled up with due care and attention and
after devoting adequate time.
चाधहए।
(ii) र्ह अपेक्षा की जाती है धक (‘कार्ा-उतपादन’, (ii) It is expected that any grading of 1 or
‘वर्क्तिर्त र्ुणों’ और 2 (against ‘work output’ or ‘Personal
Attributes’ or ‘Functional Competency’ or
‘कार्ाक्षमता’ तथा समग्र श्रे णीकरण के बाबत) ‘1’ र्ा ‘2’ overall grade) would be adequately
ग्रेधडं र् शबद-धचत्र में धवशे ष तौर पर उक्तिक्तित justified in the pen-picture by way of
specific failure and, similarly, any grade of
असफलताओं के साथ पर्ाा पत रूप से तकासंर्त
9 or 10 would be justified with respect to
ठहराई जाएर्ी। इसी प्रकार, ‘9’ र्ा ‘10’ की ग्रेधडं र्
specific accomplishments. Grade of 1-2 or
धवशे ष उपलक्तिर्ों के बाबत तकासंर्त ठहराई जाएर्ी। 9-10 are expected to be rare occurrences
1-2 र्ा 9-10 ग्रेधडं र् धवरले हाने की अपेक्षा की जाती है and, hence, the need to justify them. In
और इसधलए उसे awarding a numerical grade, the reporting
and reviewing authorities should rate the
तकासंर्त ठहराने की आवशर्कता है । संखर्ातमक officer against a larger population of
श्रे णीकरण करते समर् ररपोधटिं र् एवं पुनरीक्षण his/her peers that may be currently
अधिकाररर्ों को चाधहए धक अधिकारी का उनके working under them.
अिीनस्थ कार्ारत उसके समकक्ष जर्ादातर
अधिकाररर्ों के बाबत मूलर्ां कन करें ।
(iii) ‘8’ एवं ‘10’ के बीच श्रे णीकृत वा0का0मू 0रर0 को (iii) APARs graded between 8 and 10 will
‘उतकृषट’ माना जाएर्ा तथा नाधमकार्न/पदोन्न्धत के be rated as ‘Outstanding’ and will given a
score of 9 for the purpose of calculating
धलए औसत र्णना के उद्दे शर् से ‘9’ अंक धदर्ा जाएर्ा।
average scores for
empanelment/promotion.
538
(iv) ‘6’ एवं ‘8’ से कम के बीच में श्रे णीकृत वा0का0मू 0रर0 (iv) APARs graded between 6 and short
को ‘बहुत अचछा’ माना जाएर्ा तथा उसे ‘7’ अंक धदर्ा of 8 will be rated as ‘Very God’ and will be
given a score of 7.
(v) ‘4’ एवं ‘6’ से कम के बीच में श्रे णीकृत वा0का0मू 0रर0 (v) APARs graded between 4 and short
को ‘अचछा माना जाएर्ा तथा उसे ‘5’ अंक धदर्ा of 6 will be rated as ‘Good’ and given a
score of 5.
(vi) ‘4’ के नीचे श्रेणीकृत वा0का0मू 0रर0 को शू न्र् अंक (vi) APARs graded below 4 will be given
धदर्ा जाएर्ा। a score of Zero.
(vii) ªÉÉÊn ÉÊBÉEºÉÉÒ +ÉÉÊvÉBÉEÉ®ÉÒ BÉEä àÉÉàÉãÉä àÉå भार्- III की µÉEàÉ ºÉÆJªÉÉ 3, (vii) Wherever any of the attributes related
4 एवं 5 àÉå “BÉEÉªÉÉÇiàÉBÉE FÉàÉiÉÉ” BÉEä àÉÚãªÉÉÆBÉExÉ ºÉä” ºÉÆ¤ÉÆÉÊvÉiÉ BÉEÉä<Ç to assessment in Sl.No.3, 4 and 5 of Part-
III are not applicable in case of any officer,
¤ÉÉiÉ ãÉÉMÉÚ xÉcÉÓ cÉäiÉÉÒ cè, iÉÉä ÉÊ®{ÉÉä]Ç BÉE®xÉä ´ÉÉãÉä +ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉä =ºÉ
the Reporting Officer should write “Not
BÉEÉìãÉàÉ àÉå “ãÉÉMÉÚ xÉcÉÓ” ÉÊãÉJÉxÉÉ SÉÉÉÊcA +ÉÉè® <ºÉ JÉÆb àÉå ºÉcÉÒ
Applicable” in the said column and the
àÉÚãªÉÉÆBÉExÉ BÉE®xÉä cäiÉÖ =ºÉBÉEä BÉEÉìãÉàÉ (MÉ) àÉå ÉÊ´É£ÉÉVÉBÉE ºÉÆJªÉÉ BÉEÉä
dividing factor in column (C) thereof should
=ÉÊSÉiÉ âó{É ºÉä BÉEàÉ BÉE® näxÉÉ SÉÉÉÊcA*
be reduced appropriately to arrive at the
correct weightage against this section
*****
539
अनु िग्नक –II / Annexure – II
‘सत्‍र्दनष्‍ठा’ से संबंदित कॉिम 9 को भरने े तु र्ृ मंत्रािर् के कार्ाािर् ज्ञापन संखर्ा

्‍ 51/4/64-स्‍था. (ए)
ददनांक 21.06.1965 द्वारा जारी ददशादनदे श
GUIDELINES ISSUED VIDE MHA OM No. 51/4/64-ESTT.(A) dt. 21.06.1965

FOR FILLING UP COLUMN 9 RELATING TO ‘INTEGRITY’
सतर्धनषठा से संबंधित कॉलम को भरने के धलए The following procedure should be followed in
धनमनधलक्तित धवधि का पालन धकर्ा जाना चाधहए। filling u the Col. Relating to integrity:
(i) र्धद अधिकारी की सतर्धनषठा में कोई संदेह नहीं (i) If the officer’s integrity is beyond doubt, it
है , तो ऐसा उललेि धकर्ा जाए। may be so stated.
(ii) र्धद कोई संदेह र्ा शं का है , तो मद िाली छोड़ (ii) If there is any doubt or suspicion, the item
दी जानी चाधहए और धनमनधलक्तित कार्ावाही करनी should be left blank and action taken as under.
चाधहए:
(क) एक अलर् र्ुपत धटपपणी धलिकर उस पर (a) A separate secret note should be
अनु वती कारा वाई की जानी चाधहए। धटपपणी की प्रधत recorded and followed up. A copy of the note
should also be sent together with the APAR to
वा0का0मू 0रर0 सधहत अलर् से वररषठ अधिकारी को भी
the next superior officer who will ensure that
भे जी जानी चाधहए जो र्ह सुधनशधचत करे र्ा धक अनु वती
the follow up action is taken expeditiously.
कारा वाई शीघ्रता से की जाए। धजन मामलों में सतर्धनषठा Where it is not possible either to certify the
को प्रमाधणत करना र्ा र्ोपनीर् धटपपणी दजा करना integrity or to record the secret note, the
समभव न हो, वहां ररपोधटिं र् अधिकारी को, क्तस्थधत के Initiating Officer should state either that he/she
अनु सार, र्ा तो र्ह उलले ि करना चाधहए धक उसने has not watched the officer’s work for sufficient
अधिकारी का कार्ा पर्ाा पत समर् तक नहीं दे िा है time to form a definite judgment or that he/she
has heard nothing against the Officer, as the
धजससे धक वह एक धनधित रार् कार्म कर सके र्ा धक
case may be.
उसने अधिकारी के धवरूद्ध कुछ नहीं सुना है ।
(ि) र्धद अनु वती कारा वाई के फलस्वरूप संदेह र्ा (b) If, as a result of the follow up action, the
शं काएं दू र हो जाती हैं तो अधिकारी की सतर्धनषठा doubts or suspicions are cleared, the officer’s
integrity should be certified and an entry made
प्रमाधणत की जानी चाधहए और वा0का0मू 0रर0 मे
accordingly in the APAR.
तदनु सार प्रधवधि की जानी चाधहए।
540
(र्) र्धद संदेह र्ा शं काओं की पुधि हो जाती है तो र्ह (c) If the double or suspicions are confirmed,
तथर् भी दजा धकर्ा जाना चाधहए और संबंधित अधिकारी this fact should also be recorded and duly
communicated to the officer concerned.
को इसे धवधिवत सूधचत धकर्ा जाना चाधहए।
(र्) र्धद अनु वती कारा वाई के फलस्वरूप, संदेह र्ा (d) If, as a result of the follow-up action,
शं काएं न दू र होती हों और न ही उसकी पुधि होती हो, doubts or suspicions are neither cleared nor
confirmed, the officer’s conduct should be
तो अधिकारी के आचरण की धनर्रानी और अधिक
watched for a further period and thereafter
अवधि तक की जानी चाधहए और उसके बाद ऊपर (ि)
action taken as indicated at (b) & (c) above.
और (र्) में इं धर्त कारा वाई की जानी चाधहए।
*****
541
अनु िग्नक –III / Annexure – III
वा0का0मू0रर0 से संबंदितसमस्‍त कार्ा करने/ उसे पररपू णा करने के दिए समर्-सीमा
TIME SCHEDULE FOR PREPARATION/COMPLETION OF ALL ACTIONS PERTAINIG TO

APARS
क्रमां र्दतदवदि/Activity पररपू णान की दतदथ/Date by

क/ which to be completed
Srl.
No.
1. सभी संबंधित अधिकाररर्ों को वा0का0मू 0रर0 के िाली प्रपत्र का 31 माचा/31st March

धवतरण (अथाा त उन अधिकाररर्ों को धजनकी ररपोटा धलिी जानी है , जहां
(इसे एक सपताह पहले भी धकर्ा
स्व-मू लर्ां कन का प्राविान है , र्ा ररपोधटिं र् अधिकाररर्ों को जहां स्व-
जा सकता है )
मू लर्ां कन प्रस्तुत नहीं धकर्ा जाना है )।
(This may be completed
Distribution of blank APAR proforma to all concerned (i.e. even a week earlier)
to the Ratee Officers where self-appraisal has to be given
and to reporting officers where self-appraisal is not to be
given).
2. धजस अधिकारी की ररपोटा धलिी जा रही है उसके द्वारा ररपोधटिं र् 15 अप्रैल/15th April.
अधिकारी को स्व-मूलर्ां कन प्रस्तुत धकर्ा जाना (जहां र्ह लार्ू है )।
Submission of self-appraisal to Reporting Officer by Ratee

Officer (where applicable).
3. ररपोधटिं र् अधिकारी द्वारा पुनरीक्षण अधिकारी को ररपोटा प्रस्तुत धकर्ा 30 जू न/30th June.
जाना।
Submission of report by Reporting Officer to Reviewing

Officer.
542
क्रमां र्दतदवदि/Activity पररपू णान की दतदथ/Date by

क/ which to be completed
Srl.
No.
4. पुनरीक्षण अधिकारी द्वारा ररपोटा को पररपूणा धकर्ा जाना, उसकी 31 जु लाई/31st July
धवषर्वस्तु को संबंधित अधिकारी को सूधचत करना, ततपशचात् वा0 का0
मू 0 रर0 को भे जा जाना।
Report to be completed by Reviewing Officer, copy of the

same to be given to the Ratee Officer and then to be sent
to the APAR Cell.
5. पुनरीक्षण अधिकारी द्वारा वा0 का0 मू 0 रर0 पर अभर्ावेदन (र्धद कोई सूचना प्राक्तप्त से 15 धदनों के भीतर
हो) की प्राक्तप्त।
15 days from the date of
Receipt of representation by the Reviewing Officer, if any, receipt of communication.
on APAR.
6. अभर्ावेदन को सक्षम प्राधिकारी को भे जना जाना। 31 अर्स्त/31st August
Forwarding of representation to the Competent Authority.
7. सक्षम प्राधिकरण द्वारा अभर्ावेदन का धनस्तारण और उसकी सूचना वा0 अभर्ावेदन प्रापत होने के एक माह
का0 मू 0 रर0 को भेजा जाना। के भीतर
Disposal of representation by the Competent Authority and (Within one month from the
intimation of the same to the APAR Cell. date of receipt of
representation.
8. अमर्ावेदन पर सक्षम प्राधिकारी के धनणार् को वा0 का0 मू0 रर0 क0 15 नवंबर/15th November.
द्वारा संबंधित अधिकारी को सूधचत धकर्ा जाना।
Communication of the decision of the Competent Authority

to the Ratee on his/her representation by the APAR Cell.
543
No. 11041/217/2007-Admn 25.09.2012
POLICY MATTERS –ADMINISTRATION/FINANCE (92/2012)
Decision taken on File No. NHAI/11041/08/2010-HR.I)
Sub: Format of certificate for handing/taking over charge by technical officers
In supersession of the Circular No. 11041/283-Misc/2009-Admn. Dated 14.08.2012

(Annex.-A) it has been decided all technical officers while taking/handing over their charge should
submit a detailed certificate in the format as per Annex-B.
2. This issues with the approval of Competent Authority.
(V.K. Sharma)
Chief General Manager (Coord/LA)
To,
All officers and employees of HQ/ZO/ROs/PIUs/CMUs/Site Offices

544
No. 11041/283-Misc/2009-Admn. August 14,

2012
CIRCULAR
For the purpose of uniformity in handing/taking over of charge, it has been decided that
all officers while taking/handing over their charge should submit a detailed certificate in the format
as per annexure-I.
(P.C. Grover)
CGM (Admn)
Copy also to:
All officers of NHAI

545
Handing/Taking Over of Charge
Certified that we have handed over/taken over charge of the office of_________________ in
forenoon/afternoon of _____________in compliance to HQs NHAI Office order/letter no._______________
dated__________
The following documents are attached for reference of officer receiving charge:-
(a) Brief status report on NHAI Projects in _______________(State)
i) ______________________________
ii) _______________________________
iii) ________________________________
iv) __________________________________
v) ___________________________________
vi) ____________________________________
vii) ____________________________________
(b) Brief report of each ongoing project

(c) Status of land acquisition pre-construction activities
(d) Status of outstanding Variation Orders
(e) Status of Officers
(f) Minutes of Meeting held on_____________of________with Contractors Concessionaires and
Supervision Consultants/Independent Engineers
(g) Summary of Court/DRB/AT cases PIU Wise
(h) Summary of project expenditure till_____________.
Relieved Officer Relieving Officer
Name______________ Name:________________
Designation____________ Designation____________
Date__________________ Date__________________
Copy to:
1) Ps to Chairman
2) Ps to All Members/CVO
3) All CGMs
4) All GMs/DGMs
546
5) All ROs/PIUs/CMUs
6) All Managers at HQs
7) Hindi Division/Librarian/DDO
Certified that we have handed over/taken over charge of the office of _____________________in
forenoon/afternoon of _______________________ in compliance to HQs NHAI order/letter
No.______________________ dated____________
(a) Brief status report on NHAI Projects in__________________________(State)
i) _____________________________________________________________
ii) _____________________________________________________________
iii) _____________________________________________________________
iv) _____________________________________________________________
v) _____________________________________________________________
vi) _____________________________________________________________
vii) _____________________________________________________________
(b) Brief report of each ongoing project
(c) Status of land acquisition pre-construction activities
(d) Status of outstanding Variation Orders
(e) Status of Officers
(f) Minutes of Meeting held on _____________of ________with Contractors Concessionaires and
(g) Summary of Court/DRB/AT cases PIU Wise
(h) Summary of project expenditure till_____________.
(i) List of claims filed by various concessionaries/contractors
Sign of Relieved Officer Sign of Relieving Officer
Name______________ Name:________________
Designation__________ Designation___________
Date________________ Date__________________
Copy to:
1) PS to Chairman
547
2) PS to all Members/CVO
3) All CGMs/
4) All GMs/DGMs
548
No. NHAI/11041/08/2010-HR.I
06.11.2012
OFFICE MEMORANDUM
Sub: Handing-taking over of charge by GMs/DGMs/Managers who are holding the

charge of Project Directors
Reference is invited to Chairman’s letter No. NHAI/11041/08/2010-HR.I dated 27.08.2012,

whereby the Regional Officers were directed to ensure that the PDs who are likely to
complete 4 years by Oct 2012 should start preparing their charge note giving full details
as per CGM (Admn.) Circular No. 11041/283-Misc./2009-Admin. Dated 14.8.2012, which
has now been modified vide Policy Circular No. Admn. /finance (92/2012) dated
25.9.2012(copy enclosed). Apart from this, the charge note should also contain the
following details:-
I. Separate contract-wise files for the project.

II. Separate contract-wise files for arbitration and DRB matters.
III. Land acquisition details – details of land acquired and compensation paid.
IV. Details of utility shifting with line diagram.
V. Separate files for other permissions viz. ROB, environment clearance, wildlife
clearance, tree cutting permission, etc.
VI. Details of court cases related to land acquisition and other court cases.
2. In view of the above, the Regional Officers should ensure that the charge
taking/handing over is properly carried out so as to ensure there is no gap in contract
management and interest of NHAI is fully protected and charge notes contain full details
so that successor officers can handle the project in a smooth manner. The Regional
Officers may also hold personal discussion with such officers and give them suitable
instructions. On this account, any failure to do so may entails disciplinary action.
Encl. As above
(P.C. Grover)
CGM(Admn. & HR)
To,
All Regional Officers
Copy for information to:

549
PS to chairman
No. 11041/217/2007-Admn.
25.09.2012
POLICY MATTERS-ADMINSTRATION/FINANCE (92/2012)
(Decision taken on file No. NHAI/11041/08/2010-HR.II)
Sub: Format of certificate for handing / taking over charge by technical officers
In supersession of the Circular No. 11041/283-Misc/2009-Admn. Dated

14.8.2012 ( Annex.-A), it has been decided all technical officers while taking/handing
over their charge should submit a detailed certificate in the format as per Annex.-B.
(V.K.sharma)
Chief General Manager (Coord./LA)
To,
All officers and employees of HQ/ZO/ROs/PIUs/CMUs/Site Officers
No. 11041/283-Misc/2009-Admn. August 14,

2012
550
CIRCULAR
For the purpose of uniformity in handing/taking over of charge, it has been decided that
all officers while taking/handing over their charge should submit a detailed certificate in the format
as per annexure-I.
(P.C. Grover)
CGM (Admn)
Copy also to:
All officers of NHAI

551
dated__________
(i) Brief status report on NHAI Projects in _______________(State)
viii) ______________________________
ix) _______________________________
x) ________________________________
xi) __________________________________
xii) ___________________________________
xiii) ____________________________________
xiv) ____________________________________
(j) Brief report of each ongoing project

(k) Status of land acquisition pre-construction activities
(l) Status of outstanding Variation Orders
(m) Status of Officers
(n) Minutes of Meeting held on _________of _______with Contractors Concessionaires and
(o) Summary of Court/DRB/AT cases PIU Wise
(p) Summary of project expenditure till_____________.
Name______________ Name: ________________
Designation____________ Designation _____________
Date__________________ Date __________________
Copy to:
8) Ps to Chairman
10) All CGMs
11) All GMs/DGMs
552

dated__________
(q) Brief status report on NHAI Projects in _______________(State)
xv) ______________________________
xvi) _______________________________
xvii) ________________________________
xviii) __________________________________
xix) ___________________________________
xx) ____________________________________
xxi) ____________________________________
(r) Brief report of each ongoing project

(s) Status of land acquisition pre-construction activities
(t) Status of outstanding Variation Orders
(u) Status of Officers
(v) Minutes of Meeting held on _________of _______with Contractors Concessionaires and
(w) Summary of Court/DRB/AT cases PIU Wise
(x) Summary of project expenditure till_____________.
Name______________ Name: ________________
Designation____________ Designation _____________
Date__________________ Date __________________
Copy to:
15) Ps to Chairman
17) All CGMs
553
18) All GMs/DGMs

Quarterly Performance Appraisal Report : FORM (Admn.-CADRE)
For GM & below level Officers Only
+ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉ xÉÉàÉ व कोड
NAME & EMPLYOEE CODE : ________________________________
{Én
DESIGNATION : ________________________________
REPORT FOR THE QUARTER ENDING : ________________________________

554
PLACE OF POSTING : ________________________________
धदनां क/ Date : _______________________
कार्ाा लर्/ Office : _______________________
दू रभाष/ Tele : _______________________
स्‍वमूल्‍र्ांकन-/Self-Appraisal

555
2. Date of Birth :
of appointment. :
´É-ÉÇ
Year of Marks
Passing
556
£ÉÉMÉ-** /PART-II
है । जाना धकर्ा नहीं उपर्ोर् का पन्ने अधतररकत काई हे तु उद्दे शर् इस ;जाए भरा द्वारा उसके है रही जा धलिी ररपोटा की अधिकारी धजस)
2. जो लक्षर् धकए धनिाा ररत धलए अपने स्वर्ं आपने जो र्ा हों र्ए धकए धनिाा ररत धलए आपके कार्ा र्ा धर्ेर्/उद्दे शर्/
की कार्ा पर आिार के प्राथधमकता ;करें उललेि से रूप धवशेष का (में रूप अन्र् र्ा मात्रा/पररणाम) होंआठ-
दें । धववरण का उपलक्ति उपनी बाबत के एक हर और मदें दस वाधषा क धलए के प्रभार् आपके ,उदाहरणाथा )
(र्ोजना-कार्ा

were set for you or you set for yourself: 8 to 10 items of work in order of priority and
your achievement against each (for example, Annual Action Plan for your Division).
लक्षर्धर्ेर्/उद्दे शर्/ उपलक्तिर्ॉं
Achievements
557
3. (क करें । उलले ि में संक्षेप का न्र्ूनताओं में संदभ के धर्ेर्ों/उद्दे शर्ों/लक्षर्ों र्ए बताए में 2 कॉलम कृपर्ा (र्धद
उनकी प्राक्तप्त में कोई बािाएं रहीं होंकरें । उलले ि भी उनका तो ,
अपने उनमें तथा उनका तो ,हों रही उपलक्तिर्ॉं उचचतर पर तौर धवशे ष धजनमें हों कार्ाक्षेत्र ऐसे कोई र्धद (ि)
करें । उलले ि का र्ोर्दान
558
हस्ताक्षर/Signature : _____________________________
धदनां क/ Date : _____________________________
कार्ाा लर्/ Office : _____________________________
दू रभाष/ Tele : _____________________________
PART-III
Administrative Cadre- Performance Evaluation (80% weightage) and Personal Attributes (20%
weightage)
Assessment of Performance (Weightage : 80%) : (Attributes not applicable may be left blank)
Grade Point
559
1.
WORK OUTPUT (40% Grade Reporting

A
weightage) Target Achievement Percentage Point Officer
Maintenance of personnel
(i)
records
Timely processing of cases

(ii)
for extension of deputation
Timely verification of caste/

(iii) category certificates from
concerned authorities
Timely verification of
(iv)
character & antecedents
Number of officers selected

(v) on DR/ Deputation /
Contract
Number of cases of pay

(vi)
fixation completed
Timely filing of reply /

(vii) response in court cases
related to service matters
Timely disposal of RTI

(viii)
matters/PG/VIP References
Total Grade Point = 80
2.
FUNCTIONAL Grade Reporting

B
COMPETENCY (40%) Target Achievement Percentage Point Officer
560
Knowledge of rules/
regulations/ procedures in
(i)
the area of work and abilty
to apply them correctly
(ii) Stategic planning ability
(iii) Decision making ability
Ability to motivate and

(iv) develop subordinates and
work in a team
(v) Quality of work output
(vi) Analytical ability
Accomplishment of
(vii) exceptional work/
unforeseen tasks performed
(viii) Initiative
3.
PERSONAL ATTRIBUTES Grade Reporting

C
(20%) Target Achievement Percentage Point Officer
(i) Administrative Capability
(ii) Attitude towards work
(iii) Leadership qualities
(iv) Communication Skills

561
(v) Maintenance of discpline
(vi) Inter-personal relationship
(vii) Sense of responsibility
D Overall Grade
Note: 1. The Grade Point will be on scale of 1 to 10 with 1 as minimum and 10 as maximum.
2. If any attribute is not applicable in respect of any officer, the total grade point shall be calculated as-
a) Summation of Grade
Points on applicable attribute X
b) Total number of attributes

in respective major category Y
c) Number of applicable
attributes Z
Total Grade Point in X * (Y/Z) *

respective major category weightage
4. State of Health :
5. Attitude towards people belonging to SC/ST/OBC/PH categories :
6. Integrity :
Sl. No. Descriptions Remarks
Beyond Doubt; or,

A.
562
Nothing adverse has come to my

B.
notice; or,
Since the integrity of the office is
C.
doubtful, a secret Note is attached
herewith.
PART –IV
धतधथ/Date: _____________________________
दू रभाष/Tele : ______________________________
563
Quarterly Performance Appraisal Report : FORM (Finance-CADRE)
GM & below level Officers only
+ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉ xÉÉàÉ व कोड
{Én
DESIGNATION : ________________________________
PLACE OF POSTING : ________________________________
564
धदनां क/ Date : _______________________
कार्ाा लर्/ Office : _______________________
दू रभाष/ Tele : ________________________
2. Date of Birth :
of appointment. :

565
=kÉÉÒhÉÇ BÉEÉÒ MÉ<Ç =kÉÉÒhÉÇ BÉE®xÉä ÉÊ´ÉÉÎ¶´É´ÉtÉÉãÉªÉ/ºÉÆºlÉÉxÉ +ÉÆBÉEÉå BÉEÉ |ÉÉÊiÉ¶ÉiÉ

{É®ÉÒFÉÉ BÉEÉ ´É-ÉÇ Year
University/Institute Percentage
of Passing
Examination of Marks
Passed
566
£ÉÉMÉ-**/PART-II
(तजस अतिकारी की ररपोर्त तलेी जा रिी िै उसके द्वारा भरा जा ; इस उद्देश्य िेिु काई अतिरर्‍ि पन्िे का उपयोग ििीं दकया जािा िै।
2. जो लक्ष्य/उद्देश्य/ध्येय या कायत कपके तल तििातररि दक ग िय या जो कपिे ‍वयं अपिे तल तििातररि दक िय (पररणाम/मात्रा

या अन्य ूपप में) का तवशेर् ूपप से उल्लेे करें ; प्रा तमकिा के किार पर कायत की कठ-िस मिें और िर क के बाबि उपिी उपलत्‍ि
का तववरण िें। (उिािरणा त, कपके प्रभाग के तल वार्र्तक कायत-योजिा)

Division).
लक्ष्य/उद्देश्य/ध्येय
उपलत्‍ियॉं
Achievements
567
3. (क) कृ पया कॉलम 2 में बिा ग लक्ष्यय/उद्देश्यय/ध्येयय के संिभ में न्यूििा क का संिेप में उल्लेे करें । यदि उिकी प्रातम में कोई
बािा ं रिीं िय, िो उिका भी उल्लेे करें ।
(े) यदि कोई ऐसे कायतिेत्र िय तजिमें तवशेर् िौर पर उच्ािर उपलत्‍ियॉं रिी िय, िो उिका ि ा उिमें अपिे योगिाि का उल्लेे
करें ।
(B) Please indicate the areas, if any, in which there have been significantly higher achievements and
your contribution thereto.
568
हस्ताक्षर/Signature :_____________________________
धदनां क/ Date :_____________________________
कार्ाा लर्/ Office :_____________________________
दू रभाष/ Tele : _____________________________
£ÉÉMÉ-*** / PART-III
Finance Cadre- Performance Evaluation (80% weightage) and Personal Attributes (20%
weightage)
Assessment of Performance (Weightage: 80%) : (Attributes not applicable may be left blank)
1.
Target Achievement Percentage Grade Reporting

A Work Output (40% weightage)
Point Officer
(i) Updating of accounting entries
Timely processing of various
(ii)
claims of agencies
Discharging the statutory
(iii) liabilities within the stipulated
time period
(iv) Timely release of payment
Apply appropriately the rules /
(v) regulations / procedures in the
area of function
569
Accomplishment of planned
(vi) work / work allotted as per
subjects allotted
Accomplishment of exceptional
(vii) work / unforeseen task
performed
Timely submission of various
(viii)
reports and returns
2.
Functional Competency Target Achievement Percentage Grade Reporting

B.
(40%) Point Officer
Knowledge of rules/
regulations/ procedures in the
(i)
area of work and ability to apply
them correctly
(ii) Analytical ability
(iii) Strategic planning ability
Ability to motivate and develop
(iv) subordinates and work in a
team
(v) Capacity to work in time limit.
Willingness to take
(vi)
responsibility
(vii) Quality of work output
(viii) Initiative
3.
570
Target Achievement Percentage Grade Reporting

C Personal Attributes (20%)
Point Officer
(i) Analytical Capability
(ii) Attitude towards work
(iii) Leadership qualities
(v) Maintenance of discipline
(vi) Inter-personal relationship
(vii) Sense of responsibility
D. Overall Grade
Note:
1. The Grade Point will be on scale of 1 to 10 with 1 as minimum and 10 as maximum.

2. If any attribute is not applicable in respect of any officer, the total grade point shall be
calculated as:
(a) Summation of Grade Points on applicable attribute X

(b) Total number of attributes in respective major category Y
(c) Number of applicable attributes Z
Total Grade Point in respective major category X * (Y/Z) * weightage

571
9. Integrity :
Beyond Doubt; or,

A.
B.
notice; or,
C.
herewith.
572
£ÉÉMÉ- IV / PART-IV
धतधथ/Date: _____________________________
दू रभाष/Tele : ______________________________
573
Quarterly Performance Appraisal Report : FORM (IT-CADRE)
For GM & below level Officers only
+ÉÉÊvÉBÉEÉ®ÉÒ BÉEÉ xÉÉàÉ व कोि
{Én
DESIGNATION : ________________________________

574
PLACE OF POSTING : ________________________________
धदनां क/ Date : _______________________
कार्ाा लर्/ Office : _______________________
दू रभाष/ Tele : ________________________

575
2. Date of Birth :
of appointment. :
´É-ÉÇ
Year of Marks
Passing
576
£ÉÉMÉ-**/PART-II
2. जो लक्ष्य/उद्देश्य/ध्येय या कायत कपके तल तििातररि दक ग िय या जो कपिे ‍वयं अपिे तल तििातररि दक िय (पररणाम/मात्रा या

अन्य ूपप में) का तवशेर् ूपप से उल्लेे करें ; प्रा तमकिा के किार पर कायत की कठ-िस मिें और िर क के बाबि उपिी उपलत्‍ि का
तववरण िें। (उिािरणा त, कपके प्रभाग के तल वार्र्तक कायत-योजिा)
Please specify target/objectives/goals (in quantitative or other terms) or work that were set for you or
you set for yourself: 8 to 10 items of work in order of priority and your achievement against each (for
example, Annual Action Plan for your Division).
लक्ष्य/उद्देश्य/ध्येय उपलत्‍ियॉं
577
3. (क) कृ पया कॉलम 2 में बिा ग लक्ष्यय/उद्देश्यय/ध्येयय के संिभ में न्यूििा क का संिेप में उल्लेे करें । यदि उिकी प्रातम में कोई बािा ं
रिीं िय, िो उिका भी उल्लेे करें ।
(A) Please state briefly the shortfalls with reference to the targets/objectives/goals referred to in Col. 2.
Also please specify constraints, if any, in achieving the same.
करें ।
(B) Please indicate the areas, if any, in which there have been significantly higher achievements and your
contribution thereto.
578
हस्ताक्षर/Signature : __________________________
धदनां क/ Date : _________________________
कार्ाा लर्/ Office : __________________________
दू रभाष/ Tele : ________________________
PART-III
Sl. No. Description of Work Achievement/ Grade Point Reporting

assigned Outcome Officer
1. Data Lake Software
2. MoU between IIT, Delhi

and NHAI on setting up
Centre of Excellence
3. Cyber Security
4. MoU between IIT,

Kanpur and NHAI for
Cyber Security Services
5. eTendering Services
6. eOffice
7. SPARROW
8. ANPR
9. Bespoke Application
Software
10. NHAI’s website

579
11. IT FMS Service
12. Issue of Computer

Consumables
13. MPLS Connectivity
(b). Nature and Quality of Work :
3. Attributes :
Sl. Descriptions Outcome Grade Point Reporting

No Officer
i Attitude to work
ii Analytical ability regarding

subject matter
iii Sense of responsibility

toward the work
iv Capacity to work within time

limit
v Knowledge of Rules/
Guidelines/ Regulations and
ability to apply correctly
vi Strategic planning and

decision-making ability
towards the assigned work
vii Communication Skills

580

No Officer
viii Inter-personal relations and

team work
ix Leadership quality
x Maintenance of discipline
12. Integrity :
Beyond Doubt; or,

A.
B.
notice; or,
C.
herewith.
581
PART –IV
धतधथ/Date: _____________________________
दू रभाष/Tele : ______________________________
Note: General assessment including overall qualities, strength, lesser strengths and attitude
toward weaker sections and overall grading on a scale of 1-10.
Quarterly Performance Appraisal Report : FORM (Legal-CADRE)
GM & below level Officers only

582
{Én
DESIGNATION : ________________________________
PLACE OF POSTING : ________________________________

583
धदनां क/ Date : _______________________
कार्ाा लर्/ Office : _______________________
दू रभाष/ Tele : ________________________

584

2. Date of Birth :

of appointment. :
¶ÉèFÉÉÊhÉBÉE A´ÉÆ BªÉÉ´ÉºÉÉÉÊªÉBÉE ªÉÉäMªÉiÉÉAÆ <Æ]®àÉÉÒÉÊbªÉä]/ XIIºÉä ãÉäBÉE®

=kÉÉÒhÉÇ BÉEÉÒ MÉ<Ç =kÉÉÒhÉÇ BÉE®xÉä BÉEÉ ÉÊ´ÉÉÎ¶´É´ÉtÉÉãÉªÉ/ºÉÆºlÉÉxÉ +ÉÆBÉEÉå BÉEÉ |ÉÉÊiÉ¶ÉiÉ
{É®ÉÒFÉÉ ´É-ÉÇ
University/Institute Percentage
Examination Year of of Marks
Passed Passing
585
£ÉÉMÉ-**
PART-II
1. कायों का संतिप्ि तववरण

2. जो लक्ष्य/उद्देश्य/ध्येय या कायत कपके तल तििातररि दक ग िय या जो कपिे ‍वयं अपिे तल तििातररि दक िय

(पररणाम/मात्रा या अन्य ूपप में) का तवशेर् ूपप से उल्लेे करें ; प्रा तमकिा के किार पर कायत की कठ-िस मिें और िर
क के बाबि उपिी उपलत्‍ि का तववरण िें। (उिािरणा त, कपके प्रभाग के तल वार्र्तक कायत-योजिा)
Please specify target/objectives/goals (in quantitative or other terms) or work that were set for
you or you set for yourself: 8 to 10 items of work in order of priority and your achievement
against each (for example, Annual Action Plan for your Division).
लक्ष्य/उद्देश्य/ध्येय
उपलत्‍ियॉं
586
(A) Please state briefly the shortfalls with reference to the targets/objectives/goals referred to in Col.
2. Also please specify constraints, if any, in achieving the same.
करें ।
ि‍िािर/Signature : _________________________
दििांक/ Date : __________________________
कायातलय/ Office : __________________________
िूरभार्/ Tele : _________________________

587
£ÉÉMÉ-*** / PART-III
1. Brief description of duties:
Sl. Description of Work Achievement/Outcome Grade Reporting

No. assigned Point Officer
2. Nature and Quality of Work:
3. Attributes

No Officer
i Attitude to work
ii Analytical ability regarding

subject matter
iii Sense of responsibility

toward the work
588
iv Capacity to work within time

limit
v Knowledge of
Rules/Guidelines/Regulations
and ability to apply correctly
vi Strategic planning and

decision-making ability
towards the assigned work
vii Communication Skills
viii Inter-personal relations and

team work
ix Leadership quality
x Maintenance of discipline
4. State of Health:
5. Attitude towards people belonging to SC/ST/OBC/PH categories:
6. Integrity:
Beyond Doubt; or,

A.
B.
notice; or,
C.
herewith.
PART –IV
589
धतधथ/Date: _____________________________
दू रभाष/Tele : _________________________________
Note: General assessment including overall qualities, strength, lesser strengths and attitude
toward weaker sections and overall grading on a scale of 1-10.
------------------------------------------------------* --------------------------------------------------------
590
Quarterly Performance Appraisal Report : FORM (TECH.-CADRE)
For GM & below level Officers only
{Én
DESIGNATION : ________________________________

591
PLACE OF POSTING : ________________________________
धदनां क/ Date : _______________________
कार्ाा लर्/ Office : _______________________
दू रभाष/ Tele : ________________________

592
2. Date of Birth :
of appointment. :
´É-ÉÇ
Year of Marks
Passing
593
£ÉÉMÉ-**
PART-II
उपर्ोर् का पन्ने अधतररकत काई हे तु उद्दे शर् इस ;जाए भरा द्वारा उसके है रही जा धलिी ररपोटा की अधिकारी धजस)
है । जाना धकर्ा नहीं
2. जो लक्ष्य/उद्देश्य/ध्येय या कायत कपके तल तििातररि दक ग िय या जो कपिे ‍वयं अपिे तल तििातररि दक िय (पररणाम/मात्रा या

अन्य ूपप में) का तवशेर् ूपप से उल्लेे करें ; प्रा तमकिा के किार पर कायत की कठ-िस मिें और िर क के बाबि उपिी उपलत्‍ि का
तववरण िें। (उिािरणा त, कपके प्रभाग के तल वार्र्तक कायत-योजिा)
Please specify target/objectives/goals (in quantitative or other terms) or work that were set for you or
you set for yourself: 8 to 10 items of work in order of priority and your achievement against each (for
example, Annual Action Plan for your Division).
लक्ष्य/उद्देश्य/ध्येय उपलत्‍ियॉं
594
2A. धवधभन्न शुल्क प्लाज़ाओ पर FASTag के माध्यम से 100% ई टी सी का कार्ाा न्वर्न मे उपलक्तिर्ां :
Achievements in implementation of 100% ETC through FASTag at various fee plazas
under your jurisdiction:
क्र.सं Objectives/ Last Qtr. Present Qtr. % change उपलत्‍ियां रर्प्पतणयााँ
S.N. Goals Achievements for the Remarks

Quarter
(i) 100% ई र्ी सी सतिि

शुल्क प्लाज़ा
Fee Plazas with

100% ETC lane
(ii) % ETC Transaction

% ई र्ी सी लेि िेि
3. कृपर्ा पररर्ोजना से सं बंधित धनम्नधलक्तित र्धतधवधिर्ों के सं बंि में आप द्वारा धकए र्ए प्रर्ासो को धवधनधदा ि करें -:
Please specify the efforts made by you for the following project related activities:-
(a) भू धम अधिग्रहण / Land Acquisition :
(b) जनपर्ोर्ी सु धविाओं को धशफ्ट करना / Utility :

Shifting
(c) पर्ाा वरण/वन/वन्यप्राणी और अन्य सां धवधिक अनुमधतर्ाूँ :

प्राप्त करना / Environment/ Forest/ Wildlife
and other statutory clearances:-
595
(d) मध्यस्थता) डी.आर.बी/.डी सं बंधित से (.ए.आर. :

कार्िे वाही करना / Dealing with arbitration
proceedings (DRB/ DRA):-
(A) Please state briefly the shortfalls with reference to the targets/objectives/goals referred to in
Col. 2. Also please specify constraints, if any, in achieving the same.
करें ।
हस्ताक्षर/Signature : _________________________
धदनां क/ Date : __________________________
कार्ाा लर्/ Office : __________________________
दू रभाष/ Tele : _________________________

596
PART –III
Technical Cadre- Performance Evaluation (70% weightage) and Personal
Attributes (30% weightage)
1. - Assessment of Performance (Weightage : 70%) : (Attributes not applicable may be left blank)
Reporting
A
Land Acquistion Target Achievement Percentage Grade Point Officer
Possession of Land from

CALA and handing over the
(i) Site to
Contractor/Concessionaire
(period in terms of months)
Period (in months) for

reconciliation of missing
(ii) land parcels and
rectification through
acquistion
Amount approved under

(iii) 3(G) and disbursed (in
crore)
597
No. Disputes/Arbitration
(iv) settled in Land Acquistion
and notice by Agency
Pre Construction Reporting

B
Activities (Utility Shifting) Target Achievement Percentage Grade Point Officer
(i) Water Supply Pipeline
Electrical Transmission
(ii)
Line
(iii) Sewerage Pipeline
(iv) Gas Pipeline
(v) Resettlement/Rehabilitation
Projects Reporting
C
Target Achievement Percentage Grade Point Officer
(i) Number of Projects for

Award
(ii) Number of Projects for

PCOD and COD issued
(iii) Declaration of Appointed

Date from the Date of
Award
(iv) No. of Projects requiring

EOT (negative grade if
delay is attributable to
NHAI)
(v) No. of Projects where EOT

was not issued with 30
days of completion of
Scheduled milestone
(vi) Handing over of balance

Land beyond Appointed
598
date + 90 days (negative

grades/marking based on
length of reach and delay
in months)
(vii) Number of Projects with

COS and in-principle
approval of COS within 30
days of the site
requirement of COS
(negative grades/marking if
in-principle approval is
delayed)
Length of NH constructed
(….Km)/under construction
(….Km)
(viii)
Reporting
D
User Fee Collection Target Achievement Percentage Grade Point Officer
(i) No of Fee Plaza started

after PCOD (Total no.Vs
Achieved)
(ii) Stretch (in Km) added for

tolling
(iii) ETC penetration terms of

Transaction Count (%)
(iv)
Reporting
E
User Facilities Services Target Achievement Percentage Grade Point Officer
599
Functional Ambulance (AIS

125) with trained
(i)
paramedic staff at each
Fee Plaza
Number of Clean Toilets

(ii)
constructed near Fee Plaza
Black Spot Mitigation Reporting

F
Measure Target Achievement Percentage Grade Point Officer
(i) Short term measures taken
Long terms measures

(ii)
taken Status-
Rectified including
(iii) monitoring effectiveness of
measures
(iv) Under rectification
(v) Tendering /Bidding
(vi) Under DPR
2- Assessment of Personal Attributes (30% weightage)
Reporting
Attributes Target Achievement Percentage Grade Point Officer
(i) Administrative Capability

(optimum usage of
resources)
600
(ii) Abililty to handle

unforeseen circumstances
(iii) Leadership Quality
(v) Crifical Analysis and

Decision taking skills
(vi) Empathy and Sympathy

towards public
(vii) Peer Relationship and

promotion of team spirit
Responsive to special
(viii)
needs
(ix) Attitude towards work
3 Overall Grade
(0.7)x(A+B+C+D+E+F) + (0.3x II)/0.5
6. Integrity :
601
Beyond Doubt; or,

A.
Nothing adverse has come to my notice; or,
B.
Since the integrity of the office is doubtful, a
C.
secret Note is attached herewith.
PART –IV
धतधथ/Date: _____________________________
दू रभाष/Tele : ______________________________
602

Section: 2.1. Contract/Concession Agreement provides for
Dispute Resolution Mechanism
Sub Subject
section
I. Dispute Resolution Clause In Old Ongoing Projects

(Pre Sept. 2020)
II. Dispute Resolution Clause in New Projects (Post

Sept, 2020)
III. Dispute Resolution Board (DRB)

603
I. Dispute Resolution Clause In Old Ongoing Projects (Pre Sept. 2020)
1. Dispute resolution
1.1 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 respective Clause.
1.2 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.
2. Conciliation
2.1 In the event of any Dispute between the Parties, either Party may call upon the Authority’s
Engineer, or such other person as the Parties may mutually agree upon (the “Conciliator”)
to mediate and assist the Parties in arriving at an amicable settlement thereof. Failing
mediation by the Conciliator or without the intervention of the Conciliator, either Party may
require such Dispute to be referred to the Chairperson of the Authority and the
Chairperson of the Board of Directors of the Contractor for amicable settlement, and upon
such reference, the said persons shall meet no later than 7 (seven) business days from
the date of reference to discuss and attempt to amicably resolve the Dispute. If such
meeting does not take place within the 7 (seven) business 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 respective Clause 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 respective Clause.
3. Arbitration
Any Dispute which is not resolved amicably by conciliation, as provided in respective
clause, shall be finally decided by reference to arbitration by a Board of Arbitrators
appointed in accordance with the clause of the respective agreement. 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
Act. The venue of such arbitration shall be [Delhi/as provided in the respective agreement],
and the language of arbitration proceedings shall be English.
604
II. Dispute Resolution Clause in New Projects (Post Sept, 2020)
1. Dispute resolution
1.1 In the event of 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") either Party may call upon the Independent Engineer, to mediate and assist
the Parties in arriving at an amicable settlement thereof.
1.2 The Parties agree to use their best efforts for resolving all Disputes arising under or in
III. Dispute Resolution Board (DRB)
Failing mediation by the Independent Engineer or without the intervention of the

Independent Engineer, either Party may require such Dispute to be referred to the
Dispute Resolution Board ("DRB") in accordance with the procedure set forth in
Schedule W to the Concession Agreement. The decision(s) of the Dispute Resolution
Board shall be binding on both parties who shall promptly give effect to unless and
until the same is revised/ modified, as hereinafter provided, in a Conciliation/ Arbitral
Tribunal.
1. Conciliation
If either Party is dissatisfied with any decision of the DRB, and/ or if the DRB is unable
to resolve the dispute, either Party may refer the Dispute to arbitration in accordance
with the provisions of respective Clause but before resorting to such arbitration, the
parties agree to explore conciliation by the Conciliation Committees of Independent
Experts (CCIE) set up by the Authority in accordance with the procedure decided by
the panel of such experts and notified by the Authority on its website including its
subsequent amendments. In the event of the conciliation proceedings being
successful, the parties to the dispute would sign the written settlement agreement and
the conciliators would authenticate the same. Such settlement agreement would then
be binding on the parties in terms of Section 73 of the Arbitration Act. In case of failure
of the conciliation process even at the level of the Conciliation Committee, either party
may refer the Dispute to arbitration in accordance with the provisions of Clause.
605
2. Arbitration
Any Dispute which is not resolved amicably by conciliation as provided in respective

Clause shall be finally settled by arbitration as set forth below:
i. The Dispute shall be finally referred to Society for Affordable Resolution of

Disputes (hereinafter called as SAROD), a Society registered under Society's
Act, 1860 vide Registration no. S/RS/SWl049l20l3 duly represented by
Authority and National Highways Builders Federation (NHBF). The dispute
shall be dealt with in terms of Rules of SAROD6. The detailed procedure for
conducting Arbitration shall be governed by the Rules of SAROD and
provisions of Arbitration & Conciliation Act, 1996, as amended from time to
time. The Dispute shall be governed by Substantive Law of India.
ii. The appointment of Tribunal, Code of conduct for Arbitrators and fees and
expenses of SAROD and Arbitral Tribunal shall also be governed by the Rules
of SAROD as amended from time to time.
iii. Subject to the provisions of THE LIMITATION ACT, 1963, as amended from
time to time, Arbitration may be commenced during or after the Concession
Period, provided that the obligations of Authority and the Concessionaire shall
not be altered by reason of the Arbitration being conducted during the
Concession Period.
iv. The seat of Arbitration shall be New Delhi or a place selected by governing
body of SAROD and the language for all documents and communications
between the parties shall be English.
v. The expenses incurred by each party in connection with the preparation,
presentation, etc., of arbitral proceedings shall be borne by each party itself.
6
For Detailed SAROD Arbitration Rules, see Appendix 18.
606

Section: 2.2. Guidelines for Dispute Resolution Board
Sub Subject
section
I. Introduction of provisions of Dispute Resolution

Board in ongoing projects
II. Constitution of the Board
III. Incorporation of the DRB in ongoing

Contracts/Projects
IV. Authority to enter into the Supplementary Agreement

with the Contractor/Concessionaire
V. Delegation of Power to RO to sign Supplementary

Agreement incorporating DRB Clauses
VI. Procedure for introduction of DRB at Different

Stages of Work
607
2.2 Guidelines for DRB
[See NHAI circular 2.1.43/2020, 2.1.42/2020, 2.1.41/2020, 2.1.41/2020, 2.1.38/2020,

2.1.37/2020, 2.1.36/2020]
I. Introduction of provisions of Dispute Resolution Board in ongoing

projects
Competent Authority has decided to introduce Dispute Resolution Board (DRB)
wherein dispute (s) will be heard and decided by three members having experience in
the field of construction and with the interpretation of contractual documents.
Dispute Resolution Board (DRB) in ongoing and upcoming EPC/HAM/BOT

Projects
Prior to introduction of DRB vide Policy Guidelines No. 2.1.37/2020 dated 16 March
2020 and No. 2.1.43/2020 04 Sep 2020, the Dispute Resolution Mechanism was as
mentioned in Chapter 1A. The old procedure has now been slightly modified with
the approval of Competent Authority. Accordingly, in case there is disputes between
the parties the same shall be referred to Independent Engineer (IE) to mediate and
assist the parties in arriving at an amicable settlement and failing mediation by the
IE, the matter shall be referred to DRB instead of referring the disputes to
Chairperson, NHAI and Chairperson of the Board of Directors of
Contractor/Concessionaire for conciliation/amicable settlement. Thereafter, if
dispute resolution through DRB fails, the said disputes shall be referred to
Conciliation Committee of Independent Experts (CCIE) before invoking arbitration.
II. Constitution of the Board

One member is selected by each, the Employer and the Concessionaire and third
member/Chairperson of DRB shall be selected by other two members from the list
provided by the Authority.
III. Incorporation of the DRB in ongoing Contracts/Projects

To implement the decision of Competent Authority, Supplementary Agreement for
ongoing PPP contracts/projects shall be signed. Consequently, the following
documents are enclosed.
(i) Copy of the Supplementary Agreement to be entered between the Employer
and the Concessionaire on Rs. 100/- non-judicial stamp paper (two originals)
appended as Appendix 1.
(ii) Copy of Rules and procedure of DRB appended as Appendix 4.
(iii) Copy of declaration form by the DRB member appended as Appendix 5.
(iv) Copy of fee structure of DRB members appended as Appendix 6.
608
IV. Authority to enter into the Supplementary Agreement with the

CGM/GM of the concerned Technical Division at HQ are authorised by the Competent
Authority to enter into the Supplementary Agreement with the
Contractor/Concessionaire.
V. Delegation of Power to RO to sign Supplementary Agreement

incorporating DRB Clauses
In view of the COVID-19 situation and the problem faced in travelling by
Concessionaire/Contractors for signing the agreement, the Competent Authority has,
in addition to CGM/GM at HQ, authorised the concerned Regional Officer (CGM or
GM rank), to enter into the Supplementary Agreement with the
Contractor/Concessionaire.
VI. Procedure for introduction of DRB at Different Stages of Work
Sr. Stage of Works Method of introducing DRB

No.
(i) Where projects are By getting consent of Contractor/
approved, bids received Concessionaire, sign supplementary
(or due for receipt in 10 agreements along with main agreements
days from date of this
circular) and Agreements
yet to be signed
(ii) Where projects are By amending the bid document, incorporate
approved, but bids not yet the Dispute Resolution Clause in Article 26
received (EPC), 38 (HAM), 44 [BOT (Toll)] and
Schedule on Procedure for DRB attached
herewith and marked as Appendix 3.
(iii) Where projects are not yet By incorporating the enclosed Dispute
approved Resolution Clause in Article 26 (EPC), 38
(HAM), 44 [BOT(Toll)] and Schedule on
Procedure for DRB in bid document, while
obtaining the project approval from
competent authority attached herewith and
marked as Appendix 2&3.
609
Section: 2.3. Conciliation through CCIE
Sub Subject
section
I . Conciliation through CCIE
II Procedure for Conciliation/Amicable Settlement of disputes was

revised
III Settlements reached between Chairperson, NHAI and the
Chairperson of Board of Directors of the Contractor/ Concessionaire/
Consultant
IV Procedure in cases already pending before the Arbitral Tribunals/
Courts.
V A Standing Committee of 3 CGMs was constituted vide Office Order
No. 11021/02/2010-Admn. dt. 13.09.2017.
VI In supersession of para 3 & 4 of Office Order no. 1102/02/2010-Admn
dated 13.9.2017.
VII A 3 CGM Committee was constituted vide Office Order No.
11041/283-Misc.(Conciliations)/2020-Admn./62-Manual dt.
24.07.2020.
VIII Technical Divisions shall route file through Member looking after
works of Contract Management Division for allotment of cases to a
particular 3 CGM Committee.
IX The modified Standard Operating Procedure for recommending the
offers of NHAI in Conciliation/Amicable Settlement through
Conciliation Committee of Independent Experts.
X On receipt of amicable settlement duly signed by the parties and
authenticated by the conciliators, the Contract Management Division.
XI Committee to take a call on conciliation/ amicable settlement where

settlement amount of the case is more than rs. 100.
610
2.3. Conciliation through CCIE
[Ref. NHAI Policy circular no 2.1.23/2017, 2.1.23(1), letter no. 116433 dt. 19.04.2018, letter no
117401 dt 10.05.2018, 2.1.28 dt. 03.08.2018, 2.1.31/2019, 2.1.33, 2.1.39/2020, 2.1.48, 2.1.49,
2.1.50]
1. Establishment of a Conciliation & Settlement Mechanism for Contractual Disputes,

Panel of Independent Experts and Constitution of Conciliation Committees,
Standard Operating Procedure/ Methodology for Conciliation, Timelines to process
the matter for referring to CCIEs, Model settlement agreement7.
I. Background:
1. An alternate dispute resolution mechanism was established in the NHAI vide office
order dated 03.12.2012 of the Contract Management Cell (CMC), with the approval
of NHAI Board in its meeting held on 09.11.2012, for one-time settlement of pending
claims in the item rate contracts. Further, as approved by the NHAI Board in its
meeting held on 05.04.2016, the settlement mechanism was extended to other forms
of contracts [BOT(Toll)/ BOT(Annuity)/ OMT/ Hybrid- Annuity/ O&M/ Toll, etc.] as
well. This mechanism involved three steps: viz. (i) initial negotiations by a 3-CGM
Committee, (ii) recommendations of the Independent Settlement Advisory
Committee (ISAC), and (iii) approval of the Executive Committee (EC)/ Board of
NHAI.
2. As decided by the Board of NHAI in its meeting held on 16.02.2015, the Executive
Committee (EC) was authorised to decide cases involving settlement up to Rs. 50.00
Crore per contract. It was also decided vide Policy Circular dated 27.11.2015
(Admn/Fin-164/2015) that the cases which could not be finalized after initial
negotiations by the 3-CGM Committee would also be referred to ISAC for their
review based on a discussion paper prepared by the 3-CGM Committee. Claims for
a total amount of Rs. 18,743 Crore in 111 number of contract packages were settled
for Rs.1,713 Crore through this mechanism till May, 2017.
3. There is also a provision in the BOT/ EPC/ OMT Projects to refer a dispute to the
Chairperson of NHAI and the Chairperson of Board of Directors of the
Concessionaire for amicable settlement. Further, based on a decision of the
Executive Committee, a CGM-level committee consisting of concerned CGM(T), one
7
Ref. NHAI Policy Circular nos. (i) 2.1.23/2017 dt. 02.06.2017, (ii) 2.1.23(1) dt. 19.06.2017, (iii) letter
no 116433 dt. 19.04.2018, (iv) letter no 117401 dt 10.05.2018, (v) 2.1.28 dt. 03.08.2018, (vi) 2.1.31/2019
dt 16.09.2019, (vii) 2.1.33 dt 31.01.2020, (viii) 2.1.39/2020 dt. 02.06.2020, (ix) 2.1.48 dt 09.04.2021, (x)
2.1.49 dt 24.05.2021, (xi) 2.1.50 dt. 26.05.2021
611
CGM(T) nominated by the Member concerned and CGM(F)/ GM(F) nominated by

Member (Finance) was constituted vide Office Order dated 15.01.2013 of the
Contract Management Cell (CMC) to examine such cases. This Committee, after
weighing all pros and cons, was required to give detailed reasoning for settling the
dispute through conciliation or to adopt the course of arbitration. The
recommendations of this Committee for conciliation of disputes have to be placed
before the Executive Committee through concerned Member for a decision.
4. The Cabinet Committee on Economic Affairs (CCEA) took certain decisions in its
meeting held on 31.08.2016 for revival of the construction sector. These decisions
were communicated by the NITI Aayog vide its two OMs No. 14070/14/2016-PPPAU
dated 5th September 2016. One of these OMs titled “Initiatives on the measures for
revival of the Construction Sector – Reg.” (Copy enclosed at Appendix -10)
required all the concerned Departments/ Ministries/ PSUs to expeditiously examine
the initiatives contained therein and take action for their implementation. The
initiatives, inter alia, include establishing a system for conciliation of disputes for
amicable settlement through appointment of Conciliation Committees comprising of
independent experts in order to ensure speedy disposal of pending or new cases.
Recourse to such conciliation is open before, during or after the arbitration
proceedings. A provision to this effect has been made in the Contract Agreements
as a mechanism for resolution of disputes.
II. In view of the aforesaid, the procedure for conciliation/ amicable settlement of disputes
was revised as under with the approval of Board of NHAI in its meeting held on
19.05.2017 in order to ensure speedy disposal of pending or new cases of disputes in
all forms of contracts [Item Rate, DBFOT (Toll/Annuity/Hybrid Annuity), EPC, OMT,
O&M, Toll, Consultancy Contract etc:
1. Standing Operating Procedure (SoP) for meeting between Chairperson,
NHAI and the Chairperson of Board of Directors of the Contractor/
Concessionaire/ Consultant:
1.1 On receipt of a reference from the Contractor (reference to Contractor made herein
includes Concessionaire/ Consultant) as per provisions stipulated in the signed
agreement for conciliation of disputes through a meeting at the level of the
Chairperson, NHAI and the Chairperson of Board of Directors of the
Concessionaire, the concerned Technical Division shall send a response within 7
working days thereby inviting the Concessionaire/ Contractor/ Consultant to
depute a team of their representatives to interact with the CGM(T), HQ8 of NHAI.
The template response is attached herewith as Appendix 11.
8 Modified vide NHAI Circular No 2.1.28 dated 03.08.2018

612
1.2 CGM(T), HQ2 will obtain and examine the correspondence/ documents of either
parties relating to the disputes, preferably within 30 days, hold discussions with
the team of the Concessionaire/ Contractor/ Consultant to crystallise the issues;
prepare the agenda containing the gist on each dispute and CGM(CMD) shall only
fix up a meeting of both the Chairmen and circulate the meeting notice and the
agenda.
1.3 CGM(T) shall make a presentation on behalf of NHAI and send the draft minutes
after the meeting with the consent of Member concerned to CGM(CMD) for issue
of the minutes after the approval of Chairperson, NHAI.
1.4 In the event of the conciliation between the parties at the level of the Chairperson,
NHAI and the Chairperson of the Concessionaire/ Construction Agency being
successful, the Technical Division shall prepare the agenda for the Executive
Committee/ Board of NHAI as per the internal delegations of the NHAI.
1.5 In cases, where the conciliation is partially successful or failed, the NHAI shall offer
the other party to refer the matter to the Conciliation Committee of Independent
Experts as the conciliation is intended to be one consolidated package of
settlement. Subject to consent of the other party, the matter would be referred to
a Conciliation & Settlement Committee established under these guidelines.
2. Panel of Members for Constitution of the Conciliation committee of Independent
Experts:
2.1 Following the decisions of the Cabinet Committee on Economic Affairs (CCEA)
and in terms of the provisions of the Arbitration and Conciliation Act 1996, it has
been decided to constitute a panel of Independent Experts comprising of the
following:
Sr. Names of Experts Brief particulars of the Expert

No.
i. Sh. Pradeep Kumar, IAS Former Chief Vigilance Commissioner
(Retd.) (CVC), Ex-Secretary to Government of
India
ii. Sh. A.V. Sinha, Ex DG Technical/Engineering Expert
(RD) & SS, MoRT&H
iii. Sh. Y. S. Malik, IAS (Retd.) Former Secretary to the Government
of India
iv. Justice I.P. Vasishth Former Judge Allahabad High Court
(Retd.) and Lokayukta, Haryana-as Legal
Expert
613
Sr. Names of Experts Brief particulars of the Expert

No.
v. Sh. A.K. Upadhyay, IAS Former Secretary to Government of
(Retd.) India
vi. Sh. V.V Ranganathan Formerly, a Senior Partner with one of
the big four accounting firms, as
Industry representative.
vii. Sh. Vijay Chhibber, IAS Former Secretary to Government of
(Retd.) India
viii. Sh. B.N. Singh, Ex DG Technical Engineering Expert
(RD) & SS, MoRT&H
ix. Sh. N.R. Dash, Ex Addl. Former Addl. Controller General,
Controller General, Ministry Ministry of Defence
of Defence
2.2 Depending upon the response to this mechanism, the work load and requirements
for speedy settlement of disputes, the panel may be expanded further with the
approval of the competent authority.
2.3 Constitution of Conciliation and Settlement Committees: - Following three

Committees are constituted for the purpose:
Conciliation & Conciliation & Conciliation &

Settlement Settlement Committee-2 Settlement Committee-3
Committee -1
Sr. Names of the Sr. Names of Sr. Name of Members

No. Members No. Members No.
i Sh. Pradeep I Justice I.P. i Sh. Vijay Chhibber

Kumar Vasishtha (Rtd.)
ii Sh. Y.S Malik Ii Sh. A. K ii Sh. B. N. singh

Upadhyay
iii Sh. A.V. Sinha iii Sh. V. V. iii Sh. N. R. Dash

Ranganathan
2.4 The tenure of Conciliation & Settlement Committee 1 & 2 is upto 01.06.20229 and
that of Conciliation & Settlement Committee 3 is upto 15.09.202210.
9
Reference Circular no 2.1.49 dated 24.05.2021
10
Reference Circular no 2.1.31/2019 dated 16.09.2019
614
2.5 The broad Terms and Conditions and the Terms of Reference of the Conciliation
Committees are enclosed as Appendix 12. The Contract Management Division
will arrange for the required infrastructure, secretarial assistance and logistic
support to the Conciliation Committee.
2.6 The possibility of non-availability of any one of the members of a Committee in any
proceedings cannot be ruled out. As such, the Committee comprising of the other
two members shall be competent to proceed in the matter and the proceedings of
the Committee shall not be vitiated if one of the three members is not present in
the deliberations of the Committee. In such cases, when the parties sign the
Settlement Agreement, at least two Conciliators shall authenticate the same and
the Conciliation proceedings shall be considered valid and the Settlement
Agreement binding on the parties.
3. Standing Operating Procedure (SoP) for conciliation through Conciliation
Committee of Independent Experts 11:
The procedure for conciliation shall be as prescribed in Sections 61 to 81 of the
Arbitration and Conciliation (Amendment) Act, 2015 (hereinafter referred to as ‘the Act’)
with the following further clarifications:
3.1 Application and Scope (in furtherance to the provisions contained in Section 61 of
the Act): Application and Scope of Conciliation shall be before, during or after the
arbitral process. The NHAI on the one hand, and the Concessionaire/ Contractor/
Consulting Agency on the other, shall be deemed to have consented to opt for
conciliation under the Act ibid by giving their consent for conciliation as per these
policy guidelines. The consent of the parties shall also be deemed to be their
consent for the procedure prescribed herein.
3.2 Commencement of Conciliation Proceedings in terms of Section 62 of the

Act:
Conciliation Proceedings shall commence when the parties submit the following to
the Conciliation Committee:
(i) A letter, jointly signed by both parties, consenting to conciliation through any
of the three committees constituted under the NHAI Policy Guidelines, as per
suggestive template communication enclosed as Appendix-13. The
Concessionaire/ Contractor/Consultant may indicate names of all three
Committees in order of their preference. The case will be referred to the
Committee leaving those which are unavailable due to work load or any other
reason. A Committee will normally be considered unavailable if it is handling
11
Inserted vide NHAI Policy circular no 2.1.23(1)/2017 dated 19.06.2017 and modified vide Policy
Circular no 2.1.48 dated 09.04.2021
615
more than 40% of the total ongoing cases at any point of time. Member
dealing with CMD may refer the matter to the Committee on above basis.
(ii) Brief statements of the issues/ dispute(s) to be taken up for conciliation:
a. As per Concessionaire/ Contractor/ Consulting agency
b. As per NHAI
(iii) Name, Address and Contact details of the person(s) representing parties:-
a. NHAI (duly authorised by the Competent Authority (Chairperson or

Member concerned, as the case may be)
b. Concessionaire/Contractor/ Consulting Agency - The person

representing shall be a Senior Executive and a regular employee of the
company, supported by a Board Resolution and a Power of Attorney,
duly authorized to enter into a Conciliation Agreement. The parties will
not be permitted to bring professional lawyers for conciliation. The
suggestive templates of Board Resolution and Power of Attorney are
enclosed as Appendix 14 & 15 respectively. These can be produced
on or before first hearing of CCIE;
(iv) The process of conciliation/settlement should be started preferably keeping

the Arbitration/ Court proceedings in abeyance. If any party wants to
continue with arbitration/court proceedings, the parties shall inform the
Arbitral Tribunal/Court regarding initiation of conciliation process by them
before the first meeting of CCIE.
(v) List of Documents (suggestive) to be submitted by the parties: -
a. Copy of Contract/Concession Agreement or relevant clauses pertaining

to the disputes/claims.
b. Copy of Statement of Claims (SOCs), Statement of Defences (SODs)

etc. when the matter is pending before the Arbitral Tribunal.
c. Copy of Arbitral Awards; OMPs filed before the Hon’ble Court; Orders
passed by the Hon’ble Court, if any, etc. when the matter is pending
before the Hon’ble Court.
(vi) For speedy disposal of the cases, the parties to preferably hold a
preliminary discussion between them before the first meeting of CCIE.
(vii) CCIEs will give recommendation about the possible terms of settlement to
both parties, wherever necessary, as per Section 73 of A&C Act.
616
3.3 Number of Conciliators and Appointment of Conciliators (in terms of Sections 63 &
64 of the Act): The consent of parties to proceed with conciliation and settlement
of dispute(s) through the Conciliation Committees constituted under the Policy
Guidelines of NHAI shall be deemed to fulfil the conditions prescribed under
Section 63 and Section 64 of the Act.
3.4 Administrative Assistance (in furtherance of Section-68 of the Act): The

Conciliation Committee shall be assisted by such expert technical and secretarial
assistance as it may require for efficient discharge of its functions. The NHAI shall
make arrangements for the same to the satisfaction of the Committees.
3.5 Costs of Conciliation and Deposits: In terms of Sections 78 and 79 of the Act,
the NHAI shall incur all expenditure on the conciliation proceedings including
payment of fees to the conciliators, provision of office space, expenditure on
dedicated expert and secretarial assistance and other incidental expenses. In
case of successful cases, an amount of Rs. 5 Lakh shall be recovered by NHAI
from the other party (Concessionaire/ Contractor/ Consulting Agency) irrespective
of number of CCIE meetings. In case of failed cases, NHAI shall absorb the
conciliation expenditure.
3.6 Residuary matters: The panel of Conciliators may decide on the procedures to
be followed in respect of any residuary matters, including the review of this SOP
from time to time, based on the experience gained in the process.
4. Timelines to process the matters for referring to CCIEs12: NHAI has started a
Conciliation Drive for settling the long pending disputes through CCIEs and identified
certain cases for conciliations through CCIEs which are currently under Arbitration or
pending before Hon’ble Courts. However, it has been observed that considerable time is
being taken in referring such cases to CCIEs. In order to expedite the process of referring
the cases to CCIEs, the following timelines have been finalized:
Activity Activity Description Timeline

No. (Days)
(i) Receipt of consent by Technical Division from Date of
concessionaire/ contractor for conciliation through CCIE. The consent letter
Concessionaire/ Contractor may indicate names of all three received (D)
Committees in order of their preference and also submit the
consent letter separately addressed to the CCIEs to enable
12
Ref. NHAI Policy no 2.1.50 dt 26.05.2021
617
Activity Activity Description Timeline

No. (Days)
NHAI to refer the case to CCIE which is considered to be
available
(ii) Technical Division to refer the file to CMD alongwith Within 5

documents mentioned in the attached Checklist. However, to working days
avoid delay in referring the matters to CCIE, Technical i.e. upto D+ 5
Division is to forward at least the following documents to CMD days
(i) A letter, jointly signed by both parties, consenting to
conciliation through a particular CCIE
(ii) Brief statement of the issues/ disputes to be taken up for
conciliation indicating issue wise claimed amount
(a) As per Contractor/ Concessionaire

(b) As per NHAI
The rest of the documents mentioned in the Checklist can be

provided by the parties on or before the first meeting of CCIE.
(iii) CMD to examine the documents, prepare detailed note and Within 2
refer the matter to CCIE. working days
i.e. upto D+7
days
4.1 The concerned Technical Division and CMD should strictly adhere to the aforesaid
timelines.
4.2 Check List for referring the matters to CCIEs for conciliation/ amicable settlement:
Sl. Description of the document/activity Whether

No. Attached
or not
1. Name of the Project
2. Preference of CCIE
3. A letter, jointly signed by both parties, consenting to conciliation
through a particular CCIE
4. Brief statement of the issues/ disputes to be taken up for conciliation
indicating issue wise claimed amount
(a) As per Contractor/ Concessionaire
(b) As per NHAI
618
Sl. Description of the document/activity Whether

No. Attached
or not
5. Name, address and contact details of the persons representing parties
(a) Concessionaire/ Contractor supported by a Board resolution and
a power of attorney
(b) NHAI
6. Additional documents
(a) If the matter is under arbitration
i. Composition of AT
ii. Whether SOC has been filed and if so, a copy of the same
iii. Whether SOD has been filed and if so, a copy of the same
(b) When the matter is sub-judice before Court
i. Date of publication of AT award and a copy of the same and brief
summary as under:
Sl. Description Amount Amount Amount
No. of claim claimed by the awarded Claimed/
Contractor/ by AT (Rs requested by the
Concessionaire in crore) Contractor/
before AT (Rs in Concessionaire
crore) before CCIE
now (Rs in
crore)
ii. Whether AT award has been challenged by NHAI and if so, OMP
No. and a copy of the same
iii. Whether AT award has been challenged by the Contractor/
Concessionaire and if so, no. of OMP vide which challenged and a
copy of the same
iv. Copies of Court Orders passed, if any
7. Copy of the application submitted to AT/ Court regarding initiation of
Conciliation process
8. Copy of the relevant clauses of the Concession/ Contract agreement
9. Regarding conciliation fees, it is to be ensured that in case of
successful cases, an amount of Rs. 5 lakhs is to be recovered by
Technical Division from the other party (Concessionaire/ Contractor/
Consulting agency) irrespective of nos. of CCIE meetings. In case of
failed cases, NHAI shall absorb the Conciliation expenditure.
619
5. The Conciliation process shall be conducted under Part III of the Arbitration and
Conciliation (Amendment) Act, 2015. The Conciliation & Settlement Committee would
either be able to resolve and settle the dispute(s) between the parties, or the process may
fail. In case of failure of the conciliation process at the level of the Conciliation Committee,
the parties may withdraw from conciliation process and take recourse to the laid down
legal process of arbitration/ Courts. In the event of the conciliation proceedings being
successful, the parties to the dispute would sign the written Settlement Agreement and
the Conciliator would authenticate the same. Such Settlement Agreement would then be
binding on the parties in terms of Section 73 of the Arbitration and Conciliation
(Amendment) Act, 2015.
6. Follow-up action by NHAI on the recommendations of the Conciliation Committee:

The NHAI would honour and implement the recommendations/decisions of the
Conciliation Committee of Independent Experts.
7. Once the recommendations/ decision of the Conciliation & Settlement Committee are
received, the Contract Management Division of NHAI shall inform the concerned Technical
Division accordingly within 7 working days. The authorized officer-in-charge of the NHAI
and the authorized representative of the other party shall take prompt action to fulfil their
respective obligation for signing the Settlement Agreement, including withdrawal of the
case(s) pending before the Arbitral Tribunals/Courts, preferably within a period of 30 days.
The payments due from one party to the other party as per the settlement shall be made
by either party within a period of 30 days of completion of the obligations by the parties.
8. Model Settlement Agreement post Conciliation/ settlement between the parties: In

order to execute a settlement agreement post conciliation/ settlement, a model settlement
agreement is enclosed as Appendix -1613 for adoption with amendments as required on
case to case basis, capturing the factual position, terms of settlement, applicable contract/
concession provisions and adhering the SOP as amended from time to time.
13
Reference NHAI Circular No. NHAI/CGM/Conciliation/2017-18/116433 dated 19.04.2018.
620
III. The Contract Management Division shall place a Standing Item for the Board of NHAI
containing information about the Settlements reached between Chairperson, NHAI and
the Chairperson of Board of Directors of the Contractor/ Concessionaire/
Consultant or at the level of the Conciliation Committee for the information of the Board
in every meeting of the NHAI Board in the following format:
Sr. Brief of the Dispute by the Claim Settlement Level of Settlement

Amount
No. Party Amount (Chairperson/ EC/
Conciliation Committee)
IV. Procedure in cases already pending before the Arbitral Tribunals/ Courts:
1. In cases of disputes pending before the Arbitration Tribunals or the Courts, the
Technical Division shall make an offer to the Concessionaire/ Contractor/
Consultant to come forward and explore the possibilities of conciliation through the
Conciliation Committee of Independent Experts. Wherever the parties to the
dispute(s) agree to invoke the good offices of the Conciliation Committee, the
Technical Division shall make a reference to Contract Management Division with
the relevant documents and the Contract Management Division shall make an
appropriate reference to the Conciliation Committee, upon which the Committee
shall proceed to examine such reference(s). However, wherever the parties agree
to reach out to the Conciliation Committee, they may preferably keep the
proceedings pending before the Arbitral Tribunals/ Courts in abeyance.
2. It may be noted that this is an alternate dispute resolution mechanism being put in
place by the NHAI and if the Concessionaire/ Contractor/ Consultant is not willing
to take recourse to this process or has any reluctance, whatsoever, in this behalf,
there is no compulsion and they are free to follow the provisions as per the law
and respective agreements.
621
Standard Operating Procedure for recommending the offers of NHAI in

Conciliation/Amicable Settlement through Conciliation Committee of Ind ependent
Experts
V. A Standing Committee of 3 CGMs was constituted vide Office Order No. 11021/02/2010-
Admn. dt. 13.09.2017, to do requisite due diligence on behalf of NHAI in the matters that
are to be put up for consideration of the Conciliation Committee of Independent Experts
(CCIE). The Standard Operating Procedure (SOP) to be followed by the aforesaid
Standing Committee was issued vide Policy Guideline No. 2.1.24/2017 dt. 02.11.2017.
Some modifications were made in the SOP for Standard Committee vide Policy No.
2.1.26 dt. 26.02.2018.
VI. In supersession of para 3 & 4 of Office Order no. 1102/02/2010-Admn dated 13.9.2017,
SOP for Standing Committee issued vide policy guidelines no. 2.1.24/2017 dated
02.11.2017 and Policy guidelines no. 2.1.26 dated 26.02.2018; the Competent Authority
vide Policy No. 2.1.27/2018 approved the modified SOP. Para 1(g) of the modified SOP
was further modified vide Policy No. 2.1.28 dt. 03.08.2018.
VII. A 3 CGM Committee was constituted vide Office Order No. 11041/283-
Misc.(Conciliations)/2020-Admn./62-Manual dt. 24.07.2020 for recommending the offers
of NHAI in conciliations. Afterwards in supersession of Office Order dt. 24.07.2020, two
nos. of 3 CGM Committees were constituted vide Office Order No. 11041/283-
Misc.(Conciliations)/2020-Admn./145-Manual dt. 02.09.2020 for recommending the
offers of NHAI in conciliations through CCIEs. Subsequently in supersession of Office
Order dt. 02.09.2020, following three nos. of 3 CGM Committees have been constituted
vide Office Order dt. 25.01.2021 and modified vide Policy Circular No. 2.1.51 dt.
11.06.2021 to expedite the disposal of pending cases:
Committee-1 Committee-2 Committee-3
CGM(CMD), Sh. Vishal CGM(T), Sh. Ajmer Singh CGM(T), Sh. L P Padhy
Gupta
CGM(Finance), Sh. B. M. CGM(Finance), Sh. B. M. Rao CGM(Finance), Sh. B. M.
Rao14 Rao
CGM or GM (in case GM is CGM or GM (in case GM is CGM or GM (in case GM is

reporting directly to reporting directly to Member) of reporting directly to Member)
Member) of concerned concerned Technical Division of concerned Technical
Technical Division Division
14
Policy Circular No. 2.1.51 dt. 11.06.2021
622
VIII. Technical Divisions shall route file through Member looking after works of Contract
Management Division for allotment of cases to a particular 3 CGM Committee15.
IX. The modified Standard Operating Procedure for recommending the offers of NHAI
in Conciliation/Amicable Settlement through Conciliation Committee of
Independent Experts
1. Contract Management Division (CMD) would be responsible for overall coordination

of the cases and CGM (CMD) would assign the case number to each case. While
submitting the case to CCIE, a copy of the case/ documents as submitted to CCIE
shall also be sent to above Committee by the Contract Management Division (CMD).
2. The Committee shall carryout the requisite due diligence on behalf of NHAI in each
case put up to CCIEs. The Committee may also call the concerned RO and PD for
any clarifications on the issues, if required.
3. CGM (T) concerned of the project shall attend all the meetings of CCIEs.
4. The Committee may independently examine the Arbitral Awards/Court Orders in the
similar matters and the settlements having taken place earlier under 3-CGMs
Committee/ ISAC method and arrive at possible options in conciliation duly accounting
for strength and weakness of NHAI in the case. As required to sort out differences if
any on the issues/facts of the case and to assess the likely meeting point on the
options for conciliation, the Committee may also hold discussions with
Concessionaire/Contractor.
5. The record of proceedings/ minutes of meeting issued by CCIE in respect of the

meetings held by it including the suggestions /comments made therein, if any, may
be examined and kept in view by the Committee while working out the options for
conciliation.
6. A Committee comprising three members should deliberate on what is going to be final

offer of NHAI for conciliation. The three Members Committee would comprise of
Member (Finance), Member (P)-RKP and the Member concerned. In case,
15
Policy Circular No. 2.1.46/2021 dt. 19.02.2021
623
Member(P)- RKP himself is the Member concerned then Member (Administration)

would be the third Member in the Committee.16
7. In the proceedings of CCIE, both the parties to the disputes would place their options
for conciliation before CCIE. After hearing both the parties, CCIE would suggest the
preferred option for Conciliation to both the parties. NHAI would honour the
recommendations/suggestions of CCIE, as already approved by the Board in its
meeting held on 19.5.2017 (Ref. Para 6 of Policy Guidelines dated 02.06.2017).
8. In the meeting called by the CCIE to discuss the respective conciliation proposals of
the parties so as to reach a consensus/settlement:
8.1 If the parties fail to arrive at some consensus/settlement, then the case would be
closed in that meeting itself with the consent of the CCIE, except in case where
CCIE in the interest of success in conciliation, wants to suggest a conciliation
proposal for consideration of the parties.
8.2 If the parties reach consensus/settlement, then the parties to the dispute would
append their signatures on the settlement as concluded and the same shall be
authenticated by the conciliators. CGM (T) concerned to the project shall sign the
settlement on behalf of NHAI.
X. On receipt of amicable settlement duly signed by the parties and authenticated by the
conciliators, the Contract Management Division shall provide the same to the concerned
Technical Division, within 7 working days. The authorized officer-in-charge of the NHAI
in Technical Division and the authorized representative of the other party shall take
prompt action to fulfill their respective obligations for signing the settlement agreement,
including withdrawal of the case(s) pending before the Arbitration Tribunals/Courts,
preferably within a period of 30 days. The payments due from one party to the other
party as per the settlement shall be made by either party within a period of 30 days of
completion of the obligations by the parties.
16
Modified vide Policy No. 2.1.28 dt. 03.08.2018
624
XI. Committee to take a call on conciliation/ amicable settlement where

settlement amount of the case is more than rs. 100 cr . 17
MoRTH vide OM no. NH-240428/27/2021-H dated 17.12.2021 (Appendix 17) has

constituted a committee to deliberate on all references being made by NHAI in case of
arbitral awards/ court orders where settlement amount is Rs. 100 Cr. & above. A copy
of same is attached herewith for information and compliance.
17
Policy Circular No. 2.4.8/2022 dt. 03.01.2022
625

Section: 2.42.4. Standard Operating Procedure for Arbitration Matters
Sub Subject
section
I. Compliance of pre-requisites before invoking arbitration
II. Nomination of Arbitrators and Constitution of Arbitral

Tribunals
III. Expenses and Fees of the Arbitrators
IV. Place of Arbitration and Venue for hearings of AT
V Submissions before the Arbitral Tribunal on behalf of

NHAI
VI Examination of AT Award
VII Competent Authority of NHAI to accept or challenge

the recommendations of DRB/ DRE/ DAB or the arbitral
award or the order of the court
VIII Limitation Period Provisions
IX The above procedure shall apply to all ongoing

arbitration cases with immediate effect.
X As per Section 23(4) of A&C Act, 1996, the pleading

which comprises of statement of claim and defence are
mandated to be completed
XI Filing application for setting aside the Arbitral Award in

the Court, engaging & briefing advocate/ sr. Advocate,
attending the hearings in the Court and accepting or
challenging the order of the Court
626
Section: 2.4. Standard Operating Procedure for Arbitration Matters

[See NHAI Circular no. Policy matters – Administration/Finance (176/2016), 2.1.22/2017,
2.1.25/2017, 2.5.10/2017, 2.5.13/2019, 2.5.14/2019, 2.1.29/2019, 2.1.30/2019, 2.1.34/2020]
Guidelines and Standard Operating Procedure for Dispute Resolution

through Arbitration
I. Compliance of pre-requisites before invoking arbitration

The requisite process (as given below) has to be ensured before taking
recourse to the operation of arbitration clause.
1. Item Rate Contracts

1.1 The Conditions of Particular Application (CoPA) of the Agreement provide
for referring the dispute by either party initially to a Dispute Review Expert
(DRE)/ Dispute Adjudication Board (DAB)/ Dispute Review Board (DRB) for
giving its recommendation.
1.2 If either party is dis-satisfied with such recommendation or if the DRE/ DAB/
DRB fails to give its recommendation within the prescribed time (56 days or
84 days, as specified in the Agreement), then either party may issue notice
to the other party on or before expiry of the prescribed time (14 days or 28
days, as given in the agreement) with a copy to the Engineer to convey its
intention to commence conciliation/arbitration.
1.3 If the DRE/ DAB/ DRB gives its recommendation and no notice of intention
to commence conciliation/arbitration has been given by either party within
the prescribed time, the recommendation of DRE/ DAB/ DRB shall become
final and binding.
1.4 The PD concerned shall submit a proposal to the RO, with a copy to
Technical Division at HQ, within 5 days of receipt of recommendation of
DRE/ DAB/ DRB clearly stating as to whether to accept the recommendation
or invoke conciliation/arbitration along with the justification supporting the
view taken by him. The Regional Officer (RO) concerned shall give his clear
recommendations along with the justification to the Member concerned at
HQ within 5 days of receipt of proposal from the Project Director (PD).
1.5 Concerned Technical Division at the HQ shall seek the decision of the
competent authority of NHAI [Ref.Para-8 below and issue a notice to the
Contractor with a copy each to the RO, the PD and the Engineer within the
time prescribed in the agreement, if it is decided to invoke
conciliation/arbitration.
627
1.6 All communications may be made by e-mails, in view of short time available.
If the time limit prescribed in the agreement to issue notice to commence
conciliation/arbitration is nearing expiry, the Technical Division shall first
issue notice with the approval of Member concerned, and then seek the
decision of the competent authority of NHAI.
1.7 In the meantime, the Contractor may also issue a notice to NHAI to
commence conciliation/arbitration. Irrespective of such notice of the
Contractor, the Technical Division shall convey the decision of NHAI to the
Contractor on the recommendation of DRE/ DAB/ DRB and to commence
conciliation/arbitration.
1.8 After issue of such notice to commence conciliation/arbitration, the parties

may explore the possibilities of conciliation/ amicable settlement, if it is
provided in the agreement or mutually agreed between the parties.
1.9 The matters relating to appointment, replacement of member(s) of DRE/

DAB/ DRB and the expenses and fees payable to the member(s) shall be
handled by the Legal & Arbitration (L&A) Division at HQ. The schedule of
fee & expenses payable to the member(s) of DRB/ DRE/ DAB shall be as
given at Appendix 6. The agreement provides that the payments to the
member(s) of DRE/ DAB/ DRB shall be shared equally by the NHAI and the
Contractor. All such payments shall be made by the concerned PIU.
2. Toll/Annuity/HAM/EPC/OMT Projects
2.1 Where, the agreement provides that either party may refer the dispute to the
Chairperson of NHAI and the Chairperson of Concessionaire (reference to
Concessionaire made herein includes Contractor) for conciliation/ amicable
settlement,
2.2 Any such reference from the Concessionaire shall be immediately

forwarded to the concerned Technical Division, who in turn shall send a
response to the Concessionaire within 7 days thereby inviting the
Concessionaire to depute a team of their representatives to interact with the
team of the Contract Management Division of NHAI as per the template
prescribed in the orders for establishment of Conciliation & Settlement
Mechanism in NHAI under issue separately.
3. Raising Dispute/Claim by NHAI against the Concessionaire

3.1 It is to be noted that as per the agreement, either party may raise a dispute.
Therefore, if a situation arises for NHAI to raise a dispute, the PD and the
RO shall promptly propose such dispute to the Technical Division at the HQ
628
for notifying it to the Concessionaire, with the approval of Member

concerned. Section 23(2A) of the Arbitration and Conciliation Act, 1996
provides as under:
23(2A) The respondent, in support of his case, may also submit a counter-
claim or plead a set-off, which shall be adjudicated upon by the arbitral
tribunal, if such counter-claim or set-off falls within the scope of the
arbitration agreement.
The instances of Arbitral Tribunals (ATs) not entertaining the counter-claims

of NHAI shall be effectively dealt with.
II. Nomination of Arbitrators and Constitution of Arbitral Tribunals

1. Technical Division shall forward copies of notices of either party invoking arbitration
within 7 days to the Legal Division along with the list of claims, copy of arbitration
clause in the agreement/ supplementary agreement and status of compliance of pre-
requisites before invoking arbitration as explained at Para-1.1 & 1.2 above so as to
nominate the arbitrator of NHAI well within the time prescribed in the agreement/ A&C
Act.
2. Immediately on receipt of copies of notices invoking arbitration from Technical

Divisions as at Para- 4.2.1 above, Legal Division shall process the file to the
Chairperson, NHAI, to decide the nominee arbitrator of NHAI in each arbitration case
and convey it to all concerned within the time prescribed.
3. The Legal Division shall maintain a list of eminent arbitrators for use of the
Chairperson as at Para-4.2.2 above, and update such list on biannual basis (in
January & July) with the approval of Executive Committee (EC). For this purpose, the
Legal Division shall maintain data regarding number of arbitration cases with each
arbitrator, Arbitral Tribunals (ATs) that fixed unreasonable fees & expenses; the hours
of hearing per day of the AT, peculiar conduct of any arbitrator (like withdrawal from
AT just before passing the Award), etc. EC would be apprised of these details on
biannual basis.
4. The number of arbitrators shall be as provided in the agreement. However, in case the
agreement provides for 3 arbitrators, but the value of all claims put together under the
contract is Rs. 50 Cr. or less, the Chairperson, if acceptable to the Contractor, may
decide on a sole arbitrator so as to follow the fast track procedure of arbitration as per
Section-29(B) of the Arbitration and Conciliation Act, 1996 as amended by Act 3 of
2016 (A&C Act).
629
5. The existing agreements of Toll/ Annuity/ EPC/ OMT Projects mostly provide for
arbitration in accordance with the Rules of Arbitration of the Indian Council of
Arbitration (ICA)/ International Centre for Alternative Dispute Resolution (ICADR) or
such other rules as may be mutually agreed by the parties. The “Society for Affordable
Redressal of Disputes (SAROD)" was formed in Oct., 2013 by the NHAI & NHBF
(National Highways Builders Federation) for timely and affordable dispute resolution
with the approval of NHAI Board. Now, it has been prescribed in the standard bidding
documents of Toll/ HAM/ EPC/ OMT Projects that the arbitration shall be held in
accordance with the rules of SAROD or such other rules as may be mutually agreed
by the parties. Therefore, in the existing agreements, where ICA or ICADR rules are
prescribed, Technical Division may explore and sign a Supplementary Agreement with
the Concessionaire to follow SAROD Rules of Arbitration (a copy of draft
Supplementary Agreement is enclosed at Appendix 7). Technical Division shall follow
the applicable rules/ procedures of arbitration scrupulously.
6. The provisions in the agreement shall be followed for appointment of the 3rd Presiding
Arbitrator, which may sometimes (where the two arbitrators selected by the parties fail
to agree on the 3rd Arbitrator) require referring the matter to the institutions like ICA,
ICADR, SAROD, IRC, etc or to the court. Technical Division shall take timely action in
this regard in consultation with the Legal Division.
7. Each of the nominated/ selected arbitrators is required to give a disclosure in writing

to the parties as per Section-12, Fifth & Seventh Schedule and in the form strictly as
prescribed in the Sixth Schedule of A&C Act on the existence of circumstances:
7.1 such as any relationship with or interest in any of the parties or in

relation to the dispute, which is likely to give rise to justifiable doubts
as to his independence or impartiality; and
7.2 which are likely to affect his ability to devote sufficient time to the
arbitration
8. Immediately on receipt of such disclosures, the Technical Division shall examine with
the help of the Advocate of NHAI as to whether such disclosures cover all the grounds
given in Fifth & Seventh Schedule of A&C Act and identify the grounds for challenge,
if any. If any nominated/ selected arbitrator is found to be ineligible to be appointed
as an Arbitrator, Technical Division shall file a written statement of challenge before
the Arbitral Tribunal [Refer Section-13(2) of A&C Act], within the time limits prescribed
in A&C Act. The Legal Division shall maintain data on such disclosures, statements
filed by the parties and the decisions of AT.
630
III. Expenses and Fees of the Arbitrators
1. The schedule of expenses and fees payable to the Arbitrators have been revised now
as enclosed at Appendix 9.
2. If no Agreement/ Supplementary Agreement exists between the parties on the
expenses and fees payable to the Arbitrators, the Technical Division shall request the
AT in the 1st Meeting itself to agree to the NHAI’s schedule and to hold hearings on
daily basis (both in forenoon and afternoon). It shall also be specifically submitted to
the AT that holding hearings either in FN or AN of the day leads to delays in disposal
of the cases, loss of time, effort and energy of its officers attending the hearings,
especially for those travelling from outstation, in addition to higher financial bills for the
parties.
In arbitrations where agreements/ supplementary agreements provide for fee as per
NHAI Circular and in arbitrations under SAROD, the fee structure of NHAI is followed.
The cost of arbitration is to be affordable to the parties.
3. If the AT declines to agree to the fee and expenses suggested by NHAI and fixes
higher level of fees and expenses, the Technical Division shall submit an application
before the AT, within 14 days of the 1st meeting of AT, for reconsideration of fees and
expenses fixed by the AT. If the AT rejects such application, Technical Division may
consult the L&A Division to file an application in the court or not and take action
accordingly on case to case basis with the approval of Member concerned and
Member in-charge of L&A Division. Accordingly, the Technical Division shall issue
instructions to PDs regarding release of payments to the Arbitrators.
4. In case of Arbitrations under the rules of ICA/ ICADR/ SAROD, the fees and expenses
payable to the Arbitrators, the administrative/ registration fee payable to the institution,
etc. shall be as prescribed in the rules of ICA/ ICADR/ SAROD.
IV. Place of Arbitration and Venue for hearings of AT
1. The place of arbitration shall be as decided in the agreement (mostly Delhi). The
venue for the meetings of AT shall be at NHAI HQ or any alternative accommodation
nearby, as may be arranged by the NHAI. Administration Division of NHAI shall
organize the venue, lunch, refreshments, etc and notify to the Technical Divisions.
Concessionaires may also be persuaded to utilize the same venue.
2. Any AT invariably orders in the first instance itself that the expenses on venues, lunch,
refreshments, secretarial assistance, etc shall be shared equally by the parties and
631
later determines whether the costs are payable by one party [Refer Section - 31(A) of
A&C Act]. As such, an amount of Rs. 5,000/- per day shall be charged for the venue
arranged by the NHAI in its office premises, which will be shared equally by both the
parties. As for the venues not arranged by the NHAI, the Technical Division is
authorized to incur expenditure up to Rs. 8,000/- per day (50% share of NHAI) and
direct the payment of such expenses through the concerned PD/PIU.
3. The higher expenditure in arranging the venues will be approved by Member (in-
charge of the Project), considering the justification for such higher expenditure.
V. Submissions before the Arbitral Tribunal on behalf of NHAI

1. GM (T) of Technical Division at HQ shall be the authorized representative of NHAI
before the Arbitral Tribunal. GM(T) shall liaise with the Advocate/ Techno Legal Expert
of NHAI and PD/ RO concerned.
2. The PD concerned shall submit a brief of the dispute within 15 days of receipt of a
notice invoking arbitration of either party on any dispute along with the copies of all
correspondence exchanged on the dispute along with a proper index to the RO and
the Technical Division, which will be used for briefing purposes.
3. Thereafter, within 15 days of receipt of Statement of Claim of the Claimant, the PD

shall furnish preliminary submissions, para-wise replies on the claims and details of
counterclaims of NHAI to the Advocate/ Techno Legal Expert engaged by NHAI with
a copy to the RO & the Technical Division. At the same time, Technical Division at the
HQ shall identify AT Awards already published on similar disputes in other contracts
and provide copies of such AT Awards to the Advocate/ Techno Legal Expert of NHAI
so as to cull out and prepare strong arguments on behalf of NHAI for use in the instant
case. For this purpose, the L&A Division shall maintain data on AT Awards and court
orders already pronounced in NHAI Projects for use of Technical Divisions.
4. Thereafter, within 15 days, the Advocate/ Techno Legal Expert of NHAI shall prepare
the draft statement of defense and counter-claims of NHAI and submit the same to the
Technical Division with a copy to PD & RO. Then, within 15 days, the PD, RO &
Technical Division shall review the draft and furnish their comments to the Advocate/
Techno Legal Expert who in turn shall modify the drafts suitably and submit final draft
within 7 days to the Technical Division. Then, within 7 days, the Technical Division
shall take the approval of Member concerned and submit the same before the AT with
a copy to PD, RO and L&A Division.
5. In case NHAI is the claimant, the process will remain identical as described above with
the appropriate changes in the nomenclature. As above, 2 months’ time is required to
file the submissions of NHAI before the AT. However, if AT allows shorter time to
NHAI keeping in view the time limits given in the A&C Act [Refer Section-29(A)], the
632
above timelines may be squeezed suitably and the Technical Division shall ensure
timely submissions before the AT. Seeking extension of time for submissions or
adjournment of hearings of AT shall be avoided and if the same are unavoidable,
approval of Member concerned shall be taken, duly explaining the unavoidable
circumstances, Member concerned may permit such requests judiciously.
6. AT hearings shall be attended by the officers from NHAI as under:
Arbitrations where Claim Officer of NHAI who has to attend AT hearings besides
or Counter-Claim Value Advocate/ Techno Legal Expert engaged by NHAI
is
Up to Rs. 100 Crore Manager (T) or DGM (T) at HQ shall attend all AT hearings.
Member concerned will decide, if PD or GM(T) is required
to attend any specific hearing(s), on perusal of proceedings
of the AT.
More than Rs. 100 Crore GM(T) at HQ shall attend all AT hearings. Member
and up to Rs. 500 Crore concerned will decide, if PD is required to attend any
specific hearing(s) on perusal of proceedings of AT.
More than Rs. 500 Crore (i) GM(T) at HQ shall attend all AT hearings.
Member concerned will decide, if PD is required
to attend any specific hearing(s) on perusal of
proceedings of AT.
(ii) In case the Claim/ Counter Claim Amount is more
than Rs. 1,000 crore, CGM(T) at HQ or CGM/ RO
concerned shall attend the important AT
hearings, as decided by the Member concerned
on perusal of proceedings of AT.
(iii) In case the Claim/ Counter-claim Amount is more
than Rs. 2000 crore, Member concerned may
attend the important AT hearings on perusal of
proceedings of AT.
Notes:
(i) Any deviation to the requirements in above table, needs prior approval of Chairperson.
(ii) The conferences/ briefings of Sr. Advocate (if engaged) shall invariably be attended by
the concerned GM(T), HQ.
(iii) Secretarial support Staff shall be arranged by the Administration Division to assist in
organizing AT hearings at venues arranged by the NHAI.
(iv) The presenting officer of NHAI, who filed the affidavit on behalf of NHAI before Ld.
Arbitral Tribunal (AT), even if he is transferred to another PIU, shall attend the hearings
before Ld. Arbitral Tribunal, as and when called for testimony of his Affidavit.
633
7. During the arbitral proceedings, the Technical Division, as and when required, in
consultation with the Advocate/ Techno Legal Expert of NHAI, shall file various
applications before AT/ Court to protect the interest of NHAI like allowing interim
measures, challenging the appointment of arbitrator(s), AT’s jurisdiction, limitation, etc.
8. For arbitrations relating to the disputes arising at site of the projects, PD shall be solely
responsible for bringing out all relevant facts and documents, including correctness of
calculations in the submissions of NHAI, and for timely submission of all relevant
documents from time to time to the Technical Division at HQ, as required for the case
during the proceedings of AT.
VI. Examination of AT Award

1. Immediately after receipt of Arbitral Award, following actions shall be taken:-
4.1 The Presenting Officer of NHAI is personally responsible for sending
scanned copy by e-mail/Portal of the arbitral award to Member (Admn.); CGM
(Legal); & CGM (T) at HQ within one working day of receipt of the arbitral award.
Technical Divisions after receipt of Arbitral Award shall take action to file
correction/ interpretation or seek additional award in terms of Section-33 of the
Arbitration & Conciliation Act, if required within 7 Days from the date of award
published by Ld. AT.
4.2 Within 7 days of issue of AT Award, the Advocate/ Techno Legal Expert
shall give its views in the following format to the PD/RO/Technical Division:
Dispute Brief Claim Issues Finding Amount Interest Views Views

/ Claim Descriptio Amoun frame s of AT Awarde Awarde on the on the
Number n of Claim t d by on d by AT d by AT Issue Amount
without AT Issues (without (From s Awarde
interest under interest) — To & d
this Rate)
Claim
4.3 Within 7 days of receipt of above views, the PD and RO shall furnish their
views on AT Award in the above format separately to Technical Division.
4.4 Within 10 days of receipt of above views of PD and RO, the Technical
Division shall submit a proposal to the Member concerned by giving its
634
views in the above format and clearly stating whether to accept or

challenge the AT Award. Member concerned may seek opinion of L&A
Division on legal issues involved, if any, and either give decision, if he is
competent or obtain decision of the Competent Authority to accept or
challenge the AT Award.
4.5 Further, if the AT Award may be unanimous or by majority with dissenting
award from one of the members of the AT. Member concerned shall
examine the AT award and take a decision at his level as per the delegation
given in the table at Para 4.7.1 below. Wherever the matter is to be placed
before the EC, the Member concerned shall do so with his
recommendations as to whether the Award should be accepted in full, or in
part or further contested
4.6 Tech. Division shall ensure that the decision of the Competent Authority of
NHAI to challenge or accept AT award is obtained within 30 days of date
of receipt of arbitral award. If AT Award is to be challenged, Technical
Division shall send a proposal to Legal Division with all supporting
documents within 3 days of dec1sion of Competent Authority of NHAI to
challenge AT award for obtaining the opinion of Government Law Officer/
Dept. of Legal Affairs, MoL&J. GM(Legal) is the coordination officer to get
the opinion from DOLA/MoL&J and furnish to Tech. Division within the due
date to challenge.
4.7 If AT Award is to be challenged, Technical Division shall ensure timely
filling of an application before the Court [Refer Section 34 (3) of A&C Act].
If the due date of filling the appeal in the Court on challenging the arbitral
award is lapsing and opinion of Law Officer/Dept. of Legal Affairs, Ministry
of Law & Justice (MoL&J) is pending, Tech. Division may file the
petition/appeal and if MoL&J opines that the arbitral award is not to be
challenged, then Tech. Division shall withdraw the petition/appeal.
4.8 In case of acceptance of AT award in full or in part after consideration of
Para-(iv) above, the applicable payments shall be released immediately to
the Claimant through PIU so as to avoid interest on delayed payments
given in the AT Award.
2. In case of acceptance of AT Award in full or in part, the applicable payments shall be

released immediately to the Concessionaire through PIU so as to avoid interest on
delayed payments given in the AT Award.
VII. Competent Authority of NHAI to accept or challenge the recommendations of

DRB/ DRE/ DAB or the arbitral award or the order of the court
1. The AT Awards may be unanimous or majority decisions with dissenting views from
one of the members of the AT. The Member concerned shall examine the AT award
635
and take a decision at his level as per the delegations given below. Wherever the
matter is to be placed before the EC, the Member concerned shall do so with his
recommendations on as to whether the Award should be accepted in full, or in part or
further contested.
Payable Amount (without interest) Competent Authority of NHAI to accept

involved in the recommendations/ or challenge
award/ order
Payable amount (without interest) up Member concerned

to Rs. 10 Crore
Payable amount (without interest) Executive Committee

above Rs. 10 Crore
2. In case the prescribed time limit to challenge any recommendation/ award/ order, not
in favour of NHAI is lapsing, Member concerned shall first instruct the Technical
Division to challenge it. Thereafter, Technical Division shall seek decision of the
competent authority to accept or challenge the recommendation/ award/ order. If the
competent authority decides to accept the recommendation/ award/ order, then the
challenge shall be withdrawn.
VIII. Limitation Period Provisions

The limitation period is as under:
(i) The Arbitral Award is to be either accepted or challenged within a period of 90
days, from the date of the receipt of the award, before the Court of Law [Refer
Section-34(3) of A&C Act].
IX. The above procedure shall apply to all ongoing arbitration cases with immediate effect.
However, for arbitration cases outside Delhi (mostly in short-term 0&M Contracts), R0s/
PDs shall handle such arbitration cases, as per the procedure to be decided by the
Member concerned. The performance of PD, RO & officers of Technical Division in
defending the arbitration matters will form part of the Performance Appraisal Reports/
APARs of concerned officers.
X. As per Section 23(4) of A&C Act, 1996, the pleading which comprises of statement of
claim and defence are mandated to be completed within a period of six months from the
date the arbitrator, or all the arbitrators received notice, in writing, of their appointments.
Section 29A of the Act provides that an arbitral tribunal has to publish the award within a
period of twelve months from the date of completion of pleadings and the parties may by
mutual consent, extend the period for making award for a further period not exceeding 6
636
months. Thereafter, the case for extending the period of Arbitral Tribunal upto 2 months
will be put up to EC and beyond 2 months will be submitted to the Board of NHAI.
XI. Filing application for setting aside the Arbitral Award in the Court,
engaging & briefing advocate/ sr. Advocate, attending the hearings in the
Court and accepting or challenging the order of the Court
1. Soon after taking decision to challenge AT Award as per Para 7.4 above, Technical
Division at HQ shall approach the Advocate, who attended the arbitration on behalf
of NHAI, to draft the application to be filed before the court having the jurisdiction
of the case.
2. In case any inputs/ records are required from PIU/ RO, Technical Division shall
obtain the same promptly and provide to the Advocate.
3. The Advocate of NHAI shall draft the application, get it settled by Sr. Advocate (if
proposed to be engaged for the case) and furnish to the Technical Division within
15 days of receipt of reference as at 4.11.1 above. Technical Division shall finalize
the draft and obtain the approval of Member concerned at least one week before
the prescribed time limit (limitation period). GM (T) at HQ or any other level
authorized by the Member concerned shall sign the affidavit/ application and get it
filed through the Advocate/ Sr. Advocate in the court within the limitation period.
4. The PD and the Advocate of NHAI shall issue daily reminders, starting from one
week before, on date of expiry of limitation period to the GM(T) with a copy to GM
(L&A) and in turn GM(L&A) shall send a reminder to Member concerned. If any
case becomes time barred, the GM(T) at HQ shall be accountable and it will be
recorded in his Performance Appraisal Report/ APAR.
Encl.: Appendix 7 to 9.
637
Section: 2.5. Guidelines and Standard Operating Procedure for
Court Cases
Sub Subject
section
I. Accepting or Challenging the order of Single

Judge before Division Bench of same High
Court
II. Procedure for challenging the order of the

Single Judge Bench
III. Limitation Period Provisions
IV. Continuance of the Advocate for defence before

higher forums
V. Attending to the Petitions/ Applications Appeals

of Concessionaires in the Courts
VI. Decretal Amounts ordered by the Courts on

Execution Petition
VII. Filing Caveats in the Courts having jurisdiction

before taking punitive actions
VIII. Technical Division to instruct on Payments

638
Guidelines and Standard Operating Procedure for Court Cases

[See NHAI Circular no. Policy matters – Administration/Finance (176/2016), 2.1.22/2017,
2.1.25/2017, 2.5.10/2017, 2.5.13/2019, 2.5.14/2019, 2.1.29/2019, 2.1.30/2019, 2.1.34/2020]
Guidelines and Standard Operating Procedures (SOP) for handling Court Cases
I. Accepting or Challenging the order of Single Judge before Division
Bench of same High Court
1. Within 7 days of receipt of the Order of Single Judge, the Advocate of NHAI
shall give its opinion in the following format to the Technical Division
Dispute Brief Claim Issues Finding Amount Interest Views Opinion

/ Claim Descriptio Amoun frame s of AT Awarde Awarde of the of
Number n of Claim t d by on d by AT d by AT Court Advocat
without AT Issues (without (From on e
interest under interest) — To & Issue
this Rate) s
Claim
2. Within 7 days of receipt of the above views of the Advocate of NHAI,

Technical Division shall submit a proposal to Member concerned to accept
or challenge the order of Ld. Single Judge by giving its views in the above
format. Member concerned may seek opinion of the L&A Division on legal
issues involved, if any and either give decision, if he is competent or obtain
decision of the Competent Authority to accept or challenge the order.
3. In case the prescribed time limit to challenge the order is lapsing and the
Competent Authority is not readily available, the Member concerned may
direct the Technical Division to do the needful and get the same ratified
from the competent authority later. If the competent authority, however,
decides to accept the order, the challenge made shall be withdrawn.
II. Procedure for challenging the order of the Single Judge Bench
The procedure as given at Para-4 above shall be followed to challenge the order of Ld.
Single Judge before the Division Bench of the same High Court or to challenge the order
of Division Bench before the Supreme Court. However, Technical Division shall ensure
timely filing of the appeals before the Division Bench or Supreme Court within the
limitation period.
639
III. Limitation Period Provisions

The limitation period, which starts from the date of receipt of award/ order is as under:
1. The order/ judgment of the Single Judge of High Court is to be either complied
with or challenged within a period of 30 days before the Division Bench of the
same High Court.
2. The order/ judgment of the Division Bench of the High Court is to be either
complied with or challenged before Hon'ble Supreme Court within a period of 90
days.
IV. Continuance of the Advocate for defence before higher forums

Normally, the Advocate who dealt with the case in the lower forum may be continued to
defend the NHAI in higher forum, if his/ her performance has been found to be satisfactory.
However, if Technical Division is not satisfied with the performance of the Advocate or for
any other reason in the interest of the case (like similar case defended by other Advocate,
etc), it may request the Legal Division to change the Advocate. In such a situation, L&A
Division shall nominate another suitable Advocate. L&A Division shall maintain the
feedback of Technical Divisions on the performance of the Advocates in the court cases.
V. Attending to the Petitions/ Applications Appeals of Concessionaires

in the Courts
1. In case the Contractor/ Concessionaire files a petition in the court, the Standing
Counsel of NHAI in that court, after taking the notice/ advance copy of the petition,
shall inform GM(T) concerned and GM(L&A) Division and seek instructions.
GM(L&A) shall immediately inform the Member concerned about the petition filed.
2. The Technical Division shall promptly respond, engage either the Standing Counsel
of NHAI or the advocate who dealt with the case earlier for the admission/
preliminary hearing, supply all important documents to the advocate and make best
efforts to ensure that no interim stay/ restraint order/ relief is granted against NHAI
by the court in the admission/ preliminary hearing. Such admission/ preliminary
hearings shall invariably be attended by GM(T).
3. Thereafter, the case may be defended on behalf of NHAI as per the procedure given
at Para-5.1 above.
4. L&A Division, in consultation with the respective Technical Division, may review the
performance of the Standing Counsels of NHAI in various courts and make changes,
if required, with the approval of Member.
640
VI. Decretal Amounts ordered by the Courts on Execution Petition

1. In cases where the Court has decreed the arbitral award amount, although NHAI has filed
an Appeal before a higher court, but interim relief is not granted immediately by the higher
court, Technical Division shall take approval of the Member concerned and Member (Fin.)
promptly, get DD from concerned PIU and deposit the decretal amount in the Registry of
the Court through the Advocate of NHAI, with the leave of the Court, subject to the
outcome of the pending appeal of NHAI in the higher court.
2. All concerned in PIUs/ROs/HQ are advised that the amount as directed by the Hon’ble
Court should be deposited in time prescribed by Court failing which disciplinary action will
be initiated against the concerned.
3. Sometimes, the arbitral awards are partially accepted by NHAI. In such cases also, prompt
payments shall be made to the extent of partially accepted award and mention the same
in the application before the court to prove the bona-fides of NHAI before the Court.
VII. Filing Caveats in the Courts having jurisdiction before taking

punitive actions
At the time of taking any punitive action like forfeiture of securities, termination of contract,
debarment, etc. where it is apprehended that the aggrieved party may try to obtain ex-
parte interim injunction/ stay from the court having jurisdiction, the Technical Division
would generally get the Caveats filed in all courts having the jurisdiction of the case.
Caveats shall also be filed in the Higher Courts whenever the order of the lower court is in
favour of the NHAI and it is likely to be assailed by the aggrieved party.
VIII. Technical Division to instruct on Payments

Technical Division shall issue instructions to PDs and ensure prompt payments to the
Advocates/ Sr. Advocates, decretal charges in the court, payments against partially
accepted award and any other payments relating to the court cases.
The above procedure shall apply to all ongoing court cases in Delhi with immediate effect.
However, this will not apply to the court cases outside Delhi, which will be handled by
ROs/ PDs as per the procedure decided by the Member concerned.
1. In case any of the above is in conflict with the provisions of the Agreement between the
parties or A&C Act, the latter shall prevail.
2. Subject to provisions in the respective consultancy agreements, the arbitrations/ court

cases with the consultants shall also be dealt with on similar lines, as above.
3. In case of Special Purpose Vehicle (SPV)/ Companies incorporated by NHAI, the disputes
between the SPVs and its Contractors/ Concessionaires are to be dealt with by the
641
management of concerned SPV, as these are distinct legal entities and they are
competent to decide their own procedures for dealing with such contractual disputes.
4. Before each & every Arbitral hearing, the concerned CGM at HQ along with the Presenting
Officer of NHAI shall brief Chairperson about the arbitration case, NHAI’s stand before the
Arbitral Tribunal and strategy for protecting the interest of NHAI. After each Arbitration
hearing also, Concerned CGM at HQ or the Presenting Officer of NHAI shall brief
Chairperson about the proceedings during the Arbitration hearing.
Encl.: Appendix 8.
642
Section: 2.6. Guidelines for Engagement of Law Firms/Lawyers
Sub Subject
section
I. Empanelment/Engagement of Advocates/Legal
Firms; Techno Legal Expert; Sr. Advocate at
NHAI HQ
II. Empanelment of Law Firms/ Advocates at

Regional Offices (ROs) of NHAI
III. Empanelment of Law Firms/ Advocates at PIU

levels of NHAI
IV. Engagement of Additional Solicitor General

643
Guidelines for Engagement of Law Firms/Lawyers
[See NHAI Circular no. 2.5.16/2020 dated 13.05.2020, 2.5.10/2017 dated 06.09.2017,
Administration/Finance (163/2015) dated 10.09.2015, Administration/Finance (76/2004) dated
01.03.2004, Administration/Finance (50/2003) dated 30.06.2003]
I. Empanelment/Engagement of Advocates/Legal Firms; Techno Legal

Expert; Sr. Advocate at NHAI HQ
1. The L&A Division shall nominate an Advocate (reference to advocate made herein
includes Law Firm) for defending NHAI before the Arbitral Tribunal at the time of
nomination of Arbitrator of NHAI itself. For this purpose, the L&A Division shall
maintain a list of Advocates. The cases shall be assigned to the advocates on
rotation basis. However, Chairperson has the powers to decide any Advocate,
either from the list or outside the list, considering the requirements of the case.
L&A Division shall update the list of Advocates on biannual basis (in January &
July) with the approval of EC duly taking the feedback from Technical Divisions on
the performance of the Advocates w.r.t. timely submission of documents/ opinions,
quality of documents prepared, quality of arguments before AT/ Court, time/ effort
put in for the case, etc. In case of poor performance of the Advocate in any
particular case, the Technical Division may request the L&A Division to replace
such an advocate and also remove his name from the panel.
2. There may be certain cases which may require engagement of a Techno-Legal

Expert. Normally, where it is felt that the services of a Techno-Legal Expert would
be more advantageous in the interests of NHAI, the need for engagement of an
Advocate in addition may be critically evaluated. Considering the requirements of
a case, the Legal Division may select a Techno Legal Expert and engage him with
the approval of Member concerned, under intimation to the Legal Division. The
Techno Legal Expert shall be a Graduate in Civil Engineering with experience in
arbitration matters of 10 years with at least one arbitration case for each year of
experience claimed. The Legal Division shall maintain feedback of Technical
Divisions on the performance of the Techno-Legal Experts. Further, wherever it is
proposed to engage both the Advocate and a Techno-Legal Expert, the same shall
be with the permission of the Chairperson.
3. Advocate of NHAI may defend the case himself or propose a Sr. Advocate. If a Sr.
Advocate is proposed, Technical Division, with the approval of Member concerned,
shall forward the proposal to L&A Division, who in turn will take the approval of
644
competent authority as given below and nominate a suitable Sr. Advocate for the
case.
Competent Authority to Fee per appearance of

approve engagement of Sr. Advocate
Sr. Advocate
Member (in-charge of L&A Rs.1.50 Lakh
Division)
Chairperson Above Rs.1.50 Lakh
(i) For this purpose, L&A Division shall maintain data on Sr. Advocates and fee
per appearance & charges (clerkage and conference) being charged by them.
(ii) Member concerned shall decide judiciously the hearings of the Court for which
Sr. Advocate is to be engaged.
4. Considering the requirements of the Arbitration case, if a Sr. Advocate is required

to be engaged to defend the NHAI before the AT, specific approval of Chairperson
shall be taken by the concerned Technical Division through the L&A Division.
However, such engagement of Sr. Advocate may be restricted to important
stage(s) of arbitration or important hearing(s) of AT, as decided by Member
concerned.
5. Briefings of Sr. Advocate and hearings before the Court : Advocate of NHAI shall
notify in advance to the concerned GM (T) with a copy to GM (L&A) about the
schedule of briefings to Sr. Advocate and hearing in the Court. GM (T), HQ shall
attend all the briefings/ conferences of Sr. Advocates. DGM(T) or Manager (T) of
Technical Division shall attend all the court hearings. However, important hearings
of the Court shall be attended by GM(T), as decided by Member concerned, based
on the feedback of the Advocate of NHAI on the proceedings during the previous
hearing of the Court.
6. The revised Schedule of Fees of Law Firms/ Advocates/ Techno Legal Experts/ Sr.
Advocates for litigation relating to Contractual disputes is given at Appendix 8.
Deviations in fees for Senior Advocates may be decided at the time of seeking
approval for the engagement of Sr. Advocate from the Chairperson. PD/ PIU shall
make the payments to the Law Firm/ Advocate/ Techno-Legal Expert/ Sr. Advocate
within 15 days of receipt of their bills.
II. Empanelment of Law Firms/ Advocates at Regional Offices (ROs) of NHAI

At RO Level, there should be a panel of minimum of 5 (five) Advocates amongst whom
the cases can be ordinarily be given on rotation basis, for dealing with court cases at High
645
Courts. For this purpose, the RO shall shortlist the Advocates/Law Firms with eligible
experience (at least 5 (five) years’ experience/exposure and knowledge of
Arbitration/Contractual Matters/Litigation Matters in Infrastructure Sector) and forward the
CVs of such shortlisted Advocates/Law Firms to the Legal Division, NHAI HQ and after
scrutiny by the Legal as well as LA Division the same will be approved by Member (Admn).
Only such approved Advocates/Law Firms shall form the panel of Advocates for the
purpose of handling cases at the RO.
III. Empanelment of Law Firms/ Advocates at PIU levels of NHAI

For dealing with court cases filed at the District Court/Tribunals, the PDs shall maintain a
panel of minimum of 5 (five) advocates to appear on behalf of NHAI. The panel shall
consist of advocates having at least 5 (five) years’ experience/exposure and knowledge
of Arbitration/Contractual Matters/Litigation Matters in Infrastructure Sector. For this
purpose, the PIU shall shortlist the Advocates/Law Firms with eligible experience and
forward the CVs of such shortlisted Advocates/Law Firms to the Legal Division, NHAI HQ
and after scrutiny by the Legal as well as LA Division the same will be approved by
Member (Admn). Only such approved Advocates/Law Firms shall form the panel of
Advocates for the purpose of handling cases at the PIU.
IV. Engagement of Additional Solicitor General

In court cases where both MoRT&H and NHAI are respondents and where vital interest is
involved, RO may engage Additional Solicitor General at the fee prescribed by Govt. of
India or at higher fee, if required. The approval of the Competent Authority is required for
the payment of higher fees.
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2.7 Glossary
For the purpose of these Guidelines, the terms used will have the following meaning:
i. ‘BOT’ means Build Operate and Transfer Agreements.
ii. ‘Competent Authority’ means the Authority or any officer so designated by the
Authority.
iii. ‘DRB’ means Dispute Resolution Board
iv. ‘EPC’ means Engineering, Procurement and Construction Agreements.
v. ‘HAM’ means Hybrid Annual Model Agreements
vi. ‘HQ’ means Headquarters of the National Highways Authority of India (“NHAI”)
vii. L&A Division” means Legal and Arbitration Cell or Legal Cell.
viii. ‘PIU’ means Project Implementation Unit
ix. ‘PPP’ means Public Private Partnership
x. ‘RO’ means Regional Office

647
Appendix 1
Supplementary Agreement for Incorporation Of DRB 18
SUPPLEMENTARY AGREEMENT TO MAIN CONTRACT DATED _______ 2020 FOR

PACKAGE _______
This Supplementary Agreement is executed on this _____ day of ____ 2006 between the National
Highways Authority of India, having its Corporate Office at G-5&6, Sector-10, Dwarka, New Delhi
– 110075 (hereinafter called “the Employer”) which expression shall, unless repugnant to the
context or meaning thereof, includes its administrators, successors and assigns of the One Part.
AND
_________________________ (hereinafter called “the Concessionaire”) which expression shall,

unless repugnant to the context or meaning thereof, includes its administrators, successors and
assigns of the Other Part.
WHEREAS the Employer and the Concessionaire have entered into a Concession Agreement
bearing no. ___________ on ____ 20__ for execution and completion of the works of
“____________________________________________” (hereinafter called “the Concession
Agreement”).
AND WHEREAS the Works are being executed by the Concessionaire and the Concessionaire
had made representation regarding disputes in connection with or arising out of the said
Concession Agreement.
AND WHEREAS the said Contract provides under Article ___ of Concession Agreement that the
disputes in case the mediation by the Independent Engineer fails, shall be referred to the
Chairperson of the Authority and Chairperson of the Board of Directors of the Concessionaire for
Conciliation/amicable settlement. If such disputes are not amicably settled, either party may refer
the disputes to Arbitration in accordance with the provisions as contained in the Concession
Agreement in this regard.
AND WHEREAS the parties have agreed to introduce a clause related to the constitution of …
Dispute Review Board (DRB) before referring the matter to the Chairperson of the Authority and
Chairperson of the Board of Directors of the Concessionaire for Conciliation/Amicable settlement.
18
Vide policy circular marked as 2.1.37/2020 dated 16.03.2020
648
NOW THEREFORE, the parties mutually agree as follows:
(1) “If any dispute arises between the Employer and the Concessionaire in connection with,
or arising out of the Works, whether during the execution of the Works or after their
completion and whether before or after repudiation or termination of the Contract,
including any disagreement by either party with respect to any action, omission,
opinion, instruction, determination, certificate or valuation of the Independent Engineer,
the matter in dispute shall be referred to the Dispute Review Board (the “Board”) in
case the mediation by Independent Engineer fails.
(2) The Board shall be constituted when each of the three Board Members has signed a
Board Member’s declaration of Acceptance as required by the DRB’s rules and
procedures (which, along with the declaration of acceptance form, are attached as
Annex “---” to this Supplementary Agreement.
(3) The Board shall comprise of three Member having experience in the field of
construction or have been involved in the Works related to construction and with the
interpretation of contractual documents. One member shall be selected by each of the
Employer and the Concessionaire from the list maintained by NHAI hosted on its
website (www.nhai.gov.in). in the even the parties fail to select the member within 28
days of the date of the signing of this supplementary agreement, in that eventuality,
upon the request of either or both parties such Member shall be selected by SAROD
within 14 days. The third Member shall be selected by the other two members from the
same list. If the two Members selected by or on behalf of the parties fail to select the
third Member within 14 days after the later of their selection, then upon the request of
either or both parties such third Member shall be selected by SAROD within 14 days.
The third Member shall serve as Chairperson of the Board.
(4) In the event of death, disability, or resignation of any Member, such Member shall be
replaced in the same manner as the Member being replaced was selected. If for any
other reason a Member fails or is unable to serve, the Chairperson (or failing the action
of the Chairperson then either of the other Members) shall inform the Parties and such
non-serving Member shall be replaced in the same manner as the Member being
replaced was selected. Any replacement made by the parties shall be completed within
28 days after the event giving rise to the vacancy on the Board, failing which the
replacement shall be made by SAROD in the same manner as described above.
Replacement shall be considered completed when the new Member signs the Board
Member’s Declaration of Acceptance. Throughout any replacement process the
Members not being replaced shall continue to serve and the Board shall continue to
function and its activities shall have the same force and effect as if the vacancy had not
649
occurred, provided, however, that the Board shall not conduct a hearing nor issue a
Recommendation until the replacement is completed.
(5) The recommendation of the Board shall be binding on both parties, who shall promptly
give effect to it unless and until the same shall be revised/ modified, as herein after
provided, in an arbitral award. Unless the Contract has already been repudiated or
terminated, the Concessionaire shall, in every case, continue to proceed with the Works
in accordance with the contract.
(6) If either the Employer or the Concessionaire is dissatisfied with any Recommendation
of the Board, and/or if the Board fails to issue its Recommendation within 56 days after
receipt of all the pleadings (along with the supporting documents) of the parties by the
Chairperson of the Board or any extension mutually agreed upon by the Employer and
the Concessionaire, in such a case, either the Employer or the Concessionaire may,
within 28 days after his receipt of the Recommendation, or within 28 days after the
expiry of the said period, as the case may be, give notice to the other party, with a copy
for information to the Independent Engineer, of his intention to refer the matter to the
Chairperson of the Authority and Chairperson of the Board of Directors of
Concessionaire for Conciliation/amicable settlement. It is mandatory to refer all the
disputes to DRB before issuance of completion certificate and satisfactory completion
of punch list items. No dispute shall be entertained after completion of aforementioned
date.
(7) If the Board has issued a Recommendation to the employer and the Concessionaire
within the said 56 days or any extension mutually agreed upon by the Employer and
the Contractor and no notice of intention to commence Conciliation by the Chairperson
of the Authority and Chairperson of the Board of Directors of Concessionaire for
Conciliation/amicable settlement as to such dispute has been given by either the
Employer or the Concessionaire within 28 days after the parties received such
Recommendation from the Board, the Recommendation shall become final and binding
upon the employer and Concessionaire.
(8) Whether or not it has become final and binding upon the Employer and the
Concessionaire, a Recommendation shall be admissible as evidence in any
subsequent dispute resolution procedure, including any arbitration or litigation having
any relation to the dispute to which the Recommendation relates.
(9) All Recommendations of DRB which have become final and binding or till they have
been reversed in subsequent conciliation/Arbitration process shall be implemented by
the parties forthwith. Such implementation shall also include any relevant action of the
Independent Engineer.
650
(10) If during the contract period, the Employer and the Concessionaire are of the opinion
that the Disputes Review Board is not performing its functions properly, the Employer
and the Concessionaire may together disband the Disputes Review Board and
reconstitute it. In that case, a new board shall be selected in accordance with the
provisions applying to the selection of the original Board as specified above, except
that words “within 28 days after the signing of this supplementary agreement” shall be
replaced by the words “within 28 days after the date on which the notice disbanding the
original Board became effective”.
(11) The Employer and the Concessionaire shall jointly sign a notice specifying that the
Board shall stand disbanded with effect from the date specified in the notice. The notice
shall be posted by e mail to each Member of the Board. A Member shall be deemed to
have received the e mail even if he refuses to have received the same.
(12) All other terms and conditions of the original Contract shall remain unaltered/unaffected
and parties shall remain bound by terms and conditions as contained therein.
(13) This Supplementary Agreement shall be deemed to be an integral part of the main
Contract and shall be deemed to have come into force with effect from the date of
signing of this Agreement.
(14) It is clarified that if the Arbitration has already been invoked by either Party and/or
matter is pending before Arbitral Tribunal on or before the date of signing of this
Supplementary Agreement, such dispute(s) shall not be referred to the DRB.
IN WITNESS WHEREOF the parties hereto have signed and executed this Supplementary
Agreement on the date above mentioned in the presence of witnesses:
For and on behalf of For and on behalf of

NATIONAL HIGHWAYS AUTHORITY THE CONCESSIONAIRE
OF INDIA
Witnesses Witnesses:
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Appendix 2
Dispute Resolution Board Clause 19

Article #
Dispute Resolution
#.1 Dispute Resolution
(i) In the event of 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”)
either Party may call upon the Independent Engineer, to mediate and assist the Parties in
arriving at an amicable settlement thereof.
(ii) The Parties agree to use their best efforts for resolving all Disputes arising under or in
(iii) Dispute Resolution Board (DRB):

Failing mediation by the Independent Engineer or without the intervention of the
Independent Engineer, either Party may require such Dispute to be referred to the Dispute
Resolution Board (“DRB”) in accordance with the procedure set forth in Schedule-{**}
to the Contract Agreement. The decision(s) of the Dispute Resolution Board shall be
binding on both parties who shall promptly give effect to unless and until the same is
revised/modified, as hereinafter provided, in a Conciliation/Arbitral Tribunal.
#2. Conciliation
If either the employer or the Contractor is dissatisfied with any decision of the DRB, and/or
if the DRB is unable to resolve the dispute, either Party may refer the Dispute to arbitration
in accordance with the provisions of Clause #.3 but before resorting to such arbitration,
the parties agree to explore conciliation by the Conciliation Committees of Independent
Experts set up by the Authority in accordance with the procedure decided by the panel of
such experts and notified by the Authority on its website including its subsequent
amendments. In the event of the conciliation proceedings being successful, the parties to
the dispute would sign the written settlement agreement and the conciliators would
authenticate the same. Such settlement agreement of the conciliation process even at the
19
652
level of the Conciliation Committee, either party may refer the Dispute to arbitration in
accordance with the provisions of Clause #.3.
#.3 Arbitration
Any Dispute which is not resolved amicably by conciliation as provided in Clause #.2 shall
be finally settled by arbitration as set forth below: -
i. The Dispute shall be finally referred to Society for Affordable Resolution of Disputes
(hereinafter called as SAROD), a Society registered under Society’s Act, 1860 vide
Registration n. S/RS/SW1049/2013 duly represented by Authority and National Highways
Builders Federation (NHBF). The dispute shall be dealt with in terms of Rules of SAROD.
The detailed procedure for conducting Arbitration shall be governed by the Rules of
SAROD and provisions of Arbitration & Conciliation Act, 1996, as amended from time to
time. The Dispute shall be governed by Substantive Law of India.
ii. The appointment of Tribunal, Code of conduct for Arbitrators and fees and expenses of
SAROD and Arbitral Tribunal shall also be governed by the Rules of SAROD as amended
from time to time. The rules of SAROD are placed at Appendix-7.
iii. Subject to the provisions of THE LIMITATION ACT, 1963, as amended from time to time,
Arbitration may be commenced during or after the Concession Period, provided that the
obligations of Authority and the Concessionaire shall not be altered by reason of the
Arbitration being conducted during the Concession Period.
iv. The venue of Arbitration shall be New Delhi or a place selected by governing body of
SAROD and the language for all documents and communications between the parties
shall be English.
v. The expenses incurred by each party in connection with the preparation, presentation,
etc., of arbitral proceedings shall be shared by each party itself.
#3.3 The Concessionaire and the Authority agree that an Award may be enforced against the
Concessionaire and/or the Authority, as the case may be, and their respective assets
wherever situated.
#3.4 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. Further, the parties
unconditionally acknowledge and agree that notwithstanding any dispute between them,
each party shall proceed with the performance of its respective obligations, pending
resolution of Dispute in accordance with this Article.
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#.4 Adjudication by Regulatory Authority, Tribunal of Commission
In the event of constitution of a statutory regulatory authority, tribunal or commission, as

the case may be, with powers to adjudicate upon disputes between the Concessionaire
and the Authority, all Disputes arising after such constitution shall, instead of reference to
arbitration under Clause 26.3, be adjudicated upon by such regulatory authority, tribunal
or commission in accordance with the Applicable Law and all references to Dispute
Resolution Procedure shall be construed accordingly. For the avoidance of doubt, the
Parties hereto agree that the adjudication hereunder shall not be final and binding until an
appeal against such adjudication has been decided by an appellate tribunal or court of
competent jurisdiction, as the case may be, or no such appeal has been preferred within
the time specified in the Applicable Law.
654
Appendix 3
Schedule [**]
Procedure for the appointment of Dispute Resolution Board 20
The parties to the Concession Agreement mutually agree as follows:
1) The Board shall comprise of three Members having experience in the field of construction or
have been involved in the Works related to construction and with the interpretation of
contractual documents. One Member shall be selected by each of the Employer and the
Concessionaire from the list maintained by NHAI hosted on its website (www.nhai.gov.in). In
the event the parties fail to select the member within 28 days of the date of the signing of
Concession Agreement, in that eventuality, upon the request of either or both parties such
Member shall be selected by SAROD within 14 days. The third Member shall be selected by
the other two members from the same list. If the two Members selected by or on behalf of the
parties fail to select the third Member within 14 days after the later of their selections, then
upon the request of either or both parties such third Member shall be selected by SAROD
within 14 days. The third Member shall serve as Chairperson of the Board.
2) The Board shall be constituted when each of the three Board Members has signed a Board
Member’s declaration of Acceptance as required by the DRB’s rules and procedures (which,
along with the declaration of acceptance form, are attached as Appendix herewith).
3) In the event of death disability, or resignation of any Member, such Member shall be replaced
in the same manner as the Member being replaced was selected. If for any other reason, a
Member fails or is unable to serve, the Chairperson (or failing the action of the Chairperson
then either of the other Members) shall inform the Parties and such non-serving Member shall
be replaced in the same manner as the Member being replaced was selected. Any
replacement made by the parties shall be completed within 28 days after the event giving rise
to the vacancy on the Board, failing which the replacement shall be made by SAROD in the
same manner as described above. Replacement shall be considered complete when the new
Member signs the Board Member’s Declaration of Acceptance. Throughout any replacement
process, the Members not being replaced shall continue to serve and the Board shall continue
to function and its activities shall have the same force and effect as if the vacancy had not
occurred provided, however, that the Board shall not conduct a hearing nor issue a decision
until the replacement is completed.
20
655
4) If either the Employer or the Concessionaire is dissatisfied with any decision of the Board,
and/or if the Board fails to issue its decision within 56 days after receipt of all the pleadings
(along with the supporting documents) of the parties by the Chairperson of the Board of any
extension mutually agreed upon by the employer and the Concessionaire, in such a case,
either the Employer or the Concessionaire may, within 28 days after his receipt of the
decision, or within 28 days after the expiry of the said period, as the case may be, give notice
to the other party, with a copy for information to the Independent Engineer, of his intention to
refer the matter to the Conciliation Committee of Independent Expert (CCIE) of the Authority
for Conciliation/amicable settlement.
5) It is mandatory to refer all the disputes to DRB before issuance of completion certificate and
satisfactory completion of punch list items. No dispute shall be entertained after complete of
aforementioned date.
6) If the Board has issued a decision to the employer and the Concessionaire within the said 56
days or any extension mutually agreed upon by the Employer and the Concessionaire and
no notice of intention to commence Conciliation by the Conciliation Committee of
Independent Experts (CCIE) of the Authority for Conciliation/amicable settlement as to such
dispute has been given by either the Employer or the Concessionaire within 28 days after the
parties received such decision from the Board, the decision shall become final and binding
upon the employer and Concessionaire.
7) Whether or not it has become final and binding upon the Employer and the Concessionaire,
a decision shall be admissible as evidence in any subsequent dispute resolution procedure,
including any arbitration or litigation having any relation to the dispute to which the decision
relates.
8) All decision of DRB which have become final and binding or till they have been reversed in
subsequent conciliation/Arbitration process shall be implemented by the parties forthwith.
Such implementation shall also include any relevant action of the Independent Engineer.
9) If during the Concession Period, the Employer and the Concessionaire are of the opinion that
the Dispute Resolution Board is not performing its functions properly, the Employer and the
Concessionaire may together disband the Disputes Resolution Board and reconstitute it. In
that case, a new board shall be selected in accordance with the provisions applying to the
selection of the original Board as specified above, except that words “within 28 days after the
signing of this Concession Agreement” shall be replac4ed by the words “within 28 days after
the date on which the notice disbanding the original Board became effective”.
656
10) The Employer and the Concessionaire shall jointly sign a notice specifying that the Board
shall stand disbanded with effect from the date specified in the notice. The notice shall be
posted by email to each Member of the Board. A Member shall be deemed to have received
the e mail even if he refuses to have received the same.
11) All other terms and conditions of the original Concession Agreement shall remained
unaltered/unaffected and the parties shall remain bound by terms and conditions as
contained therein.
657
Appendix 4
Disputes Resolution Board’s rules and procedures 21
1. Except for providing the services required hereunder, the Board Members shall not give
any advice to either party or to the Independent Engineer concerning conduct of the
Works. The Board Members”:
(a) Shall have no financial interest in any party to the Contract, or the Independent Engineer,
or a financial interest in the contract, except for payment for services on the Board.
(b) Shall have had no previous employment by, or financial ties to, any party to the
Concession Agreement, or the Independent Engineer, except for fee based consulting
services/advisers on other projects, and/or be Retired Government Officers (not
connected in whole or part with the project), all of which must be disclosed in writing to
both parties prior to appointment to the Board.
(c) Shall have disclosed in writing to both parties prior to appointment to the Board any and
all recent or close professional or personal relationships with any director, officer, or
employee of any party to the Contact, or the Independent Engineer, and any and all prior
involvement in the project to which the Contract relates;
(d) Shall not, while Board member, be employer whether as a consultant or adviser or
otherwise by either party to the Contract, or the Independent Engineer, except as a Board
Member, without the prior consent of the parties and the other Board Members;
(e) Shall not, while a Board Member, engage in discussion or make any agreement with any
party to the Contract, or with the Independent Engineer, regarding employment whether
as a consultant or otherwise whether after the Contract is completed or after service as a
Board Member is completed.
(f) Shall remained and be impartial and independent of the parties and shall disclose in
writing to the Employer, the Concessionaire and one another any fact or circumstance
which might be such as to cause either the Employer or the Concessionaire to question
the continued existence of the impartiality and independence required of Board Members;
and
(g) Shall be fluent in the language of the Contract.
2. Except for its participation in the Board’s activities as provided in the Concession
Agreement and in this Agreement none of the Employer, the Concessionaire, and or the
Independent Engineer shall solicit advice or consultation from the Board or the Board
Members on matters dealing with the conduct of the Works.
3. The Concessionaire shall:
21
658
(a) Furnish to each Board member one copy of all documents which the Board may request
including Concession Agreement, progress reports and other documents pertinent to the
performance of the Concession Agreement.
(b) In cooperation with the Employer, coordinate the site visits of the Board, including
conference facilities, and secretarial and copying service.
4. The Board shall begin its activities following the signing of a Board Member’s Declaration
of Acceptance by all three Board Members, and it shall terminate these activities as set
forth below:
(a) The Board shall terminate its regular activities when either (i) issuance of completion
certificate and completion of punch list items or (ii) the parties have terminated the contract
and when, in either case, the Board has communicated to the parties and the Independent
Engineer its decision on all disputes previously referred to it.
(b) Once the Board has terminated its regular activities as provided by the previous
paragraph, the Board shall remain available to process any dispute referred to it by either
party. In case of such a referral, Board Members shall receive payments as provided in
paragraphs 7(a) (ii), (iii) and (iv).
5. Board Members shall not assign or subcontract any of their work under these Rules and
Procedures.
6. The Board Members are Independent and not employees or agents of either the Employer
or the Concessionaire.
7. Payments to the Board Members for their services shall be governed by the following
provisions:
(a) Each Board Member will receive payments as follows:
i. A retainer fee per calendar month as specified in the schedule of fee made part of
this Schedule and its revision from time to time. This retainer fee shall be
considered as payment in full for:
A. Being available on 7 days’ notice, for all hearings, Site Visits, and other
meetings of the Board.
B. Being conversant with all project developments and maintaining relevant files.
659
C. All offices and overhead expenses such as secretarial services, photocopying

and office supplies (but not include telephone calls, faxes and telefaxes)
incurred in connection with the duties as a Board Member.
ii. A daily fee as specified in the schedule of fee in respect of fee for site visit &
meeting, fee for meeting/hearing not at site and extra charges for day (max. of 02
days for travel on each occasion) other than hearing/meeting days.
iii. Expenses, in addition to the above, all reasonable and necessary travel expenses
(including economy class air fare, subsistence, and other direct travel expenses).
Receipt for all expenses in excess of Rs.2000/- (Rupees Two Thousand only) shall
be provided.
iv. Reimbursement of any taxes that may be levied on payments made to the Board
Member pursuant to this paragraph 7.
(b) The retainer fee and other fees shall remain fixed for the period of each Board Member’s
term until revised by NHAI.
(c) Phasing out of monthly retainer fee. Beginning with the next month after the completion
certificate (or, if there are more than one, the one issued last) has been issued, the Board
members shall receive only one-third of the monthly retainer fee till next one year.
Beginning with the next month after the Board has terminated its regular activities
pursuant to paragraph 4(a) above, the Board members shall no longer receive any
monthly retainer fee.
(d) Payments to the Board Members shall be shared equally by the Employer and the
Concessionaire. The concerned Project Implementation Unit (PIU) of Employer shall pay
members invoices within 30 calendar days after receipt of such invoices and shall
invoices the Concessionaire for one-half of the amounts of such invoices. The
Concessionaire shall pay such invoices, within 30 days’ time period after receipt of such
invoice.
8. Board Site Visits:
(a) The Board shall visit the Sit and meet the representatives of the Employer, the
Concessionaire and the Independent Engineer at regular intervals, at times of critical
construction events, at the written request of either party, and in any case not less than
6 times in any period of 12 months. The timing of Site visits shall be as agreed among
the Employer, the Concessionaire and the Board, but failing agreement shall be fixed
by the Board.
(b) Site visits shall include an informal discussion of the status of the construction of the
Works. Site visits shall be attended by personnel from the Employer, the
Concessionaire and the Independent Engineer.
660
(c) At the conclusion of each Site visit, the Board shall prepare a report covering its
activities during the visit and shall send copies to the parties and to the Independent
Engineer.
9. Procedure for Dispute Referral to the Board:

(a) If either party objects to any action or inaction of the other party or the Independent
Engineer, the objecting party may file a written Notice of Dispute to the other party with a
coy to the Independent Engineer stating that it is given pursuant to the Agreement and
state clearly and in details the basis of the dispute.
(b) The party receiving the Notice of Dispute will consider it and respond to it in writing within
14 days after receipt.
(c) This response shall be final and conclusive on the subject, unless a written appeal to the
response is filed with the responding party within 10 days after receiving the response and
call upon Independent Engineer to mediate and assist the parties in arriving an amicable
settlement thereof. Both parties are encouraged to pursue the matter further to attempt to
settle the dispute.
(d) If the Independent Engineer receiving the Notice of Dispute fails to provide a written
response within 14 days after receipt of such Notice or failing mediation by Independent
Engineer, either party may require such dispute to be referred to the Board, either party
may refer the dispute to the Board by written Request to the Board. The Request for
decision shall state clearly and in full detail the specific issues of the dispute(s) to be
considered by Board and shall be addressed to the Chairperson of the Board, with copies
to the other Board Members, the other party, and the Independent Engineer, and it shall
state that it is made pursuant to this Agreement.
(e) When a dispute is referred to the Board, and the Board is satisfied that the dispute requires
the Board’s assistance, the Board decide when to conduct a hearing on the dispute. The
Board may request that written documentation and arguments from both parties be
submitted to each Board Member before the hearing begins. The parties shall submit
insofar as possible agreed statements of the relevant facts.
(f) During the hearing, the Concessionaire, the Employer, and the Independent Engineer
shall each have ample opportunity to be heard and to offer evidence. The Board’s decision
for resolution of the dispute will be given in writing to the Employer, the Concessionaire
and the Independent Engineer as soon as possible, and in any event not more than 56
days or any mutually extended period between the Employer and the Concessionaire. The
time period of 56 days of issuance of DRB decision will reckon/start from the day of first
hearing that begins after submission of complete pleadings (including supporting
documents, if any) by the parties.
10. Conduct of hearings.
(a) Normally hearings will be conducted at the Site, but any location that would be more
convenient and still provide all required facilities and access to necessary
661
documentation may be utilized by the Board. Private session of the Board may be held
at any cost effective location convenient to the Board. Video recordings of all hearings
shall invariably be made.
(b) The Employer the Independent Engineer and the Concessionaire shall be given
opportunity to have representatives at all hearings. Parties should restrain to bring any
Advocate/Law Firm during DRB hearings.
(c) During the hearings, no Board Member shall express any opinion concerned the merit
of the respective arguments of the parties.
(d) After the hearings are concluded, the Board shall meet privately to formulate its
decision. The private meeting(s) of the Board shall not exceed 3 sittings. All Board
deliberations shall be conducted in private, with all Members’ individual views kept
strictly confidential. The Board’s decisions, together with an explanation of its reasoning
shall be based on the pertinent contract provisions, applicable laws and regulations and
the facts and circumstances involved in the dispute.
(e) The Board shall make every effort to reach a unanimous decision. If this proves
impossible the majority shall decide and the dissenting Member may prepare a written
monthly report together with an explanation of its reasoning for submission to both
parties and to the Independent Engineer.
11. In all procedural matters, including the furnishing of written documents and arguments
relating to disputes, site visits and conduct of hearings, the Board shall have full and the
final authority. If a unanimous decision on any such matter proves impossible, the majority
shall prevail.
12. After having been selected and where necessary approved each Board Member shall sign
two copies of the following declaration and make one copy available each to the Employer
and to the Concessionaire.
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Appendix 5
Board Member’s declaration of Acceptance 22

Whereas
(a) A Concession Agreement (the Concession) for the …………………….. project (fill in the
name of project) has been signed on ……………………. (fill in date) between
………………………….. (name of Employer) and ……………………. (name of
Concessionaire) (the Concessionaire);
(b) The provisions of Agreement and Dispute Resolution Board’s rules and procedure
provided for establishment and operation of Dispute Resolution Board (DRB),
(c) The undersigned has been selected to serve as a Board Member on said Board;
NOW THEREFORE, the undersigned Board Member hereby declares as follows:
1. I accept the selection as a Board Member and agree to serve on the Board and to be
bound by the provisions of Concession Agreement and rules and procedure provided for
establishment and operation of Dispute Resolution Board (DRB).
2. With respect to paragraph I of Dispute Resolution Board’s Rules and Procedure, said
Annex A, I declare
(a) That I have no financial interest of the kind referred to in subparagraph (a):
(b) That I have had no previous employment nor financial ties of the kind referred to in
subparagraph (b); and
(c) That I have made to both parties any disclosures that may be required by sub-paragraphs
(a/b) and (c).
3. I declare that I have ………….. no. of Arbitrations (list enclosed) and …………. no. of
DRBs (list enclosed) in progress and that I will give sufficient time for the current
assignment.
BOARD MEMBER
………………………………………………………………………..
…………..………………………. (Insert name of Board Member)
Date:- ………………………………………………………………
22
663
Appendix 6
Schedule of expenses and fee payable to the Member(s) of the Dispute

Resolution Board 23
It has been decided that the fees and other expenses payable to the Members of DRB
shall be as under: -
S.No. Particular Amount Payable
1 Retainer-ship fee, secretarial assistance Rs. 50,000/- per month for one
and incidental charges (telephone, fax, package and maximum of Rs.
postage etc.) 75,000/- per month for 2 Cr. more
packages
2 (i) Fee for site visit or meetings at site Rs.25,000/- per day
(ii) Fee for meetings/hearings not at site Rs.10,000/- per day
3 Traveling expenses Economy class by air, Ac first

class by train and AC taxi by road
4 Lodging & Boarding Rs.15,000/- per day (metro Cities);

or
Rs.10,000/- per day (in other
cities); or
Rs5,000/- per day (own
arrangement)
5 Extra Charges for days other than hearing/ Rs.5,000/-
meeting days (travel days maximum of 2
days on each occasion)
6 Local conveyance Rs.2000/-
Notes:
(i) Lodging, boarding and travelling expenses will be allowed only for those members who
are residing 100 kms away from the place of meeting.
(ii) Delhi, Mumbai, Chennai, Kolkata, Bangalore and Hyderabad shall be considered as
Metro Cities.
(iii) The above schedule of fee and expenses shall be applicable on or after the date of issue
of this circular.
(iv) The expenses are to be shared equality by the parties i.e. Employer and
Concessionaire.
23
664
Appendix 7
Supplementary Agreement for SAROD 24

This Agreement is entered into on this ________ this of ………………… as a Supplement to
Agreement dated …………
Between
National Highways Authority of India having its principal office at Plot no. G-5&6, Section-10,
Dwarka, New Delhi-110075 hereinafter referred to as “Authority” which expression shall unless
repugnant to the context or meaning thereof, includes its administrators, successors and
assignees of one part
AND
M/s ……………………………………… registered as Company under the Companies Act,

1956/2013 having its Head Office at ………………………………… hereinafter referred to as
Concessionaire/Contractor which expression shall unless repugnant to the context or meaning
thereof, includes its successors and assignees of other part
The Authority and the Contractor are individually referred to as party and collectively as parties.
WHEREAS
(a) Parties entered into Concession Agreement/Contract Agreement dated

…………………… for execution of the work of ……………………… for a period of
………………. Years on DBFOT/EPC.
(b) Whereas the Concession Agreement provides for resolution of dispute under Clause
…………
(c) Whereas the Authority and National Highways Builders Federation (NHBF) have
formed a Society named “Society for Affordable Redressal of Disputes” (SAROD)
under Societies Registration Act, 1860 with the following objectives:
(i) Affordable Cost

(ii) Timely resolution of disputes in just and fair manner; and
(iii) Enrichment of Dispute Resolution Mechanism with association of technical
experts.
24
Vide Circular no. 2.1.22/2017 dated 01.06.2017
665
(d) Whereas the Authority and Concessionaire are desirous of availing the services of
SAROD for resolution of disputes and have solemnly resolved to refer the existing
disputes/future disputes/ongoing disputes with Arbitral Tribunal forthwith. Accordingly,
the relevant provisions of dispute resolution are proposed to be amended.
NOW THEREFORE, the parties have mutually agreed as follows:
1. That the Clause ……………………… of the Concession Agreement/Contract

Agreement is hereby amended to be read as follows:
(i) The dispute shall be referred to SAROD for resolution by Arbitration in
accordance with Rules of SAROD and Arbitration and Conciliation Act, 1996
as amended from time to time (or which is pending with Arbitral Tribunal
presided over by …………………… shall be referred to SAROD). Party shall
choose the Arbitrator from the panel of Arbitrators empaneled by the
SAROD. The Arbitral Tribunal shall consist of Sole Arbitrator in case total
claim of dispute is Rs. 3 Crore or less and in case the disputed claim is more
than Rs. 3 Crore, the Tribunal shall consist of odd number of Arbitrators to
be nominated by the Parties. The Presiding Arbitrator shall be appointed by
the Arbitrators nominated by the Parties in terms of Rule-11.3 to Rule-11.5,
12.1, 12.2 and 13 of SAROD.
(ii) The arbitral proceedings shall be held at Delhi (India) and the language of
arbitral proceedings and that of all correspondence between the parties shall
be in English.
(iii) While the curial law of proceedings shall be Rules of SAROD and various
provisions of Arbitration and Conciliation Act, 1996, the dispute shall be
governed by substantive law of India e.g. The Indian Contract Act, 1872 and
Arbitration and Conciliation Act 1996, National Highways Act 1956 etc.
(iv) Code of Ethics for Arbitrators shall be governed by Rule-15 of SAROD.
(v) Fee of Arbitrators and expenses incurred in the Arbitration proceedings shall
be shared by the parties in equal proportion in terms of Rule-15 of SAROD.
(vi) All procedural aspects in the arbitration proceedings shall be conducted in

terms of the Rules of SAROD.
(vii) The parties shall respect the award in letter and spirit and the award shall be
binding upon the parties unless the parties invoke the provision of Section-
34 of the Arbitration and Conciliation Act, 1996 for challenging the award.
666
IN WITNESS WHEREOF the parties have signed this Supplementary Agreement on the date
above mentioned in the presence of the Witness.
For and on behalf of NHAI For and on behalf of
Signed by Signed by
Witness: Witness:
1. 1.
2. 2.
667
Appendix 8
Schedule of fees payable to Law Firm/Advocate/Techno Legal Experts/Sr.

Advocate 25
Sr. No. Legal Subject Schedule of Fees
1. Before the Supreme Court
(In Writs, Civil or Criminal Revisions/Appeals/Arbitral Matters etc.
(i) Appearance Rs. 1.50 lakh per hearing for a

designated Senior Advocate, if
engaged.
Rs. 15,000/- per hearing in all other

categories
(ii) Drafting of Documents viz. Special Rs. 300/- per page of main text drafter
Leave Petition/Writ/Counter (excluding the text reproduced from
Affidavit/Rejoinder/Appeal/Interim other documents and Annexures)
application/Reply to Interim subject to a maximum of Rs. 1.00 Lakh.
Application/Affidavit/Rejoinder to the The page margins, spacing, indents,
Application etc. etc. shall be as per the court norms.
Minimum Charges Rs. 10,000/- (lump-
sum) per document, irrespective of
number of pages in the documents.
(b) Filing of Caveat Rs. 10,000/- per caveat
(c) Fee payable to Advocate on Record Rs. 15,000/- per case
2. Before the High Court/National Green Tribunal
(In Writs, Civil Suits/Counter Claims or Civil or Criminal Revisions/ Appeals/

Petitions/ Arbitral Matters/ any other Petition etc.)
(i) Appearance Rs. 1.25 lakh per hearing for a

designated Senior Advocate, if
engaged.
25
668
Rs. 12,000/- per hearing in all other

categories
Drafting of Documents viz. Special Rs. 250/- per page of main text drafter
Leave Petition/Writ/Counter (excluding the text reproduced from
Affidavit/Rejoinder/Appeal/Interim other documents and Annexures)
application/Reply to Interim subject to a maximum of Rs. 75,000/-.
Application/Affidavit/Rejoinder to the The page margins, spacing, indents,
Application etc. etc. shall be as per the court norms.
Filing of Caveat Rs. 7,000/- per caveat
3. Before the District Courts
(i) Appearance before District Court/City Rs. 7,000/- per hearing.

Civil Court/ Consumer Court/Small
Causes Court/Appellate Tribunal
Drafting of Documents viz. Civil Rs. 200/- per page of main text drafter
Suit/Written Submission/ Replication (excluding the text reproduced from
or Civil or Criminal Revisions/ other documents and Annexures)
Appeals/ Petitions etc./ or any subject to a maximum of Rs. 30,000/-.
other/Reply/ Appeal/ Interim The page margins, spacing, indents,
Application/ Reply to Interim etc. shall be as per the court norms.
Application/ Affidavit/ Rejoinder to the Minimum Charges Rs. 7,000/- (lump-
Application etc. sum) per document, irrespective of
4. Before other Authorities/ Tribunal/Commission/ Forums/ EO/ Labour Court/ CIC

etc.
(i) Appearance Rs. 7,000/- per hearing
Drafting of Documents viz. Petitions/ Same as at 3 (ii) above.

Reply/ Appeal/ Interim Application/
Reply to Interim Application/ Affidavit/
Rejoinder to the Application etc.
5. Before Arbitral Tribunal (Civil Engineering Contracts)

669
(i) Fee per Appearance (i) Rs. 15,000/- per hearing where
total sum of all claims or counter-
claims in the case before AT is up
to Rs. 100 Crore (if Techno Legal
Expert or Sr. Advocate is also
engaged by NHAI, Rs. 15,000/- will
be reduced to Rs. 10,000/-). 10%
extra fee in case of fast-track
arbitration as per Section-29(B) of
A&C Act and/or if the award is
published within 6 months from
date of entering the reference by
AT.
(ii) Rs. 20,000/- per hearing where
claims in the case before AT is
above Rs. 100 Crore and up to Rs.
500 Crore (if Techno Legal Expert
or Sr. Advocate is also engaged by
NHAI Rs. 20, 000/- will be reduced
to Rs. 15,000/-). 10% extra fee if
award is published within 6 months
by AT.
(iii) Rs. 25,000/- per hearing where
above Rs. 500 Crore (if Techno
Legal Expert or Sr. Advocate is
also engaged by NHAI, Rs.
25,000/- will be reduced to Rs.
20,000/-). 10% extra fee if award is
published within 6 months by AT.
(ii) Drafting of Documents, viz. Statement Rs. 250/- per page of main text drafter
of Claim/Statement of Defense/ (excluding the text reproduced from
Rejoinder/ Interim Application/ Reply other documents and Annexures)
to Interim Application/ Affidavit/ subject to a maximum of Rs. 50,000/-.
Rejoinder to the Application etc. The page margins, spacing, indents,
etc. shall be as per the court norms.
670

(iii) Written Synopsis Rs. 250/- per page of main text drafter
(excluding the text reproduced from
other documents and Annexures)
subject to a maximum of Rs. 25,000/-.
The page margins, spacing, indents,
6. Techno Legal Expert (Before Arbitral Tribunal)
(i) Fee Per Appearance (iv) Rs. 15,000/- per hearing where
claims in the case before AT is up
to Rs. 100 Crore (if Techno Legal
Expert or Sr. Advocate is also
engaged by NHAI, Rs. 15,000/- will
be reduced to Rs. 10,000/-). 10%
extra fee in case of fast-track
arbitration as per Section-29(B) of
A&C Act and/or if the award is
published within 6 months from
date of entering the reference by
AT.
(v) Rs. 20,000/- per hearing where
above Rs. 100 Crore and up to Rs.
500 Crore (if Techno Legal Expert
or Sr. Advocate is also engaged by
NHAI Rs. 20, 000/- will be reduced
to Rs. 15,000/-). 10% extra fee if
award is published within 6 months
by AT.
(vi) Rs. 25,000/- per hearing where
671
above Rs. 500 Crore (if Techno

Legal Expert or Sr. Advocate is
also engaged by NHAI, Rs.
25,000/- will be reduced to Rs.
20,000/-). 10% extra fee if award is
published within 6 months by AT.
(ii) Drafting of Documents, viz. Rs. 250/- per page of main text drafter
Claims/Counter Claims / (excluding the text reproduced from
Rejoinder/Statement of Defense/ other documents and Annexures)
Interim Application/ Reply to Interim subject to a maximum of Rs. 50,000/-.
Application/ Affidavit/ Rejoinder to the The page margins, spacing, indents,
Application and Agreement etc. etc. shall be as per the court norms.
including study of all relevant Minimum Charges Rs. 10,000/- (lump-
documents. sum) per document, irrespective of
(iii) Conference with Client’s Rs. 5,000/- (lump-sum irrespective of

Representative/Legal Counsel number of hours) prior to date of
hearing.
(iv) Clerical charges 10% of appearance fee
(v) Service Tax As Applicable
(vi) Misc. Expenses such photocopy, As per actuals

power point presentations etc.
7. Other Legal Works
(i) Vetting of documents/Conveyance Rs. 200/- per page of main text drafter
Deed/ any other Agreements/Deed (excluding the text reproduced from
etc. other documents and Annexures)
subject to a maximum of Rs. 30,000/-.
The page margins, spacing, indents,
672
(ii) Drafting of Legal Opinion/Brief for Same as at 7(i) above.

Legal Opinion/ Notices/ Reply to
Notice.
8 Consultation/Conferences
(i) Conference Fee of the Sr. Advocate Rs. 25,000/- per hour
(Supreme Court)
(ii) Conference Fee of the Sr. Advocate Rs. 20,000/- per hour
(High Court)
(iii) In the office of Counsel with Client’s Rs. 2,500/- per hour
Representative
(iv) Any other place Rs. 3,000/- per hour (plus conveyance
allowance Rs. 1,000/- lump-sum)
(v) Site Inspection Rs. 10,000/- per inspection (plus

conveyance allowance Rs. 2,000/-
(Time spent also include travel time) lump-sum)
(vi) Fee for the briefing/junior counsel for

briefing the Senior Counsel for the
case
(i) Before the Hon’ble Supreme (i) Rs. 4,000/- per hour
court
(ii) Before High Court (ii) Rs. 3,000/- per hour

(iii) Before District Court (iii) Rs. 2,500/- per hour
(iv) Before any other Authorities/ (iv) Rs. 2,500/- per hour
Tribunals/ Commission/ Forum/
EQ/ Labour Court/ CIC etc.
(v) Before Arbitral Tribunal (Civil
Engineering Contracts) (v) Rs. 3,000/- per hour
Notes:
1. If an Advocate is required to undertake an outstation journey in connection with any matter

of NHAI, he shall be entitled to as sum of Rs. 10,000/- per day for Sr. Advocate (designated
by Hon’ble Supreme Court & High Courts only) and Rs. 5,000/- per day for Junior
Advocate over and above the fee payable to him. If a Techno Legal Expert is required to
undertake an outstation journey in connection with any Arbitral matter of NHAI, he shall
673
be entitled to a sum of Rs. 5,000/- per day over and above the fee payable to him. Lodging,
boarding, travelling and local travel expenses will be allowed only for those Counsels who
are 100 kms. away from their HQ to the place of meeting.
2. The charges applicable during outstation journey, for Techno-Legal Experts and Legal
Counsels, will be as per schedule given below:
Travelling Expenses Economy class (by Air), First Class AC (by train) and AC Car
(Br Road)
Lodging and Boarding Rs. 15,000/- per day (in Metro Cities)
Rs. 8,000/- per day (in other cities)
Rs. 5,000/- per day, if any Advocate/Techno Legal Expert
makes his own arrangements
Local Conveyance Rs. 2,000/- per day.
Note: The charges in above table are reimbursable on submission of bills.
3. Whenever a Senior Advocate is to be engaged, his charges shall be payable separately,

including for conference, drafting, appearance, etc. directly to the Sr. Advocate. Specific
approval in writing of the Competent Authority for engagement for the Senior Advocate
shall be required.
4. Where similar case/cases of same contract are filed before the same court or authority
and the matters are heard together in on hearing of the Court or Authority then only one
fee per appearance will be paid for each such hearing, irrespective of number of cases
covered/clubbed, as the hearing is one.
5. Charges for photocopying, typing, binding, courier/postage charges, local conveyance

charges etc. shall be paid as per actuals.
6. All out of pocket expenses as per actuals and service tax at applicable rates shall be
payable in additional to the above rates.
7. The adjournment charges/fee shall be payable @50% of the appearance fee only. Such
50% fee shall also be applicable when the court does not sit and also in case of non-
effective hearings. However, no fee would be admissible, if the adjournment has been
declared prior to the day of hearing.
674
Appendix 9
Schedule of expenses and fee payable to the Arbitrators 26

1.
Sum in dispute Model Fee
Up to Rs. 5,00,000 (Five Lakh) Rs. 45,000
Above Rs. 5,00,000 (Five Lakh) and up to Rs. Rs. 45,000 plus 3.5 per cent. of the claim amount
20,00,000 (Twenty Lakh) over and above Rs. 5,00,000 (Five Lakh)
Above Rs. 20,00,000 (Twenty Lakh) and up to Rs. 97,500 plus 3 per cent. of the claim amount
Rs. 1,00,00,000 (One Crore) over and above Rs. 20,00,000 (Twenty Lakh)
Above Rs. 1,00,00,000 (One Crore) and up to Rs. Rs. 3,37,500 plus 1 per cent. of the claim amount
10,00,00,000 (Ten Crore) over and above Rs. 1,00,00,000 (One Crore)
Above Rs. 10,00,00,000 (Ten Crore) and up to Rs. 12,37,500 plus 0.75 per cent. of the claim
Rs. 20,00,00,000 (Twenty Crore) amount over and above Rs. 10,00,00,000 (Ten
Crore)
Above Rs. 20,00,00,000 (Twenty Crore) Rs. 19,87,500 plus 0.5 per cent. of the claim
amount over and above Rs. 20,00,00,000 (Twenty
Crore) with a ceiling of Rs. 30,00,000 (Thirty Lakh)
Note:—In the event, the arbitral tribunal is a sole arbitrator, he shall be entitled to an additional
amount of twenty-five per cent. on the fee payable as per the table set out above.
2.
Other Expenses ( as per actuals against bills subject to ceiling given below)
(i) Traveling Expenses Economy Class (by air), first Class AC (by train) and AC
Car (by road)
(ii) Lodging and Boarding Rs. 15,000/- per day (Metro Cities);or
Rs. 8,000/- per day (in other cities);or
26
675
Rs. 5,000/- per day, if any Arbitrator makes own

arrangement
3. Local Travel Rs. 2,000/- per day
4. Extra Charges for day other than Rs. 5,000/- per ½ day for outstation Arbitrator
meeting days (maximum for
2x1/2 days
Note 1. Lodging boarding and travelling expenses shall be allowed only for the arbitrator who
is residing 100 kms. away for the venue of the meeting.
2. Delhi, Mumbai, Chennai, Kolkata, Bengaluru and Hyderabad shall be considered as
Metro Cities.
Additional Notes:
(i) The above fee is payable to each arbitrator, to be shared equally by both the parties to
the arbitration i.e. Claimant and Respondent, which is inclusive of fee of arbitrators for
Claim and Counter claims i.e. total “Sum in dispute”, reading charges,
declaration/publishing of award. Further, the fee of AT was being regulated as per Policy
Circular of 01.06.2017 and henceforth the fee shall be regulated as per ibid OM.
Therefore, difference of fee in ongoing Arbitration matters shall be worked out by the
respective Divs./PIUs and difference of amount shall be paid accordingly. In other words,
fee already paid shall be adjusted from the prescribed fee shows in the chart and balance
amount, if any, shall be paid to the Arbitrator.
(ii) The above schedule of fees and expenses shall be applicable to all meeting ATs being
held on or after the date of issue of the Circular where the fee structure of NHAI has been
followed by the Arbitral Tribunals on its own or in pursuance of the provision in original
agreement or Supplementary Agreement between the parties.
(iii) In case of future bidding/contracts, the fee structure as may be determined by the NHAI
from time to time, may be included as part of the Bidding/Contract Documents and the
acceptance of the above fee structure by the Contractors/Consultants may be kept as a
pre-condition for signing the contract.
676
Appendix 10
No. N-14070/14/2016-PPPAU
Government of India
National Institution for Transforming India (NITI Aayog)
NITI Bhawan, New Delhi

September 05, 2016
Office Memorandum
Initiatives on the measures for revival of the Construction Sector 27
The construction sector has been facing a number of problems, mainly arising from the
liquidity constraints caused on account of their payments not being released by the Government
Departments/ Public Sector Undertakings (PSUs) pursuant to the arbitral awards. To discuss the
problems of the construction sector, detailed deliberations/ consultations were held with the
representatives of the construction industry, banks, major government PSUs and concerned
Ministries/ Departments. Based on the above deliberations/ consultations, the NITI Aayog placed
a proposal before the Cabinet Committee on Economic Affairs (CCEA) for its consideration
suggesting various immediate and long-term measures required for addressing the issues ailing
the construction sector. The CCEA, chaired by the Hon’ble Prime Minister, has considered the
proposals of NITI Aayog in its meeting held on 31 August 2016 and approved the same for the
revival of construction sector.
2. The NITI Aayog has separately issued instructions on the subject with regard to the
immediate measures to be taken by all concerned. In addition to the said instructions, the CCEA
has also directed that the following measures may be expeditiously examined by all the concerned
Departments/ Ministries /PSUs:
2.1 Item-rate contracts, may be substituted by EPC (turnkey) contracts, wherever

appropriate. Such contracts have been in vogue for over two decades in the developed
world and Fédération Internationale Des Ingénieurs-Conseils (FIDIC – an International
Federation of Consulting Engineers, known by its French acronym) has also published
such contractual frameworks.
2.2 Model bidding documents and Model EPC contracts, suitably revisited or modified
wherever required to suit the requirements of particular sectors, may be adopted by PSUs/
Government Departments for construction works.
2.3 Ministry of Finance has issued model bidding documents for RFQ, RFP etc. which
may be adopted (with appropriate changes wherever required) in all sectors. Model EPC
contracts have been developed for Highways and Railways and published by the erstwhile
27
Vide OM No. N-14070/14/2016-PPPAU dated 05.09.2016
677
Planning Commission also. NHAI has already adopted this document and all construction
contracts are currently being structured on this model. NITI Aayog shall assist the
concerned departments, wherever required, in this regard.
2.4 The method of conciliation has proved more effective in settling disputes as per
experience of some of the PSUs. All PSUs/ Departments issuing public contracts may
consider setting up Conciliation Committees/ Councils comprising of independent subject
experts in order to ensure speedy disposal of pending or new cases. Recourse to such
conciliation may be open before, during or after the Arbitration proceedings. A provision
to this effect would also need to be made in the Contract Agreements in future as a
mechanism for resolution of disputes.
3. All the concerned Ministries/ Departments shall also communicate the above to their
respective PSUs for taking necessary action on the aforesaid measures.
(A. Muthuvezhappan)
Director (PPPAU)
To
1. Secretaries of all the Ministries/Departments of Government of India.
2. Chairpersons/ CMDs/ MDs of all the Central Government PSUs.
3. Chairpersons/ CMDs/MDs/CEOs of all the Scheduled Commercial Banks.
4. Chief Executive, Indian Banks Association, Mumbai.
5. Shri Alok Tandon, Additional Secretary, Cabinet Secretariat, Rashtrapati Bhavan,
New Delhi – 110001.
6. Dr. T. V. Somanathan, Joint Secretary, PMO, South Block, New Delhi – 110001.
Copy for information to:

1. PS to Vice Chairperson/ PS to MoS/ PS to all Members
2. Sr. PPS to CEO/ PPS to Special Secretary
678
Appendix 11
Template letter to be sent to the Concessionaire/ Contractor/ Consulting

Party 28
From:
___________________,
Plot No. G 5 & 6, Sector 10,
Dwarka, New Delhi
To
__________________
__________________
__________________
No. ______________ Date: ________________
Subject: Your reference dated _________ regarding the Dispute in the project
________________________ for a meeting at the level of Chairperson NHAI and your
Company Chairperson for settlement.
Sir,
Kindly refer to your above cited reference on the subject cited above. It is agreed to refer the
matter for consideration of the two Chairmen for settlement of the dispute. However, in order for
the two Chairmen to arrive at any proposed conciliation, it would be useful if the team from the
NHAI and your Company/ firm discuss and crystallise the issues in advance of the proposed
meeting.
2. You are, therefore, requested to discuss the issues/ disputes with CGM (T) HQ on a date
mutually convenient.
Yours Sincerely,
(____________)
General Manager, (T)
NHAI
28
Modified vide NHAI Circular No 2.1.28 dated 03.08.2018
679
Copy to:
1. CGM (CMD), NHAI, HQ.

2. RO, _____________
3. PD, __________. It is requested that all correspondence/ documents relating to the
subject along with index may please be furnished to CGM (T) HQ within 7 days of this
letter.
4. Independent/ Authority Engineer, _________
680
Appendix 12
Conciliation & Settlement Committees of Independent Experts Broad Terms
and Conditions and Terms of Reference
1. The Panel of Independent Experts approved under these guidelines shall remain valid
for a period of three years from the date of issue of these guidelines. Depending on
the response from the contesting parties and the work-load, the panel may be suitably
expanded from time to time with the approval of the competent authority.
2. The Conciliation process will be conducted under Part III of the Arbitration and
Conciliation (Amendment) Act, 2015.
3. A member of the CCIE shall be paid a sitting fee of Rs. 50,000/- + Rs. 5000/- for Local
Transport charges for each day of proceedings. An out-station member shall be
reimbursed the air-fare in addition. Applicable taxes, if any, shall also be reimbursed
as per actuals.
4. The Conciliation Panel shall meet in the first instance and evolve its own procedures
and methodologies for undertaking the functions by the Conciliation and Settlement
Committee(s).
5. The CCIE shall hold its day-to-day sittings at a suitable place at New Delhi/ Dwarka
and may hold as many sittings every month as it deems appropriate keeping in view
the volume of work at its disposal. It is expected that the conciliation–cum-settlement
proceedings shall be completed in each case through 5 sittings in a period of no more
than six months from the day the reference is made to the CCIE. In case any particular
dispute requires more than 5 sittings, the same may be held at the discretion of the
Committee with a cap on payment of fee for 5 sittings.
6. The CCIE may give its recommendations on amicable settlement separately for each
contract.
7. The CCIE shall develop its own procedures/ processes for dealing with matters
referred to it. However, for the understanding of the parties, it may be noted that the
procedure of CCIE may not be treated as alternate arbitration proceedings, where both
parties come with Statement of Claims/ Defence, arguments/ counter arguments,
rejoinders, written submissions, etc., aided by their respective lawyers. The forum of
CCIE is a settlement forum, where mutual give and take constitutes the essence,
rather than strict legal positions of the parties. Hence, the parties are expected to be
brief and to the point before the Committee with regard to their respective stands and
view the exercise in the spirit of conciliation/ settlement.
8. Based on the experience gained in the course of Conciliation Proceedings, the

Conciliation Committee may suggest/ recommend advisories to the NHAI from time to
time for improvement in its Contract Management Systems.
681
Appendix 13
Template letter, jointly signed by both the parties, consenting to

conciliation
Before Hon’ble Conciliation Committee of Independent Experts Comprising of

1- Sh. ______________, 2- Sh. _________________ & 3- Sh. _______________
Sub.: Proposal for settlement of disputes/ claims pertaining to the project (Insert name of the
Project-)
Having consented for conciliation of different disputes/issues of the subject cited project as per
Policy Guidelines of NHAI (as contained in the Master Circular and further amended from time to
time), the parties have jointly selected your committee for this conciliation as per Part-III
(Conciliation) of the Arbitration and conciliation Act, 1996 as amended by the Amendment Act,
2015. This consent of the parties for conciliation is also the consent to the Methodology/ Standard
Operating Procedure approved by the panel of Conciliators, as brought out in the above Policy
Guidelines of NHAI.
Authorized Signatory Authorized Signatory

For or on behalf of National Highways For or on behalf of
Authority of India Concessionaire/Contractor/ Consulting
agency
(Signature) (Signature)
Name: Name:
Designation: Designation:
Address: Address:
682
Appendix 14
Template Board Resolution
CERTIFIED TRUE COPY OF THE RESOLUTION PASSED BY THE BOARD OF DIRECTORS

OF (Name of the Concessionaire/Contractor/Consultancy agency) AT THEIR MEETING
HELD ON ………………. AT THE REGISTERED OFFICE OF THE COMPANY SITUATED AT-
-----
“RESOLVED THAT Mr. ………………………………………………………………. Authorized

Signatory (hereinafter referred to as “Authorized Signatories”) resident
of…………………………….be and are hereby severally authorized to appear, represent and
execute a Conciliation Agreement on behalf of the (Name of the
Concessionaire/Contractor/Consultancy agency), before all the judicial/ non-judicial authorities
including but not limited to any Arbitration or Conciliation Panel or any civil courts or any
government offices or any other statutory or non-statutory bodies, in the best interest of the
Company for the following work:
(Name of the project)
KNOW ALL MEN By these present that we, (Name of the Concessionaire/ Contractor/
Consultancy agency), a company incorporated in India under the Companies Act 1956, having its
registered office at ………………………….(hereinafter called ‘The Company’) represented by
Sh.………., Managing Director.
RESOLVED FURTHER THAT the consent of the Board be and is here by also accorded and
authorised Sh……………….of the Company to execute and grant Power of Attorney in favour of
…………………. of the Company.
RESOLVED FURTHER THAT THE SAID Power of Attorney be signed by……………………….of

the Company.
Specimen Signature of
1.
2.
3.
Attested by
……………………..
683
(Signature)
Director
Appendix 15
Template for Power of Attorney
POWER OF ATTORNEY
Know all men by these presents, We, …………………………………. (Company name) having its
registered office at ……………………………………(hereinafter referred as ‘The Company’)
represented by Mr.……………….., son of Shri …………………… and presently residing at
“…………………………………………………………………..”, who is presently employed with us
and holding the position of Authorized Signatory as our true and lawful attorney (hereinafter
referred to as the “Attorney”) to act severally and to do in our name and on our behalf, all such
acts, deeds and things as are necessary or required in connection with our incidental to
conciliation proceeding for the
………………………………………………………………………………………………………………
……………………………………………………………………….…….(project name) proposed or
being developed by the National Highways Authority of India (the “Authority”) including but not
limited to signing and submissions of all applications and other documents and writings,
participate in meetings and providing information/ responses to the Authority, representing us in
all matters before the Authority, signing and execution of all documents including the Conciliation
Agreement, undertakings consequent to conciliation proceeding, and generally dealing with the
Authority in all matters in connection with or relating to or arising out of conciliation proceeding for
the said Project.
AND we hereby agree to ratify and confirm and do hereby ratify and confirm all acts, deeds and
things done or caused to be done by our said Attorney 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 Attorney
in exercise of the powers hereby conferred shall and shall always be deemed to have been done
by us.
IN WITNESS WHEREOF WE, ………………………………………..(company name), THE ABOVE

NAMED PRINCIPAL HAVE EXECUTED THIS POWER OF ATTORNEY ON THIS …………..DAY
OF ………………
For ………………………….. (Company name)
(Signature)
Director
Witnesses:
684
1. …………………………………
2. …………………………………
Accepted
(Signature)
Authorized Signatory & address
BEFORE ME
Seal of the Notary
Name & address of Notary Registration Number of Notary:
………...........
Date …………………………..
685
Appendix 16
Model Draft For Recording Terms Of Settlement As Per The Conciliation

Proceedings/Settlement Between The Parties 29
(To be executed on Non-Judicial Stamp paper of appropriate value)
SETTLEMENT AGREEMENT
THIS SETTLEMENT AGREEMENT (hereinafter referred to as the “Agreement”) is made under

the provisions of section 73 of the Arbitration and Conciliation Act, 1996 as amended by the
Amendment Act, 2015 (3 of 2016) on this [●] day of [●], 20[●] at [●] between:
THE NATIONAL HIGHWAYS AUTHORITY OF INDIA (NHAI), established under the National
Highways Authority Act 1988, represented by its Chairperson and having its principal offices at
G-5 & 6, Sector 10, Dwarka, New Delhi-110075 (hereinafter referred to as the “Authority”
which expression shall, unless repugnant to the context or meaning thereof, include its
administrators, successors and assigns) of One Part;
AND
[●], a company30 incorporated under the provisions of the Companies Act, [●], and having its
registered office at [●], (hereinafter referred to as the “Contractor/ Concessionaire”, which
expression shall, unless repugnant to the context or meaning thereof, mean and include its
administrators, successors and assignees of the SECOND PART.
Each of the parties mentioned above are hereinafter collectively referred to as the “Parties”
and individually as the “Party”.
WHEREAS
A. That the Parties had executed a Concession31 Agreement dated [●] for execution if the
works of [●32] (hereinafter referred to as the “Concession/Contract Agreement33”).
B. [Factual statement regarding the status of the specific project/ Concession Agreement
may be included i.e. the whether the Contract is still operative or has since been
terminated and/ or the Project has been completed].
C. That certain disputes arose between the Parties in respect of the Project under the
Concession Agreement which have been referred to an arbitral tribunal consisting of [●],
[●] and [●] (hereinafter referred to as the “Arbitral Tribunal” ) on….
29
Circular No. NHAI/CGM/Conciliation/2017-18/116433 dated 19.04.2018.
30
May require change depending upon the status of entity
31
May require change depending upon the facts of the case/ nature of the agreement
32
Please insert the details of the project
33
May require change depending upon the nature of agreement
686
D. Parties vide letter no………. dated……and no……… dated…………. had agreed to

attempt to resolve the disputes between the parties in relation to the project and the
concession/ contract through conciliation.
E. That the Parties have since agreed to resolve and amicably settle their entire disputes in
relation to the Project and the Concession Agreement through Conciliation.
F. That accordingly, the Parties have filed a Joint Application dated [●] before the Arbitral
Tribunal for keeping the arbitration proceedings in abeyance till the Parties attempt to
settle the matter through Conciliation. The Arbitral Tribunal had vide its Order dated [●]
kept the matter in the abeyance till [●]34.
G. That in the light id the aforesaid agreement and in exercise of their right, the Parties have
agreed to have Mr. [●], Mr. [●] and Mr. [●] as the conciliators (hereinafter referred to as
the “Conciliation Committee”)
H. That the parties made written submissions on their respective stands relating to the
disputes and the Conciliation Committee, assisted by its Secretariat, held internal
discussions on ……., to understand the facts and the issues involved in the disputes.
I. That the Conciliation Committee having regard to various factors that in its view
determined the possibility or otherwise of a settlement, such as the facts and
circumstances of the case, the provisions of the Concession Agreement, the sustainability
of the claims in a likely legal proceeding , the prevailing practices and past precedents as
applicable under the circumstances similar to those in questions, and above all the intent
of the Parties to resolve the disputes quickly and amicably in a spirit of mutual
understanding and accommodation instead of getting involved in protracted litigation,
heard each Party separately, the NHAI on …. And the Concessionaire on …, to help each
party individually understand and appreciate the contours of a possible settlement
agreement.
J. That the Conciliation Committee, having heard each Party separately, afforded
opportunities to both the parties on…….. to meet in its presence and explore if there
existed an element of settlement acceptable to both of them within the broad contours of
a possible settlement.
K. That following the deliberations between the parties before it on the said date, i.e. on ….,
the Conciliation Committee arrived at the conclusion that subject to the actual calculations
of the amounts and the approval thereto of their respective managements there existed
an element of settlement as indicated in Column 7 of the Schedule to this settlement
agreement.
L. That following the approval of their respective managements the parties decide to draw
up a joint settlement agreement (this agreement) including the schedule, setting the terms
34
To be filled as per orders of Arbitral Tribunal.
687
of the settlement including the finally settled amount as n Column 8,9 & 10 of the said
Schedule annexed to this agreement.
M. NOW THEREFORE, in consideration of the mutual agreement, and covenants contained
in this Agreement, and for other good and valuable considerations , the receipt and
sufficiency of which is acknowledged by the Parties, the parties agree as follows:
1. EFFECTIVE DATE
This Agreement shall come into force upon the signing of this Agreement by the
parties (hereinafter referred to as “Effective Date”).
2. THE AMOUNT OF FULL AND FINAL SETTLEMENT

“The net due amount is Rs. ……….. only payable by NHAI to the Concessionaire/
Contractor in full and final settlement in respect of all claims, counter-claims and all
the various disputes under the Concession Agreement and matters related thereto
with break –up of the accepted individual claims and interest thereon as indicate in
the Schedule of this agreement. The Concessionaire/ Contractor and NHAI
acknowledge, undertake and agree that payment of this amount into the designated
account of the entitled Party (A/C no…… Of M/s……. In the……Bank….. Branch)
shall constitute a valid discharge under this agreement.”
The payment of aforesaid due amount shall be made by NHAI to the Concessionaire/
Contractor with the period of 30 days of the completion of obligations by the parties
as indicated under para 5.2 here-in-below.
3. OBLIGATIONS OF PARTIES
3.1. Obligations of NHAI

(Please insert the relevant obligations of NHAI in terms of the settlement
which may include but not limited to the following} :
(a) Return of Securities;
(b) Withdrawal of cases;
(c) Withdrawal of notices for claims;
(d) Release of plant and machinery;
(e) Release of money within the agreed time frame
3.2 OBLIGATIONS OF THE CONTRACTOR
(Please insert the relevant obligations of the Contractor in terms of the

settlement which may include but not limited to the following}:
(a) Withdrawal of cases;

(b) Withdrawal of notices for claims;
(c) Release of plant and machinery;
(d) Release of money within the agreed time frame;
688
(e) Fulfilment of any divestment requirement;

(f) Providing indemnification from any third party viz. vendor/statutory
authorities etc;
(g) Providing no objection from consortium partners, if required ; and
(h) Providing no objection from Senior Lenders, if required.
4. TERMS OF SETTLEMENT
4.1 The parties hereby agree that payment of the aforesaid amounts as mentioned in
clause 2 is the full and final amount due/payable by one Party to the other Party under
the Concession Agreement, the Disputes thereunder and all matters ancillary or
related thereto.
4.2 Each Party hereby confirms that it does not have any residual, pending or any other
claims, disputes or differences against each other in respect of the Concession
Agreement and all claims, demands, disputes etc, of the Contractor including that
arising out of or in relation to the Concession Agreement against the other party
namely NHAI stand settled without any further recourse7 whatsoever.
5. PENDING PROCEEDINGS
5.1 That the Parties have initiated the following legal proceedings
5.1.1. NHAI
{Please insert the details of the legal proceedings, if any initiated}
5.1.2. CONTRACTOR
{Please insert the details of the legal proceedings, if any initiated}
5.2 The Parties hereby confirm that in view of the full and final settlement arrived between
the Parties, no cause of action remains for pursuing the aforesaid legal proceedings
and as such, an application of withdrawal of the Legal proceedings shall be filled in
respect of any pending proceedings including any notices, by the either party or their
representatives against the other Party no later than [●] days from the Effective Date.
6. REPRESENTATION AND WARRANTIES
6.1 Each Party hereby represents and warranties to the other that:
6.1.1 They are duly incorporated or created and are validly subsisting under their
respective applicable laws including to take any action and execute any documents required
by the terms hereof and this Agreements has been duly authorized, duly and validly executed
689
and delivered and constitutes a legal, valid and binding obligation, enforceable in accordance
with the terms hereof. The persons executing this Agreement hereby testify that they are duly
empowered and authorized to execute this Agreement and to perform all its obligations in
accordance with the terms herein:
6.1.2 The Agreement does not violate any of the provisions of its contractual documents;
6.1.3 The Agreement does not breach or result in a default of any agreement entered
into by it or of any contract, agreement, instrument or document to which it is party or by which
it or its assets are bound;
6.1.4 The agreement does not breach or violate any order, write, judgement, injunction
or decree issued by any government official or court or entity and does not violate any law,
rule, regulation, ordinance or code, its business or assets.
7. 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 Delhi shall have the exclusive jurisdiction over matters
arising out or in relation to this Agreement.
8. ENTIRE AGREEMENT
This Agreement shall comprise the exclusive terms, conditions and agreements between
the Parties. This invalidity of whole or part of any provision hereof shall not affect the
validity of the other provisions. 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 Parties.
9. RULE OF CONSTRUCTION
9.1 The Parties acknowledge and agree that they had the opportunity to have this
Agreements reviewed by legal counsel of their choosing. Therefore, any purported rule
that ambiguities should be construed against the drafter shall not apply in connection with
the interpretation and construction of this Agreement.
9.2 Each of the Parties have considered and found this Agreement to be in their
respective interest and are executing this Agreement without any coercion or undue
influence and after taking such legal advice as deemed necessary by each of them.
10. COSTS AND EXPENSES
Each Party shall bear its own costs and expenses incurred in connection with the
negotiation and execution of this Agreement and all acts, deeds and things contemplated
to be done under this Agreement.
690
11. ADDITIONAL DOCUMENTS
The Parties agree to cooperate fully and to take all actions which may be necessary or
appropriate to give full force and effect to the terms and intent of this Agreement.
IN WITNESS WHEREOF THE PARTIES HAVE PUT THEIR RESPECTIVE HANDS

HEREINTO ON THE DATE MENTIONED ABOVE.
For and on behalf of the For and on behalf of [●] (Insert name of
the Contractor/ Concessionaire)
All Member of the Standing Committee Authorized Signatory of the Contractor/

Along with Concerned CGM(T) Concessionaire
WITNESS WITNESS
i) i)
691
ii) ii)
Authenticated by Members of the Conciliation Committee
We hereby authenticate that the above settlement of the parties took place under our
guidance and conciliation. The settlement arrived in the possible way to the satisfaction
of both the parties saving their mutual interest.
(Chairperson, CCIE) (Member, CCIE) (Member, CCIE)

692
SCHEDULE
Clai Descripti Claimant Amount Claimed Elements Amount of Claim final

m on of (Contracto of agreed by both the
No. claim r/ Settlement parties
Concessio between
naire)/ the parties
NHAI as per
proceedin
gs
dated……
…… of
CCIE
Princip Interes Tota Amount Princip Intere Tota

al t l al st l
1 2 3 4 5 6 7 8 9 10
Note:
1. The rate of interest agreed upon is……….%

2. The period for computation of interest against claims may be indicated.
The Schedule is indicative and may be changed as per requirement of settlement arrived at to
include the terms of settlement and other facts.
693
Appendix 17
No. NH-24028/27/2021-H
Government of India
Ministry of Road Transport & Highways
(Highways Section)
Transport Bhawan, 1, Parliament Street, New Delhi-110001
Dated: 17th December, 2021
OFFICE MEMORANDUM35
Committee to take a call on conciliation/amicable settlements where

settlement amount of the case is more than Rs 100 cr
The undersigned is directed to say that in pursuance of Department of Expenditure O.M.

No. F1/1/2021-PPD dated 29.10.2021 regarding General Instructions on Procurement and
Project, a proposal to form a Committee to deliberate on all references being made by
NHAI in case of arbitral awards / court orders where settlement amount is Rs. 100 cr &
above was considered and referred to Department of Expenditure, vide this Ministry’s D.O.
letter of even number dated 06.12.2021, for their clarification whether the proposal to form
the Committee was in accordance with the aforesaid Department of Expenditure’s O.M.
2. Department of Expenditure, vide their O.M. No. F.7/44/2021-PPD dated 13.12.2021 has
clarified that they have no objection to the proposal of MoRTH.
3. Accordingly, a Committee with the following composition is constituted to deliberate on all

references being made by NHAI in case of arbitral awards/court orders where settlement
amount is Rs. 100 cr. & above:
(i) Secretary (RT&H) - Chairperson
(ii) Chairperson, NHAI - Member
(iii) AS & FA, MoRTH - Member
(iv) Member of NHAI concerned with the Project - Member
4. Process for referring the case to the Committee:
35
Vide OM no. NH-240428/27/2021-H dated 17.12.2021
694
(i) Chairperson, NHAI will refer those cases where settlement is expected to be Rs
100 crore and above to the Committee which in her opinion require deliberation by the
Committee for appropriate decision:
(ii) Papers relating to the case will be prepared by the concerned CGM dealing with
the project in consultation with the Member concerned; and then duly approved by the
Chairperson, NHAI
5. Practice of 3 CGMs Committee will be dispensed with for all such Conciliation/ arbitration
cases;
(iv) Concerned CGM of NHAI will provide secretarial assistance to the Committee;
6. Terms of Reference of the Committee; File No. NH-24028/27/2021-H
The Committee will advise on the following:
(i) whether to go for conciliation/ amicable settlement of any referred dispute through
Conciliation Committee of Independent Experts (CCIE) or not.
(ii) if a particular dispute is to be resolved by conciliation, the amount at which NHAI
should agree.
(iii) whether to withdraw from the conciliation;
(iv) whether an appeal has to be filed against an Arbitration Award/ Court Orders; and
(v) the cases where appeals are pending in various courts and advise on whether to
continue the court case or go for conciliation before CCIE.
7. This issues with the approval of the Competent Authority.
(Rajesh Gupta)
Director
695
Appendix 18
Arbitration Rules of the Society for Affordable Redressal of Disputes

(SAROD)
(SAROD ARBITRATION RULES)
ARBITRATION RULES OF SAROD
INDEX
Rule
1. Scope of Application
2. Definitions
3. Notice, Calculation of Periods of Time
4. Commencement of Arbitration
5. Response by Respondent
6. Filing of Case Statements
7. Contents of Case Statements
8. Default in Filing and Serving Case Statements
9. Further Written Statements
10. SAROD to Provide Assistance
11. Appointment of Tribunal
12. Multi-party Appointment of the Tribunal
13. Appointment of Substitute Arbitrator
14. Independence and Impartiality of the Tribunal
15. Code of Ethics for Arbitrators
16. Challenge of Arbitrators
17. Decision on Challenge
18. Removal of the Tribunal
19. Re-hearing in the Event of Replacement of the Tribunal
20. Jurisdiction of the Tribunal
21. Fees of SAROD and Arbitral Tribunal
22. Transmission of File of the Tribunal
23. Juridical Seat of Arbitration
24. Language of Arbitration
25. Conduct of the Proceeding
26. Communications between Parties and the Tribunal
27. Party Representatives
28. Hearings
696
29. Documents – Only Arbitration

30. Witnesses
31. Experts Appointed by the Tribunal
32. Rules applicable to substance of dispute
33. Closure of Hearings
34. Additional Powers of the Tribunal
35. Deposits to Costs and Expenses
36. Decision Making by the Tribunal
37. The Award
38. Additional Award
39. Correction of Awards
40. Settlement
41. Interest
42. Costs
43. Waiver
44. Exclusion of Liability
45. General Provisions
46. Amendment to Rules
PREAMBLE
In order to seek speedy, affordable, just and reasonable Redressal of Dispute/Differences

between NHAI and Concessionaire/Contractor arising out of and during the course of execution
of various contracts, a Society for Affordable Redressal of Disputes (SAROD) has been formed
as a Society under Societies Registration Act, 1860 with registration No. S/RS/SW/1044/2013. It
has been formed by National Highways Authority of India (NHAI) and National Highways Builders
Federation (NHBF) with founding members as mentioned in the Memorandum of Association of
SAROD.
SAROD ARBITRATION RULES
Rule 1 – Scope of Application
1.1 Where any agreement, submission or reference provides for arbitration at the Society for
Affordable Redressal of Disputes (“SAROD”), or under the Arbitration Rules of the SAROD
and where the case is a domestic arbitration, it shall be conducted in accordance with the
following Rules, or such Rules as amended by the SAROD where the amendments take
effect before the commencement of the Arbitration. Parties may adopt following clause for
inclusion in the contract:-
697
“Any dispute or difference whatsoever arising between the parties and of or relating to the
construction, interpretation, application, meaning, scope, operation or effect of this contract or the
validity or the breach thereof, shall be settled by arbitration in accordance with the rules of
arbitration of the “SAROD” and the award made in pursuance thereof shall be final and binding
on the parties subject to Provisions of The Arbitration and Conciliation Act, 1996”.
1.2 These rules shall come into effect from the day of approval by Governing Body of SAROD.
Rule 2 – Definitions
2.1 These Rules shall be referred to as “the SAROD Arbitration Rules”.
2.2 In these Rules:
“Act” means the ‘Arbitration and Conciliation Act 1996’ of India and any statutory
modifications or re-enactments thereof.
“SAROD” means the Society for Affordable Redressal of Disputes.
“SAROD Arbitrator Panel” means the list of persons admitted to serve as arbitrators
under these Rules.
“NHAI” means National Highways Authority of India.
“NHBF” means the National Highways Builders Federation.
“GOVERNING BODY” means Governing Body of SAROD as defined in Article 9 of

Memorandum of Association.
“PRESIDENT” means President of Governing Body of SAROD as defined in Rules &

Regulation of SAROD.
“SECRETARY” means Secretary of SAROD as defined in Rules & Regulation of SAROD.
“TRIBUNAL” means either a Sole Arbitrator or all arbitrators when more than one is
appointed.
“PARTY” or “PARTIES” means a party or parties to an arbitration agreement as the case

may be.
698
“E-Arbitration” means submission of pleadings, defence statement etc. by E-mail and

holding of proceedings via video conferencing.
Rule 3 – Notice, Calculation of periods of Time
3.1 For the purposes of these Rules, any notice, including a notification, communication or
proposal, is deemed to have been received if it is physically delivered to the addressee
or if it is delivered at his habitual residence, place of business or mailing address, or, if
none of these can be found after making reasonable inquiry, then at the addressee’s last-
known residence or place of business. Notice shall be deemed to have been received on
the day it is so delivered.
3.2 For the purposes of calculating a period of time under these Rules, such period shall
begin to run on the day following the day when a notice, notification, communication or
proposal is received. If the last day of such period is an official holiday or a non-business
day at the residence or place of business of the addressee, the period is extended until
the first business day which follows. Gazetted public holidays or non-business days
occurring during the running of the period of time are included in calculating the period.
3.3 Without prejudice to the effectiveness of any other form of written communication, written
communication may be made by fax, email or any other means of electronic transmission
effected to a number, address or site of a party.
3.4 The transmission is deemed to have been received on the day of transmission.
Rule 4 – Commencement of Arbitration
4.1 Any Party wishing to commence an arbitration under these Rules (“the Claimant”) shall
file with the Secretary and serve on the other Party (“the Respondent”), a written Notice
of Arbitration (“the Notice of Arbitration”) which shall include the following:
a. a request that the dispute be referred to arbitration;
b. the names, addresses, telephone numbers, fax numbers and email addresses of
the Parties to the dispute;
c. a reference to the arbitration clause or any separate arbitration agreement that is

invoked and provide a copy of the arbitration clause or arbitration agreement;
d. a reference to the contract out of which the dispute arises and provide a copy of
the contract where possible;
699
e. a brief statement describing the nature and circumstances of the dispute;
f. the relief or remedy sought, including the amount of claim if quantifiable at the time
the Notice or Arbitration is filed;
g. a proposal as to the number of arbitrators (i.e. one or three), if the parties have not
previously agreed on the number; and
h. the name of the Claimant’s nominated arbitrator.
4.2 A filing fee of Rs. 25,000/- (Ten thousand) (plus 18% GST) or any amount decided by
Governing Body from time to time is payable at the time of filing the Notice of arbitration.
4.3 The date of filing of the Notice of Arbitration with the Secretary is the date of
commencement of the arbitration for the purpose of these Rules.
Rule 5 – Response by Respondent
5.1 Within 14 days of receipt of the Notice of Arbitration, the Respondent shall file with the
Secretary and serve upon on the Claimant, a Response including
a. A confirmation or denial of all or part of the claims;
b. Brief statement of the nature and circumstances of any envisaged counterclaims;
c. A comment in response to any proposals contained in the Notice of Arbitration;

and
d. The name of the respondent’s nominated arbitrator.
5.2 A filing fee of Rs. 25,000/- (plus 18% GST) or any amount decided by Governing Body
from time to time is payable at the time of filing the Response.
5.3 In case any party has objection to the jurisdiction of Arbitral Tribunal, such objection shall
be raised not later than 15 days of the commencement of Arbitration proceedings failing
which it will be deemed that party has waived the right to object.
Rule 6 – Filing of Case Statements
6.1 Within 30 days after the filing of the Notice of Arbitration, the claimant must file with the
Secretary and serve on the Respondent, a Statement of Claimant’s Case alongwith all
documents to be relied upon by the Claimant.
700
6.2 Within 30 days after the service of the statement of Claimant’s Case, the Respondent
must file with the Secretary and serve on the Claimant, a statement of respondent’s
defence and counterclaim (if any) alongwith all documents to be relied upon by the
Respondent.
6.3 Within 30 days after the service of the statement of Respondent’s defence, if the Claimant
intends to challenge anything in the statement of Respondent’s defence and/or
counterclaim, the Claimant must then file with the Secretary and serve on the Respondent,
a statement of claimant’s reply and if necessary, defence to counterclaim.
6.4 No further case statements may be filed without the leave of the Tribunal or if a Tribunal
has not been appointed, the Secretary.
6.5 The Tribunal or if a Tribunal has not been appointed, the Secretary, may upon the written
application of a party, extend the time limits provided under this Rule,
6.6 Thy party required to file a case statement must at the same time deposit with the
Secretary for eventual transmission to the Tribunal an additional copy or additional copies
of the case statement, according to the number of arbitrators constituting or who will
constitute the Tribunal.
Rule 7 – Contents of Case Statements
7.1 The case statements must contain the detailed particulars of the Party’s claim, defence or
counterclaim and must thus contain a comprehensive statement of the facts and
contentions of law supporting the Party’s position.
7.2 It must:
a. Set out all items of relief or other remedies sought together with the amount of all
quantifiable claims and detailed calculations.
b. State fully its reasons for denying any allegation or statement of the other Party.
c. State fully its own version of events if a Party intends to put forward a version of
events different from that given by the other party.
7.3 A case statement must be signed by or on behalf of the Party making it.
Rule 8 – Default in Filing and Serving Case Statements

701
8.1 If the Claimant fails within the time specified under these Rules or as extended by the
Tribunal or by the Secretary, to submit its Statement of Case, the Tribunal or if a Tribunal
has not been appointed, the Governing Body may issue an order for the termination of the
arbitral proceedings or make such other directions as may be appropriate in the
circumstances.
8.2 If the Respondent fails to submit a Statement of Respondent’s Defence, the Tribunal may
nevertheless proceed with the arbitration and make the award.
Rule 9 - Further Written Statements
9.1 The Tribunal will decide which further written statements, in addition to the case
statement(s) already filed, are required from the Parties and shall fix the periods of time
for giving, filing and serving such statements.
9.2 All such further statements must be given to the Tribunal, filed with the Secretary and
served on the Claimant or Respondent, whichever is applicable.
Rule 10 – SAROD to Provide Assistance
10.1 At the request of the Tribunal or either party, the Secretary will render such assistance as
is required for the conduct of the arbitration, including arranging for facilities, suitable
accommodation for sittings of the Tribunal, secretarial assistance or interpretation of these
rules.
10.2 Any additional expenses incurred or to be incurred for any such arrangements shall be
borne by the parties.
Rule 11 – Appointment of Tribunal
11.1 The disputes shall be decided by a Sole Arbitrator when the total claim of dispute is of Rs.
3,00,00,000/- (Rs. Three Crores) or less.
11.2 In all cases of disputes claimed for more than Rs. 3,00,00,000/- (Rs.Three Crores), the
tribunal shall consist of odd number of Arbitrators to be nominated by the Parties. The
Presiding Arbitrator shall be appointed by the Arbitrators nominated by the Parties from
amongst the panel maintained by SAROD. For deciding the Presiding Arbitrator, a draw
of lots can be carried out from amongst the names suggested by the Arbitrators nominated
by the Parties. The eligibility criteria for empanelment of Arbitrators will be decided by the
Governing Body.
702
11.3 If a Sole Arbitrator is to be appointed, the Governing Body will appoint the Arbitrator within
21 days from the date the Respondent’s Statement of Defence and Counterclaim (if any)
is filed or falls due, whichever is earlier. The Governing Body will appoint the Arbitrator
from the panel of Arbitrators by draw of lots.
11.4 An Arbitrator/Presiding Arbitrator to be appointed under these Rules shall be a person on

the SAROD Arbitration Panel as on the date of the appointment.
11.5 In the event of any Party failing to appoint Arbitrator within 30 days of receipt of the notice
of Arbitration, the Governing Body shall appoint the Arbitrator or Presiding Arbitrator as
the case may be by a draw of lots.
Rule 12 – Multiparty appointment of the Tribunal
12.1 If there are more than 2 parties in the arbitration, the Parties shall agree on the procedure
for appointing the Tribunal within 21 days of the receipt of the Notice of Arbitration.
12.2 If the Parties are unable to do so, upon the lapse of the 21 days time period mentioned
herein, the Tribunal shall be appointed by the Governing Body as soon as practicable.
Rule 13 – Appointment of Substitute Arbitrator
In the event of the death or resignation of any of the arbitrators, a substitute arbitrator must be
appointed by the same procedure as in Rule 11 by which the arbitrator concerned was appointed,
failing which, the Governing Body will make the appointment.
Rule 14 - Independence and Impartiality of the Tribunal
14.1 The Tribunal conducting arbitration under these Rules shall be and remain at all times
independent and impartial, and shall not act as advocate for any Party.
14.2 A prospective arbitrator shall disclose to those who approach him in connection with his
possible appointment, any circumstances likely to give rise to justifiable doubts as to his
impartiality or independence.
14.3 An arbitrator, once nominated or appointed, shall disclose any such circumstance referred
to in Rule 14.2 to the Secretary and/ or to all Parties.
Rule 15 – Code of Ethics for Arbitrators

703
An Arbitrator is a fountain of justice and emblem of equity, fairness and good conscience.
Therefore he/she is expected to exhibit a noble conduct. The code of conduct prescribed by the
Governing Body has to be adopted.
Appointment
15.1 A prospective arbitrator shall accept an appointment only if he is fully satisfied that he is
able to discharge his duties without bias, he has an adequate knowledge of the language of the
arbitration, and he is able to give to the arbitration the time and attention which the parties are
reasonably entitled to expect.
15.2 In this code, the masculine includes the feminine.
Disclosure
15.3 A prospective arbitrator shall disclose all facts or circumstances that may give rise to
justifiable doubts as to his impartiality or independence, such duty to continue thorough
out the arbitral proceedings with regard to new facts and circumstances.
15.4 A prospective arbitrator shall disclose to the Secretary and any party who approaches him
for a possible appointment:
a. Any past or present close personal relationship or business relationship, whether

direct or indirect, with any party to the dispute, or any representative of a party, or
any person known to be a potentially important witness in the arbitration;
b. The extent of any prior knowledge he may have of the dispute.
Bias
15.5 The criteria for assessing questions relating to bias are impartiality and independence.
Partiality arises when an arbitrator favours one of the parties or where he is prejudiced in
relation to the subject matter of the dispute. Dependence arises from relationships
between an arbitrator and one of the parties, or with someone closely connected with one
of the parties.
15.6 Any close personal relationship or current direct or indirect business relationship between
an arbitrator and a party, or any representative of a party, or with a person who is known
to be a potentially important witness, will normally give rise to justifiable doubts as to a
prospective arbitrator’s impartiality or independence. Past business relationships will only
give rise to justifiable doubts if they are of such magnitude or nature as to be likely to affect
a prospective arbitrator’s judgment. He should decline to accept an appointment in such
circumstances unless the parties agree in writing that he may proceed.
704
Communications
15.7 Before accepting an appointment, an arbitrator may only enquire as to the general nature
of the dispute, the names of the Parties and the expected time period required for the
arbitration.
15.8 No arbitrator shall confer with any of the Parties or their Counsel until after the Secretary
gives notice of the formation of the Tribunal to the parties.
15.9 Throughout the arbitral proceedings, an arbitrator shall avoid any unilateral
communications regarding the case with any Party, or its representatives.
Fees
15.10 In accepting an appointment, an arbitrator agrees to the remuneration as prescribed in the

rules of SAROD, and he shall make no unilateral arrangements with any of the Parties or
their Counsel for any additional fees or expenses without the agreement of all the Parties
and the consent of the Secretary of SAROD.
Conduct
15.11 Once the arbitration proceedings commence, the arbitrator shall acquaint himself with all
the facts and arguments presented and all discussions relative to the proceedings so that
he may properly understand the dispute.
Confidentiality
15.12 The arbitration proceedings shall remain confidential. An arbitrator is in a relationship of
trust to the Parties and should not, at any time, use confidential information acquired
during the course of the proceedings to gain personal advantage or advantage for others,
or to affect adversely the interest of another.
15.13 This Code is not intended to provide grounds for the setting aside of any award.
Rule 16 – Challenge of Arbitrators
16.1 An arbitrator may be challenged if there are circumstances that give rise to justifiable
doubts as to his impartially or independence and also if he has committed any misconduct.
16.2 An arbitrator may also be challenged if he does not possess the qualifications required by
the agreement of the parties.
16.3 A Party may challenge an arbitrator appointed on its nomination or with its agreement only
for reasons of which it becomes aware after the appointment has been made.
705
16.4 A party who intends to challenge an arbitrator shall file with the Secretary and serve on
the other party or all other parties, whichever is applicable, a Notice of Challenge.
16.5 The Notice of challenge must be filed and served within 14 days from the appointment of
the arbitrator or within 14 days after the circumstances mentioned in Rule 15.1 became
known to that Party.
16.6 The Notice of Challenge must state the reasons for the challenge.
16.7 The arbitration shall be suspended until the challenge is resolved or decided upon.
16.8 When an arbitrator has been challenged by one Party, the other party may agree to the
challenge. The arbitrator may also, after the challenge, withdraw from his office. However,
it is not implied in either case that there has been an acceptance of the validity of the
grounds for the challenge. In both cases, the procedure provided in Rule 11 read with Rule
13, shall be used for the appointment of a substitute arbitrator.
Rule 17 – Decision on Challenge
17.1 If the other Party does not agree to the challenge and the arbitrator does not withdraw,
the decision on the challenge will be made by the Governing Body.
17.2 If the Governing Body sustains the challenge, a substitute arbitrator shall be appointed or
chosen pursuant to the procedure applicable to the appointment of an arbitrator as
provided in Rule 11 read with Rule 13. If the Governing Body dismisses the challenge, the
arbitrator shall continue with the arbitration.
Rule 18 – Removal of the Tribunal
18.1 The Governing Body may on the application of a party remove an arbitrator:
a. Who is physically or mentally incapable of conducting the proceedings or where

there are justifiable doubts as to his ability to do so: or
b. Who has refused or failed to use all reasonable dispatch in conducting the
arbitration or making an award.
c. Who has continuously absented from attending the proceedings for more than 3
sitting without prior permission of Presiding Arbitrator/Governing Body of SAROD.
18.2 The arbitrator(s) concerned is entitled to appear and be heard at the hearing of the
application to remove him.
706
18.3 Upon the removal of the arbitrator, a substitute arbitrator shall be appointed in accordance
with Rule 11 read with Rule 13.
18.4 The Governing Body’s decision on the application is final and is not subject to appeal or
review.
Rule 19 – Re-hearing in the Event of Replacement of the Tribunal
If the sole or presiding Arbitrator is replaced, there shall be a re-hearing. If any other
arbitrator is replaced, such re-hearing may take place at the discretion of the Tribunal.
Rule 20 – Jurisdiction of the Tribunal
20.1 The Tribunal shall have the power to rule on its own jurisdiction, including any objection
with respect to the existence, termination or validity of the arbitration agreement. For that
purpose, an arbitration agreement which forms part of a contract shall be treated as an
agreement independent of the other terms of the contract. A decision by the Tribunal that
the contract is null and void shall not entail ipso jure the invalidity of the arbitration
agreement.
20.2 The plea that the Tribunal does not have jurisdiction shall be raised not later than in the
Statement of Defense. A plea that the Tribunal is exceeding the scope of its authority shall
be raised promptly after the Tribunal has indicated its intention to decide on the matter
alleged to be beyond the scope of its authority. In either case the Tribunal may
nevertheless admit a late plea under this Rule if it considers the delay justified. A Party is
not precluded from raising such a plea by the fact that he has nominated, or participated
in the appointment of an arbitrator.
20.3 The Tribunal must rule on an objection that it lacks jurisdiction as a preliminary question
upon the objection being raised. It may rule on an objection that it exceeds the scope of
its authority either as a preliminary question or in an award on the merits, as it deems just
and convenient.
20.4 In addition to the jurisdiction to exercise the powers defined elsewhere in these Rules, the
Tribunal shall have jurisdiction to determine any question of law arising in the arbitration;
proceed with the arbitration not with sanding the failure or refusal of any Party to comply
with these Rules or with the Tribunal’s orders or directions, or to attend any meeting or
hearing, but only after giving that Party written notice that it intends to do so; and to receive
and take into account such written or oral evidence as it shall determine to be relevant,
whether or not strictly admissible in law.
707
Rule 21 – Fees of SAROD and Arbitral Tribunal
Fee Schedule
Registration Fee (Non – Refundable): Rs. 25,000/- (plus 18% GST) or any amount
fixed by the Governing Body from time to time. The Schedule of Fees and allied
expenditure shall be decided by Governing Body.
Rule 22- Transmission of File to the Tribunal
22.1 The Secretary shall, as soon as practicable transmit to the Tribunal, a file containing the
Notice of Arbitration, the Response and all case statements.
22.2 The Tribunal shall as soon as practicable, after consultation with the Parties, issue such
orders and/or directions as are necessary for the conduct of the arbitration to conclusion,
including a timetable for steps to be taken in the arbitration and for the hearing of the
arbitration.
Rule 23 – Judicial Seat of Arbitration
23.1 Unless otherwise agreed by the Parties, the judicial seat of arbitration shall be New Delhi.
23.2 Notwithstanding Rule 22 and 23.1, the Tribunal may, unless otherwise agreed by the
Parties, hold hearings and meetings anywhere convenient, subject to the provisions of
Rule 28.2.
Rule 24 – Language of Arbitration
The language of arbitration proceedings shall be English. In case material existing are in
any other language, other than English the same has to be translated to English language.
Rule 25 – Conduct of the Proceedings
The Tribunal shall have the widest discretion allowed by the Act to ensure the just,
expeditious, economical and final determination of the dispute. The proceedings shall be
conducted from 10.00 AM to 5.00 PM with a recess of one hour.
Rule 26 – Communication between Parties and the Tribunal
26.1 Where the Tribunal sends any written communication to one Party, it shall send a copy to
the other Party or parties as the case may be.
708
26.2 Where a Party sends any written communication (including Statements, expert reports or
evidentiary documents) to the Tribunal, the same shall be copied to the other party or all
other parties, whichever is applicable, and show to the Tribunal that the same has been
so copied.
26.3 The address of the Parties for the purpose of all communications during the proceedings
shall be those set out in the Notice of Arbitration, or as either Party may at any time notify
the Tribunal and the other Party or Parties, whichever is applicable.
26.4 A copy of correspondence between the Parties and the Tribunal shall be sent to the
Secretary.
Rule 27 – Party Representatives
Any Party may be represented by legal practitioners or any other representatives, subject
to such proof of authority as the Tribunal may require. The names and addresses of such
representatives must be notified to the other Party or Parties. In case one Party is
represented by non-legal person, other Party will also be represented by non-legal person
so as to maintain natural justice.
Rule 28 – Hearings
28.1 Unless the Parties have agreed on documents-only arbitration, the Tribunal shall hold a
hearing for the presentation of evidence by witnesses, including expert witnesses, or for
oral submissions.
28.2 The Tribunal shall fix the date, time and place of any meetings or hearings to be held
during the Arbitral proceedings on the first date of hearing, and complete time table
pertaining to all the activities of the Arbitration e.g. submission of statement of claim, reply,
counter claim, reply therein, admission and denial of documents, visit/inspection of site if
any. The Tribunal shall stick to the time table without any deviations unless there are
unavoidable circumstances warranting such deviation which will be with the prior
permission of the Tribunal.
28.3 Prior to the hearing, the Tribunal may provide to the Parties the matters or questions,
which it wishes them to give special consideration.
28.4 In the event that a Party to the proceedings without sufficient cause, fails to appear at a
hearing of which the notice has been given, the Tribunal may proceed with the arbitration
and may make the Award after the Party present has submitted evidence to prove its case.
28.5 All meetings and hearing shall be in private unless the Parties agree otherwise.
709
Rule 29 – Documents Only Arbitration
29.1 The Disputes may be decided without an oral hearing if it is so agreed by the parties.
29.2.1 Where the parties agree to dispense with oral hearing, the Tribunal must be promptly
informed by either of the parties, as soon as is practicable. The Tribunal must also be
promptly informed it, at a later stage, the parties or either of them intends to apply for an
oral hearing.
29.2.2 Parties may seek discovery of documents if they are not satisfied with existence of
documents annexed with statement of claim, reply and counter claim by giving self-
contained request to the Tribunal justifying the necessity for such documents. Decision of
tribunal shall be final and binding upon the parites.
Rule 30 – Witnesses
30.1 The Tribunal may require each Party to give notice of the names and description of the
witnesses it intends to call and reasons for legal necessity of such witness.
30.2 No Party shall call any expert witness without the leave of the Tribunal.
30.3 Any witness who gives evidence may be questioned by each Party or its representative
subject to any rulings made by the Tribunal.
30.4 A Witness may be required by the Tribunal to testify under oath or affirmation.
30.5 Subject to such order or direction which the Tribunal may make, the testimony of witness
may be presented in written form, either as signed statements or by duly sworn or affirmed
affidavits.
30.6 Any Party may require a witness to attend an oral examination at a hearing. If the witness
fails to attend, the Tribunal may consider the written testimony in such manner and to such
extent as it thinks fit, or may exclude it altogether.
30.7 The Tribunal shall determine the admissibility, relevance, materiality and weight of the
evidence given by any witness.
Rule 31 – Experts Appointed by the Tribunal
31.1 Unless otherwise agreed by the Parties, the Tribunal may:

710
a. appoint one or more experts to report the Tribunal on specific issues;
b. require a Party to give any such expert any relevant information or to produce, or
to provide access to, any relevant documents, goods or property for inspection by
the expert.
31.2 Unless otherwise agreed by the Parties, if a party so requests or if the Tribunal deems it
fit, the expert shall, after delivery of his written or oral report, participate in an oral hearing,
at which the Parties may question or cross examine him in order to testify on the points
at issue.
31.3 Rule 30.2 shall not apply to an assessor appointed by agreement of the Parties, or to an
expert appointed by the Tribunal to advise solely in relation to procedural matters.
Rule 32 – Rules applicable to substance of dispute- (1) Where the place of arbitration is
situated in India,
32.1 The Tribunal shall decide the dispute submitted to arbitration in accordance with the
substantive law for the time being in force in India;
Rule 33 – Closure of Hearing
33.1 The Tribunal may inquire of the Parties if they have any further proof to offer or witnesses
to be heard or submission to make and, if there are none, declare the hearing closed.
33.2 The Tribunal may also, in view of exceptional circumstance, reopen the hearings at any
time before the award is made.
Rule 34 – Additional Powers of the Tribunal
34.1 In addition to the powers conferred by the Act, the Tribunal shall also have the power to:-
a. Allow any party, upon such terms(as to costs and otherwise) as it shall determine, to
amend claims or counterclaims;
b. Extend or abbreviate any time limits provided by these Rules;
c. Conduct such enquires as may appear to the Tribunal to be necessary or expedient;
d. Order the Parties to make any property or thing available for inspection
711
e. Order any Parties to produce to the Tribunal, and to the other parties for inspection,
and to supply copies of any documents or classes of documents in their possession,
custody or power which the Tribunal determines to be relevant;
f. Make orders or give directions to any party for interrogatories;
g. Make orders or give directions to any party for an interim injunction or any other interim
measure;
h. Make such orders or give such directions as it deems fit in so far as they are not
inconsistent with the Act or any statutory re-enactment thereof or such law which is
applicable or these Rules.
34.2 If the parties so agree, the Tribunal shall also have the power to add other parties (with
their consent) to be joined in the arbitration and make a single Final Award determining all
disputes between them.
Rule 35 – Deposits to Costs and Expenses
35.1 The Tribunal’s fees and SAROD administration fees shall be ascertained in accordance
with the Schedule of Fees in Force at the time of commencement of the arbitration.
35.2 The Claimant shall deposit with the SAROD, half of the fees payable at the time of filing
of the Statement of Case. The Respondent shall deposit with the SAROD one-half of the
fees payable at the time of filing of Statement of Respondent’s Defence and Counterclaim
(if any). The balance of fees payable shall be paid 60 days before the date of the final
hearing or on such other date that the Secretary may direct.
35.3 Where the amount of the claim or the counterclaim is not quantifiable at the time of
payment is due, the Secretary will make a provisional estimate. The fees will be adjusted
in the light of such information as may subsequently become available. If the arbitration is
settled or disposed of without a hearing, the amount of the Tribunal’s fees and SAROD
administration fees shall be finally determined by the Secretary who will have regard to all
the circumstances of the case, including the stage of proceedings at which the arbitration
is settled or otherwise disposed of.
35.4 The Secretary may from time to time direct Parties to make one or more deposit(s) towards
any further expenses incurred or to be incurred on behalf of or for the benefit of the Parties.
35.5 All deposit(s) shall be made to and held by the SAROD. Any interest which may accrue
on such deposit(s) shall be retained by the SAROD.
712
35.6 If a Party fails to make the payments or deposits required or directed, the Tribunal may
refuse to hear the claims or counterclaims, whichever is applicable, by the non-complying
Party, although it may proceed to determine claims or counterclaims by any Party who
has complied with orders.
35.7 The Parties shall remain jointly and severally liable to the SAROD for payment of all such
fees and expenses until they have been paid in full even if the arbitration is abandoned,
suspended or concluded, by agreement or otherwise, before the final Award is made.
Rule 36 – Decision Making by the Tribunal
36.1 Where a Tribunal has been appointed, any direction, order, decision or award of the
Tribunal must be made by the whole Tribunal or a majority. If an arbitrator refuses or fails
to sign the Award, the signatures of the majority shall be sufficient, provided that the
reason for the omitted signature is stated in the Award.
36.2 If there is no unanimity, the Award shall be made by the majority arbitrators as well as by
the dissenting Arbitrator alone as if acting as a sole arbitrator.
36.3 However, in the case of a three-member Tribunal the presiding arbitrator may, after
consulting the other arbitrators, make procedural rulings alone.
Rule 37 – The Award
37.1 It will be mandatory for the Parties to submit written synopsis of their arguments
respectively which will form part of the arbitral proceedings.
37.2 The Tribunal shall assemble at the assigned place in the office or premises of SAROD
and shall exercise utmost secrecy and confidentiality in writing the award.
37.3 Unless the Secretary extends the time or the Parties agree otherwise, the Tribunal shall
make its Award in writing within 30 days from the date on which the hearings are closed
and shall state the reasons upon which its award is based. The award shall contain the
date and shall be signed by the arbitrator or arbitrators.
37.4 The Tribunal may make interim awards or separate awards on different issues at different
times.
37.5 All Awards must be submitted by the Tribunal to the Secretary and they shall be issued
through the Secretary.
713
37.6 The Tribunal must deliver to the Secretary sufficient number of originals of the Award for
being delivered to the Parties and for filing with the Secretary.
37.7 The Secretary shall deliver the award to the Parties only upon receipt of sufficient deposits
to cover the fees and expenses due to the Tribunal and to the SAROD.
37.8 By agreeing to have arbitration under these Rules, the Parties undertake to carry out the
Award without delay.
37.9 Stamp duty on Award shall be payable by the Party in whose favor the Award has been
pronounced.
Rule 38 – Additional Award
38.1 Within 30 days after the receipt of the Award, either Party, with notice to the Secretary and
the other Party may request the Tribunal to make an Additional Award as to claims
presented in the arbitral proceedings but omitted from the Award.
38.2 If the Tribunal considers the request for an Additional Award to be justified and considers
that the omission can be rectified without any further hearings or evidence, it shall notify
all the Parties within 7 days of the receipt of the request, that it will make and Additional
Award, and complete the Additional Award within 30 days after the receipt of the request.
Rule 39 – Correction of Awards
39.1 Within 30 days of receiving an Award, unless another period of time has been agreed
upon by the Parties, a Party may by notice to the Secretary and the other Party request
the Tribunal to correct in the Award, any errors in computation, any clerical or
typographical errors or any errors of similar nature.
39.2 If the Tribunal considers the request to be justified, it shall make the correction(s) within
30 days of receiving the request. Any correction shall be notified in writing to the Parties
and shall become part of the Award.
39.3 The Tribunal may correct any error of the type referred to in Rule 39.1 on its own imitative
within 30 days of the date of the Award.
Rule 40 – Settlement
40.1 If, the Parties arrive at amicable settlement of the dispute during the currency of Arbitral
proceedings, the Parties shall file memo of settlement before the Tribunal who shall either
issue an order for the termination of the arbitral proceedings or, if requested by both
714
Parties and accepted by the Tribunal, record the settlement in the form of an Arbitral Award
on agreed terms. The Tribunal is not obliged to give reasons for such an award.
40.2 The Parties shall:
a. Notify the Tribunal and the Secretary immediately if the arbitration is settled or
otherwise terminated:
b. Make provision in any settlement for payment of all the costs of the arbitration and
fees and expenses due to the SAROD and the Tribunal.
40.3 If the continuation of the arbitral proceedings becomes unnecessary or impossible for any
reason not mentioned in Rule 38.1, before the award is made, the Tribunal shall inform
the parties of its intention to issue an order for the termination of the proceedings. The
Tribunal shall have the power to issue such an order unless party raises justifiable grounds
for objection.
40.4 Copies of the order for termination of the arbitral proceedings or of the Arbitral Award on
agreed terms, signed by the Tribunal, shall be communicated by the Tribunal to the parties
through the Secretary.
Rule 41 – Interest
The Tribunal may award interest on any sum awarded at such rate as applicable in fixed
deposits of State Bank of India in respect of such periods ending not later than the date of
the award as the Tribunal considers just.
Rule 42 – Costs
42.1 The Tribunal shall specify in the final award, the costs of the arbitrations and decide which
Party shall bear them and in what proportion they shall be borne.
42.2 In this Rule, “costs of the arbitration” shall include:
a. The fees and expenses of the Tribunal and the administration fees of the
SAROD as determined by the Secretary in accordance with the Schedule of
Fees;
b. The costs of tribunal appointed experts or of other assistance rendered: and
c. All expenses which are reasonably incurred by the SAROD in connection with
the arbitration.
715
42.3 The Tribunal has power to order in its Award, that all or part of the legal or other costs
(such as legal fees and expenses, costs incurred in respect of party appointed experts
etc) of one Party shall be paid by the other Party.
Rule 43 – Waiver
A Party which is aware of non-compliance with these Rules and yet proceeds with the
arbitration without promptly stating its objection in writing to such non-compliance shall be
deemed to have waived its right to object.
Rule 44 – Exclusion of Liability
44.1 The Tribunal, the President, the SAROD and any of its officers, employees or agents shall
not be liable to any Party for any act or omission in connection with any arbitration
conducted under these Rules.
44.2 After the Award as been made and the possibilities of corrections and additional Awards
have lapsed or been exhausted, neither the Tribunal nor the President shall be under any
obligation to make any statement to any person about any matter concerning the
arbitration, and no Party shall seek to make any arbitrator or the President or the SAROD
and any of its officers a witness in any legal proceedings arising out of the arbitration.
Rule 45 – General Provisions
45.1 In all matters not expressly provided for in these Rules, the President, the Secretary and
the Tribunal shall act in the spirit of these Rules and shall make every reasonable effort to
ensure the just, expeditious and economical conclusion of the arbitration.
45.2 The Secretary may from time to time issue Practice Notes on the implementation of these
Rules.
Rule 46 – Amendment to Rules
These Rules may from time to time be amended by the Governing Body of SAROD.
716
Appendix 19
List of Circulars Consolidated by this Master Circular on Dispute

Resolution and Legal Matters
S. Policy Circular no. Date of Subject Details

No. Issuance
Dispute Resolution Board (DRB)
1 2.1.43/2020 04.09.2020 Introduction of Dispute Resolution Board

(DRB) in all ongoing and upcoming
EPC/HAM/BOT Projects
2 2.1.42/2020 28.08.2020 Introduction of Dispute Resolution Board

(It repealed circular No. 2.1.41/2020

dated 18.08.2020)
3 2.1.41/2020 18.08.2020 Superseded (by 2.1.42/2020 dated

28.08.2020)
Introduction of Dispute Resolution Board

4 2.1.40/2020 12.06.2020 Delegation of Power to RO for signing for

supplementary Agreement in ongoing
PPP/HAM/EPC/ Item Rate Projects for
adopting the procedure of Dispute
Resolution Board.
5 2.1.38/2020 13.05.2020 Corrigendum
Introduction of provisions of DRB in

ongoing projects
6 2.1.37/2020 16.03.2020 Introduction of provisions of Dispute

Review Board (DRB) in ongoing PPP
projects.
717

No. Issuance
7 2.1.36/2020 16.03.2020 Schedule of expenses and Fees payable

to the Member (s) of Dispute Review
Board (DRB)
(Supersedes Annex- 1 of Policy

Guidelines – 2.1.22/2017 dated
01.06.2017)
Conciliation through CCIE
8 2.1.23/2017 02.06.2017 Establishment of a Conciliation &

Settlement Mechanism for contractual
Disputes under the contract agreements
with the
Contractors/Concessionaires/Consultants
in NHAI- Panel of Independent Experts
and Constitution of Conciliation
Committee- reg.
9 2.1.23(1) 19.06.2017 Establishment of a Conciliation &

Settlement Mechanism for contractual
Disputes under the contract agreements
with the Contractors/
Concessionaires/Consultants in NHAI-
Panel of Independent Experts and
Constitution of Conciliation Committee-
reg.
10 letter no 116433 19.04.2018 Model Settlement Agreement post

conciliation/ settlement between the
parties
11 letter no 117401 10.05.2018 Nomination as Member of Conciliation

Committee of Independent Experts-2
(CCIE-2
12 2.1.28 03.08.2018 Modification in the SOP for conciliation of

disputes between NHAI and the
Concessionaire/ Contractor/ Consultant.
718

No. Issuance
13 2.1.31/2019 16.09.2019 Constitution of Conciliation Committee of

Independent Experts-3 (CCIE-3)
14 2.1.33 31.01.2020 Change in Composition of Members of

Conciliation Committee of Independent
Experts-1 (CCIE-1)
15 2.1.39/2020 02.06.2020 Extension of time period of panel of

Independent Experts of Conciliation
Committees of Independent Experts
(CCIEs 1 & 2)
16 2.1.48 09.04.2021 Modified Standard Operating Procedure/

Methodology for conciliation.
17 2.1.49 24.05.2021 Extension of time period of panel of

Independent Experts of Conciliation
Committees of Independent Experts
(CCIEs 1 & 2)
18 2.1.50 26.05.2021 Timelines to process the matters for

referring to CCIEs.
19 2.1.51 11.06.2021 3 CGM Committees for recommending

the offers of NHAI in conciliation through
CCIEs
20 2.1.52 27.07.2021 Association of CGM (BOT) as one of the

Member in the 3 CGMs Committee- reg.
21 2.1.53/2021 16.11.2021 Regarding Association of CGM (BOT) as

one of the Member in 3 CGM Committees
for conciliation of disputes.
22 2.4.8/2022 03.01.2022 Committee to take a call on conciliation/

amicable settlement where settlement
amount of the case is more than Rs. 100
Cr.
Empanelment of Legal Firms/Lawyers
23 2.5.16/2020 13.05.2020 Engagement of Advocates – Experience

719

No. Issuance
(Condition of at least 10 years’

experience is reduced to the experience
of 5 years)
(It modified Policy Circular 50/2003

dated 30.06.2003 and 76/2004 dated
1.3.2004)
24 2.5.10/2017 06.09.2017 Empanelment of Law Firms/ Advocates in

ROs/ PIUs of NHAI.
25 Administration/Finance 10.09.2015 Detailing advocates for court cases at the

(163/2015) level of RO/PD
26 Administration/Finance 01.03.2004 Payment of Legal Charges

(76/2004)
27 Administration/Finance 30.06.2003 Engagement of legal firms/advocates

(50/2003)
Handling of AT Matters and Court Cases
28 2.1.35/2020 06.03.2020 Implementation of CCEA decisions dated

28.11.2019 in respect of filing of
objections/ petitions U/s 34 of the
Arbitration & Conciliation (Amendment)
Act, 2015 (A&C Act) and any appeal(s)
thereto.
(It modified SOP dated 01.06.2017)
29 2.1.22/2017 01.06.2017 Contractual Disputes Claims- Standard

Operating Procedure (SoP) for handling
the arbitration matters and the court
cases.
30 2.1.34/2020 31.01.2020 Appearance of Officers of NHAI before

Ld. AT. Arbitrator Tribunals in terms of
the Affidavits filed by them on the advice
of Advocates/Law Firms of NHAI.
720

No. Issuance
31 2.5.14/2019 31.12.2019 Submission of Statement of Defense and

Counter-Claims before the Arbitral
Tribunals on behalf of NHAI.
32 2.5.13/2019 31.12.2019 Claims before the Arbitral Tribunals on

behalf of NHAI.
33 2.1.30/2019 19.08.2019 Serious observation by the Hon’ble High

Court regarding delay in depositing the
amounts as directed by the Court
34 2.1.29/2019 10.07.2019 Drafting & presentation of Statement of

Defense before Arbitral Tribunal
and moving applications/ appeals before
Arbitral Tribunals/ Courts.
35 2.1.25/2017 22.12.2017 Contractual Disputes/ Claims- Standard

Operating Procedure (SoP) for handling
the arbitration matters and the court
cases-Modifications.
(It modified Policy Guidelines dated

01.06.2017)
36 2.5.10/2017 06.09.2017 Empanelment of Law Firms/ Advocates in

ROs/
PIUs of NHAI.
37 Policy matters – 24.05.2016 Superseded by policy circular dated

Administration/Finance 01.06.2017
(176/2016)
Fee of Arbitrators in case of Civil
Engineering Construction Contracts/
Supervision Consultants
721
Section: 3.1. Bank Guarantee(s)
Sub Subject
Section:
I. Acceptance of Bank Guarantee(s)
II. Format of Bank Guarantee
III. Maintenance and Release of Bank Guarantees
IV. Guidelines for release of Retention Money

against Bank Guarantee
V. Procedure for seeking extension or invocation
of the Bank Guarantee
722
I: Bank Guarantee(s)36
1.1 Acceptance of Bank Guarantee(s)
1. Bank Guarantees to NHAI shall be issued from any scheduled Commercial Bank
approved by RBI having net worth of not less than Rs. 1000 crores as per the latest
Annual Report of the Bank. In case of Foreign Bank (issued by branch in India) the net
worth with respect to Indian operations shall be only taken into account.
2. BGs issued by Cooperative Bank shall not be accepted.
[Policy circular No. No. 20/2002 dated 16.09.2002, 47/2003 dated 05.05.2003,
36
97/2005 dated 14.02.2005]

723
II: Format of Bank Guarantee37
Divisions shall ensure that format of BG should strictly be in compliance with the prescribed
format. The points that must be taken into account before accepting BG, such as confirmation
obtained from issuing bank in writing and from the Controlling office of the Bank in format
prescribed in circular, are provided in Policy 3.2.11 dated November 18,2004 – No.
11041/21/2002-Admn (31/2004).
37
[Policy circular No. No. 61/2003 dated 21.10.2003]
724
III: Maintenance and Release of Bank Guarantees38
A uniform procedure to be followed in respect of maintenance and release of Bank Guarantees

has been provided as below:
All the BGs shall be maintained by concerned Divisions at Headquarters and a copy of the same
will be sent to concerned PIUs for monitoring.
1. PIU will be responsible to monitor validity of BG (registrar will be appointed) and to ensure
validity extension is in provisions of terms of Contract
2. PIUs will send proposal and recommendations in line with Contract conditions to
headquarters for release of BGs
3. BGs will be released after approval of Member/CGM and Finance Division.
38
[Policy circular No. No. 12/2002 dated 02.08.2002]
725
IV: Guidelines for release of Retention Money against Bank Guarantee39
● Contractors are permitted to have Retention Money released on submission of Bank

Guarantee at following two stages:
(i) At a point after the progress of the work in financial terms [gross value of work done]
has reached 25% of the contract amount.
(ii) At a point after the progress of the work in financial terms [gross value of work done]
has reached 35% of the contract amount.
(iii) After the retention money has been deducted to the full value.
● Early release of retention money would henceforth bear an interest @ 6% p.a.
● Interest at SBI PLR plus 2% shall be charged in respect of all the decisions taken on or after
March 1, 2004 for grant of additional advance or for deferment of recovery of advances. The
interest (SBI PLR) would continue to be charged prevailing on the date of release without
any provision for interest reset.
[Policy circular No. No. 21/2002 dated 23.09.2002, 29/2002 dated 20.12.2002, 52/2003
39
dated 28.08.2003, 72/2004 dated 25.02.2004]

726
V: Procedure for seeking extension or invocation of the Bank Guarantee40

The following procedure for seeking extension or invocation of BG is prescribed:
(i) BG is an independent and distinct contract between the bank and beneficiary and is
not qualified by underlying transaction and primary contract between then party at
whose instance BG is given and the beneficiary. Banks can reject claims/invocations
made contrary to terms of BG. Hence, claims/invocations should be made by
mentioning specific reference to default in performance guaranteed under the BG. It
may also be kept in view that claim/invocation is made by/ on behalf of beneficiary.
Invocations should not be made on conditional grounds, unless such condition is part
of performance.
(ii) The Project Directors/Technical Division at HO can issue notice on behalf of
beneficiary to consultants/contractors to extend validity of BG to desired date, 60 days
prior to date of expiry of BG.
(iii) Reminder may be issued if extended BG is not received within next fortnight.
(iv) If after a fortnight of reminder, extended BG is not received, a notice may be issued to
issuing bank invoking the bank guarantee, keeping in view guidelines in para (i) above,
at least 30 days prior to date of expiry of BG. Where a performance security is
proposed to be encashed, approval from Chairman, NHAI may be obtained.
(v) Acknowledgment of receipt of letter by Bank may be kept on record.
(vi) To immediately obtain proceeds against encashment of BG, necessary follow ups may
be made with Bank.
(vii) If before the expiry of the BG, extended BG is received, notice issued to bank invoking
BG may be withdrawn.
2. Requests in respect to replacement of Bank Guarantees made by contractors/consultants

may be considered by Project Directors/Technical Divisions as contracts are silent about it,
subject to following conditions:
i. Fresh BG may be accepted in accordance with prescribed guidelines in this regard, such
as, Bank acceptable to NHAI issues it, is valid up to period as required under contract
etc.
ii. Fresh BG includes clause that “the bank guarantee shall cover all the liabilities arising out
of the contract from the date of commencement of the contract.”
iii. Where a performance security is allowed to be replaced, concurrence of Finance Division
at HO may also be obtained.
3. It may be ensured that all notices and other correspondences in the subject matter are made
preferably through ‘Registered Post with ‘AD’.
40
[Policy circular No. No. 79/2004 dated 15.03.2004, No. 12/2007 dated 28.06.2007]
727
4. All concerned are advised to strictly adhere to the procedure prescribed for maintenance,
release, seeking extension or invocation and replacement of BG(s).
728
Appendix A
S. No Circular No. Date Subject
1. 12/2002 02.08.2002 Maintenance and Release of Bank Guarantees
2. 20/2002 16.09.2002 Acceptance of Bank Guarantees
3. 21/2002 23.09.2002 Guidelines for release of Retention Money against

Bank Guarantee

Bank Guarantee
5. 47/2003 05.05.2003 Guidelines for acceptance of Bank Guarantee

Bank Guarantee
7. 61/2003 21.10.2003 Format of the Bank Guarantee for release of

Retention Money
8. 72/2004 25.02.2004 Procedures for payment of claims of contractors/

consultants/ vendors etc.
9. 78/2004 03.03.2004 BG format for payment of discretionary/additional

mobilization advance
10. 79/2004 15.03.2004 Procedure for seeking extension or invocation of the

Bank Guarantee
11. 91/2004 18.11.2004 Acceptance of Bank Guarantee(s)
12. 97/2005 14.02.2005 Acceptance of Bank Guarantee(s)
13. 02/2007 04.01.2007 Non-acceptance of Certified Cheques as Instrument

of accepting the bid security – reg.
14. 12/2007 28.06.2007 Procedure for seeking invocation of the BGs

729
Chapter : 3. Finance & Accounts

Section: 3.2. Payment & Fee
Sub Subject
Section:
I. Standard Operating Procedure (SOP) for release of
payments
II. Securitization of future Cash Flow
III. Delegation of Power in NHAI for financial scrutiny of the

Financial Proposal by Finance Division in NHAI Head
Quarter
IV. Procedure for payment of claims of
contractors/consultants/vendors etc. based on Duplicate
invoices
V. Issues relating to Debit Credit Advices by PIUs/CMUs for
timely settlement of inter-unit transactions
VI. Miscellaneous – Policy Matters
730
3.2 : Payment & Fees
I: Standard Operating Procedure (SOP) for release of payments to the Contractors

in terms of CCEA Decisions, conveyed vide NITI Aayog OM dated 28.11.201941
Pursuant to decision taken by the Cabinet Committee on Economic Affairs (CCEA) for revival of
the Construction Sector and based on the NITI Aayog OM No. 14070/14/2016 – PPPAU dated
5th September 2016, an Standard Operating Procedure (SOP) for release of payment to the
Contractor was issued by Authority.
As per the SOP, in cases where the Government Entity has challenged the arbitral award, and,
as a result, the amount of the arbitral award has not been paid, 75% of such award will be paid
by the Government Entity to the contractor/concessionaire against a bank guarantee only for the
said 75% and not for its interest component. With respect to the interest payable to the
Government Entity, should the subsequent court require refund of the said 75%, payment of the
same will be as per the court order, non-compliance of which by the contractor/concessionaire
would be a contempt of court. And, the concerned Government Entity will have the right to recover
the said interest by way of legal/judicial remedies. In cases where bank guarantee for the interest
component has already been submitted by the contractor/concessionaire, the same will be
returned by the concerned Government Entity. Should the court order prescribe a rate of interest,
the same will prevail.
Authority vide Policy Circular No. 3.2.14 dated 16.10.2020 has amended para 10.2 (vii) of issued
SOP regarding methods to be followed in case Bank Guarantee including the interest component
has already been submitted by the Concessionaire/Contractor.
41
Policy Circular No. No. 3.2.14 dated 16.10.2010
731
II: Securitization of future Cash Flow42
NHAI Board in its 136th and 144th meeting approved extension of applicability of the circular no.
NHAI/CGM(F&A)/2013 dated 29.05.2013 on Securitization of future cash flow in BOT (Toll)
Projects to BOT (Annuity) and Hybrid Annuity Mode Projects respectively.
III: Delegation of Power in NHAI for financial scrutiny of the Financial Proposal by
Finance Division in NHAI Head Quarter43
1. Authority vide Policy Circular 3.2.9 dated 10.11.2010, designated official from Finance
Division for financial scrutiny/concurrence of the proposal with monetary ceiling as prescribed
below:
S. No. Ceiling amount of individual payment proposals Designated Officer for

Financial Scrutiny/
Concurrence
1. All routine/recurring payments proposals upto Rs. Manager (F&A)

1.00 lakhs in each case
2. All payment proposals upto Rs. 10.00 lakhs in each DGM (F&A)
case
3. All payment proposal upto Rs. 25.00 lakhs in each GM (F&A)

case
4. All payment proposal upto Rs. 1.00 crore CGM (FA)
5. All payment proposals above Rs. 1 crore Member (F)
2. Further, regarding transfer of funds to PIUs/CMUs vide para 9 of Policy Circular No. 87/2004
dated 12.07.2004, fresh guidelines were issued vide Policy Circular No. 69/2010 dated
30.09.2010.
3. Designated official from Finance Division for financial scrutiny/concurrence of the proposal
with monetary ceiling as prescribed below:
S. No. Ceiling amount of individual payment proposals Designated Officer for

Financial Scrutiny/
Concurrence
42
Policy Circular No. 3.2.10 dated 08.09.2019, No. 3.2.12 dated 05.12.2019
43
Policy Circular No. 3.2.9 dated 10.11.2010
732
1 All routine/recurring payments proposals upto Rs. DDO / FARO (as per
1.00 lakhs in each case (other than Salary) stipulated entitlements for RO
/ PIUs)
2 All Salary, TA-DA, employee claims DDO / FARO
(as per stipulated

entitlements)
IV: Procedure for payment of claims of contractors/consultants/vendors etc.

based on Duplicate invoices44
Payments should be processed by the concerned Divisions only against the original invoices in a
time bound manner, as a general rule.
However, if the bill/invoices are processed belatedly or ‘Duplicate Invoices’, the concerned
Division shall ensure payment was not released earlier on original invoice and also record this
certification and the reason for processing the delayed claims before sending the file to Finance
Division. Also, in case of processing the payment on duplicate bills, an undertaking should also
be obtained from the concerned party to the effect that no payment was received by them against
the said invoice/assignment and in case the undertaking is found to be false at later stage,
concerned party shall be responsible for refund of such amount together with penal rate of interest
@ SBI PLR plus 2% prevailing at the time of duplicate payment.
44
733
V: Issues relating to Debit Credit Advices by PIUs/CMUs for timely settlement of

inter-unit transactions45
Authority has issued guidelines on various debit/credit advices sent to HO by the PIUs/CMUs for
items listed below:
1. TA/DA claims
2. TDS (IT)
3. Other Debits/Credits
4. Utilization Certificate
5. HO Reconciliation
6. Remittance of Toll Collections and Traffic Count Toll Sharing
45
734
VI: Miscellaneous – Policy Matters46
1. Demand drafts / banker’s cheque shall be sent to Finance Division, by giving the details of
tender, reference of contractor/supplier, amount & reference of demand drafts /banker’s
cheque immediately after tender submission along with contractor / supplier PAN & GSTN
details
2. Authority issued guideline for release of funds to PIU/CMU and its utilization by the Project
Director of concerned PIU in continuation to Circular No. NHAI/F&A/Proj. Exp.
Review/2001/161 dated 07.05.2002.
a. PIU/CMU to submit the proposal for release of funds on quarterly basis in the format
prescribed duly indicating the details of payment under various heads.
b. Based on the requisition, funds will be released to PIU in instalments.
3. As per Accounting Policies of NHAI, payments made to various Central & State Government
departments and other Government Agencies for various works like shifting of utilities, tree
cutting and compensatory afforestation, shifting of water pipelines, construction of ROBs etc.,
for various projects and maintenance of highways to the State Governments departments
were shown as ‘Advance against deposit works’ and ‘Advance for maintenance of highways’
respectively. However, Utilization Certificate in respect of such deposit work and advance
against maintenance work were not received timely which resulted in delay in adjustment of
advances and accounting of agency charges. Subsequently, committee was constituted to
examine the whole issue and based on the recommendation of the Committee, Authority
adopted revised procedure/policies on the following subject:
a. Payments made for utility shifting to Government Department

b. Payment made for ROB
c. Payments made for afforestation and tree cutting
d. Payments made for Maintenance of Highways
e. Joint Measurement Survey fees and other activities related with LA
4. Authority implemented e-payments through Electronic transfer with approval of Competent

Authority. With this procedure, payments to the contractors, consultants or vendors in NHAI,
HQ were made through electronic transfer without issuing any physical cheque. To implement
this procedure, following information is required by bank and is to be obtained from the
concerned contractor, consultants or vendors:
a. Name of the Party in whose favour the payment is to be released
b. The bank account no. in which the recipient party intends to credit the amount
46
Policy Circular no. 3.2.6 dated 27.08.2008, No. 3.2.5 dated 07.03.2008, No. 3.2.4 dated 08.02.2008,
No. 3.2.3 dated 06.07.2007, No. 3.2.2 dated 13.05.2004, No. 3.2.1 dated 05.05.2003, No. 3.2.13 dated
04.05.2020
735
c. Bank address and RTGS no. of said bank branch
5. Policy circular was issued to apprise all PIUs/CMUs and various Divisions at Head Office
about issues raised by the Internal Auditor to ensure strict compliance with the policy
guidelines/procedure prescribed by the Head office from time to time regarding following
matters –
a. Payment on account of variations for BOQ as well as non – BOQ items – Guidelines
has been already issued vide policy Circular No. 31/2002 dated 31/12/2002 for
approval of variation. In addition to guidelines, prescribed vide Policy Circular No.
8/2002 dated 19/6/2002 (para 4.5.3) that before the release of payments against
monthly IPCs, it must be ensured that approval of the Engineer/Competent Authority
has been obtained for execution of extra quantities or extra lines, as per the guidelines
issued by headquarters. All PIUs/CMUs must strictly adhere to the above guidelines.
b. Payment of advances without due verification of cost of equipment and availability of
equipment at site
c. Payment against material advance
d. Recovery of mobilization and material advances
e. Use of proper indices for payment on account of price escalation
f. Maintenance of fixed assets register, physical verification and insurance
g. Non – receipt of utilization certificates from Govt. Agencies/Departments
h. Advertisement expense
i. Statutory Compliance
j. Casual Tenders
k. Ignoring HO advice
l. Measurement Book
6. Project Director may release retention money to the contractor strictly in accordance with
guidelines issued by the Headquarter. Other procedures prescribed in policy circular dated
10.01.2003 shall remained unchanged along with subsequent Atmanirbhar policy circulars
and further guidelines issued by NHAI HQ from time to time.
7. Examine that the contractor has taken out adequate insurance coverage in accordance with
the relevant clauses of the contract (generally clause 21.1 and 21.2 of the contract), more
specifically the insurance in respect of the plant & equipment If not concerned Division or
Project Director or the Engineer to the project may be requested to verify such insurances and
examine the adequacy of such coverage including both value & period of cover) in terms of
the contract.
8. PIU’s and FARO must check the delegation of powers and see that the amounts / bills are
approved by respective Competent Authority as per extant policy circulars issued by NHAI
HQ from time to time.
736
9. PIUs must ensure the recoveries from the agencies towards damages, penalties, 50% IE/AE
fees, non-compliances levied and recovered from time to time along-with statutory recoveries.
10. Authority decided that Member (F) will conduct monthly review meeting involving revenue
generation and expenditure with concerned divisions of NHAI.
737
Section: 3.3. Account &Taxes
Sub Subject
Section
I. GST Implementation
II. Remittance of Statutory Taxes (TDS, TCS etc.)
III. Change in Depreciation on Fixed Asset
IV. Circular issued by Authority w.r.t payment of Service Tax
V. Remittance of Statutory Taxes (TDS, TCS etc.)
VI. Change in Depreciation on Fixed Asset
VII. Investment of Surplus Funds of Authority and Procedure and

remittance of toll revenue, shared revenue and negative grant
to Ministry for deposit in Consolidated Fund of India (CFI)
738
I: GST implementation47
Authority has laid down the procedure on implementation of GST Act, 2017 with respect to various
procedure regarding payment to Contractors, payment of Annuity for BOT(Toll) project
BOT(Annuity) project, including Standard Operating Procedure to be adopted – reg.
1. Clarification on Applicability of GST on Hybrid Annuity Projects in bidding stage on

implementation of GST Act, 2017.
2. Provides Standard Operating Procedure for implementation of GST Act, 2017 on
● Incidence of application of Service Tax/GST.
● EPC Contract Payments
● Preparation of DPR, Estimation of Project Cost, Utilities Shifting and Change of Scope
etc.
● Payment against Hybrid Annuity Projects (40% of Bid Project Cost) and O&M
Contracts.
3. Consequential Changes in Law, Procedure to be followed for various payments on
implementation of GST Act, 2017 in NHAI.
● Invocation of “Changes in Law” clause on implementation of GST Act, 2017 for
o Hybrid Annuity Mode (HAM)
o Engineering, Procurement & Construction (EPC)
o Built Operate & Transfer – BOT (Toll)
o Built Operate & Transfer – BOT(Annuity) &
o Operation & Maintenance Contract (O&M)
● Annuity Payments
● Mobilization advance
● Reverse Charge Mechanism (RCM) and accounting treatment
● Deductibility of TDS under Income Tax Act
4. Payments of GST to the Consultant/Contractors/Service providers/other Vendors
5. Non – applicability of GST on Asset Transfer by Rajasthan Authority to NHAI.
6. Standard Operating Procedure for HAM Concessionaire due to Change in Law on account of
introduction of GST Act, 2017
7. Clarification regarding applicability of GST on payment of Annuity under BOT projects
completed before implementation of GST on 01.07.2017
47
[Policy circular No. 3.3.14 dated 29.09.2017, 3.3.15 dated 04.10.2017, 3.3.16 dated
04.10.2017, 3.3.17 dated 23.10.2017, 3.3.18 dated 17.11.2017, 3.3.19 dated 12.07.2019,
3.3.20 dated 29.07.2019, 3.3.21 dated 01.09.2021, 3.3.22 dated 22.11.2021, 3.3.23
dated 24.11.2021, 3.3.24 dated 24.11.2021]
739
II: Remittance of Statutory Taxes (TDS, TCS etc.)48
All ROs/PIUs/CMUs of NHAI are required to make e-payment of TDS, TCS etc through a separate
account with safeguards as listed below:
1. ROs/PIUs/CMUs are allowed to open an additional current e-payment account with their
existing Banks, exclusively for online e-payment of Taxes in Government A/c.
2. The DDOs will obtain ‘User ID’ and ‘Password’ for this new account for making online
remittance in Government Account.
3. The amount of taxes required to be deposited during the month should be drawn from
main account by issuing the cheque as per existing joint signatory mechanism for credit
in e-payment account.
4. From e-payment account, the DDO will make the online payment by due dates using the
user ID/Password.
5. DDOs will be ensure timely payment of entire amount by due dates and the balance in the
e-payment account after such due dates, should be nil.
6. At the time of opening of e-payment Account, Project Director will issue standing
instruction to Bank to ensure that the account is exclusively for online remittance in Govt.
Account only and no other payment is permissible from e-payment account.
48
[Policy circular No. No. 3.3.12 dated 07.05.2012 (Office Memorandum No.
NHAI/F&A/Policy/2012-13/III-56)]
740
III: Change in Depreciation on Fixed Asset49
Authority has adopted Written Down Value (WDV) method of depreciation for the assets which
are presently capitalized in the books of accounts.
Rates of depreciation on asset is as under:
Rate of depreciation
Item of Fixed Asset on which depreciation is being charged
(%) per annum
Buildings 5
Computers 60
Furniture & Fixtures and Electrical Fittings & Installations 10
Motor Vehicles 20
Air Conditioners & Heaters 25
Office Equipment 25
Laboratory and Survey Equipment 25
Further, as per approved policy of Competent Authority prepared in consultation with statutory
auditor and
a) Full year depreciation at the rate shown above if the asset is available for/ put to use for
180 days or more in the given financial year
b) Depreciation @ 50% of the rate shown above if an asset is available for/ put to use for
less than 180 days in a given financial year.
Also, in case of retention /disposal/sale of assets depreciation is charged as on the date of event
as per the scheme above a) and b), however under normal circumstances and in case of inter
unit transfer of assets, depreciation is to be charged at the year end.
49
[Policy circular No. 3.3.11 dated 04.05.2012]
741
IV: Circular issued by Authority w.r.t payment of Service Tax50
● Authority had issued Circular regarding payment of responsibility of payment of service

tax even if he/she fails to collect the same from user without any exemption from payment
of service tax on the ground that same was not paid by the client. Further, in case of
conflict or inconsistency between contractual provisions and the specific conditions of the
contract against which the payment claimed, the provision of the contract shall prevail.
● Further, NHAI is exempted from payment/deposit of Service Tax for Reverse charge
mechanism and Joint charge mechanism vide mega notification no. 25/2012-ST Dated
20.06.2012, as NHAI does not fall in the category of “Business Entity” in terms of section
65B (17) of the Service Tax Act.
50
[Policy circular No. 3.3.6 dated 01.08.2007 (No. 11041/217/2007-Admin), No. 3.3.6
(NHAI/F&A/Service Tax/2012-13) dated 05.03.2013]
742
V: Remittance of Statutory Taxes (TDS, TCS etc.)51
All ROs/PIUs/CMUs of NHAI are required to make e-payment of TDS, TCS etc. through
a separate account with safeguards as listed below:
1. ROs/PIUs/CMUs are allowed to open an additional current e-payment account with

their existing Banks, exclusively for online e-payment of Taxes in Government A/c.
2. The DDOs will obtain ‘User ID’ and ‘Password’ for this new account for making
online remittance in Government Account.
3. The amount of taxes required to be deposited during the month should be drawn
from main account by issuing the cheque as per existing joint signatory mechanism
for credit in e-payment account.
4. From e-payment account, the DDO will make the online payment by due dates
using the user ID/Password.
5. DDOs will be ensure timely payment of entire amount by due dates and the
balance in the e-payment account after such due dates, should be nil.
6. At the time of opening of e-payment Account, Project Director will issue standing
instruction to Bank to ensure that the account is exclusively for online remittance
in Govt. Account only and no other payment is permissible from e-payment
account.
51
[Policy circular No. No. 3.3.12 dated 07.05.2012 (Office Memorandum No.NHAI/F&A/Policy/2012-
13/III-56)]
743
VI: Change in Depreciation on Fixed Asset52
Authority has adopted Written Down Value (WDV) method of depreciation for the assets
which are presently capitalized in the books of accounts.
Rates of depreciation on asset is as under:
Rate of depreciation
Item of Fixed Asset on which depreciation is being charged
(%) per annum
Buildings 5
Computers 60
Furniture & Fixtures and Electrical Fittings & Installations 10
Motor Vehicles 20
Air Conditioners & Heaters 25
Office Equipment 25
Laboratory and Survey Equipment 25
Further, as per approved policy of Competent Authority prepared in consultation with

statutory auditor and
a) Full year depreciation at the rate shown above if the asset is available for/ put to
use for 180 days or more in the given financial year
b) Depreciation @ 50% of the rate shown above if an asset is available for/ put to use
for less than 180 days in a given financial year.
Also, in case of retention /disposal/sale of assets depreciation is charged as on the date

of event as per the scheme above a) and b), however under normal circumstances and
in case of inter unit transfer of assets, depreciation is to be charged at the year end
52
744
VII: Investment of Surplus Funds of Authority and Procedure and remittance of

toll revenue, shared revenue and negative grant to Ministry for deposit in
Consolidated Fund of India (CFI)53
1. It was decided with the approval of Competent Authority that toll revenue, shared
revenue, negative grant and interest on toll receipts will be remitted by NHAI to
Government of India for deposit in the Consolidated Fund of India (CFI) w.e.f.
01.04.2010 on quarterly basis.
53
[Policy Circular No. 3.3.7 dated 22.03.2010]
745
Appendix A
1. 3.3.25/2021 07.12.2021 Bearing the Additional Income Tax liability on

perquisite of accommodation provided to NHAI’s
employees who occupy NHAI’s Residential
Accommodation as per the provision of Section
10 (10CC) of Income Tax Act, 1961
2. 3.3.24/2021 24.11.2021 Corrigendum to Policy Circular No. 3.3.23/2021

dated 24th November 2021 - reg.
3. 3.3.23/2021 24.11.2021 Clarification regarding applicability of GST on

payment of Annuity under BOT projects
completed before implementation of GST on
01.07.2017- reg.
4. 3.3.22/2021 22.11.2021 Clarification regarding applicability of GST on

payment of Annuity under BOT projects
completed before implementation of GST on
01.07.2017- reg.
5. 3.3.21/2021 01.09.2021 Clarification regarding applicability of GST on the

activity of construction of road where
considerations are received in deferred payment
HAM (Annuity) – reg.
6. 3.3.20/2019 29.07.2019 Standard Operating Procedure for HAM

Concessionaire due to Change in Law on
account of introduction of GST Act,2017-reg.
7. 3.3.19/2019 12.07.2019 Charging of GST on the Estimated Cost of the

work against raising/shifting of utility by utility
owning agencies (in addition to the supervision
charge & block charges including GST).
746
8. 3.3.18 17.11.2017 Payment of GST to the

Consultants/Contractors/Service providers/other
Vendors reg.
9. 3.3.17/2017 23.10.2017 Implementation of GST Act, 2017 in NHAI-

Exemption of application of GST on Annuity
payments-reg.
10. 3.3.16/2017 04.10.2017 Implementation of GST Act, 2017 in NHAI -

Consequential Changes in Law, Procedure to be
followed for various payments - reg.
11. 3.3.15 04.10.2017 Standard Operating Procedure on

Implementation of GST Act, 2017 3.3.15/2017
12. 3.3.14/2017 29.09.2017 Clarification on Applicability of GST on Hybrid

Annuity Projects, which are in bidding stage for
uniformity-reg.
13. 3.3.13 05.03.2013 Liability of the Service Tax payable on the

services as per notification no 30/2012-ST dated
20/6/2012
14. 3.3.12 07.05.2012 Remittance of statutory Taxes (TDS,TCS etc.)

through e-payment from a separate Account.
15. 3.3.11 04.05.2012 Change in policy for charging depreciation on the

capitalized fixed assets of Authority
16. 3.3.7 22.03.2010 Accounting procedure and remittance of toll

revenue,shared revenue and negative grant to
Ministry for deposit in Consolidated Fund of India
(CFI) w.e.f 1.4.2010
747
Section: 3.4. A. C&AG Audit
Sub Subject
Section:
I. Streamlining the procedure for submission of replies
of Audit Observation
II. SOP for dealing with C&AG Audit
III. Monitoring of replies submitted by PIUs & ROs by

F&A Unit in ROs
748
I: Streamlining the procedure for submission of replies of Audit Observation

(C&AG)1
1. Procedure for timely submission of information / records / files / replies of the inspection
report/audit paras/ATN etc. by PIUs/ CMUs/ ROs/ HQ to Government Audit office. This
circular supersedes the earlier office order of even number dated February 3, 20042.
i. Matters relating to calling for information / records through Audit Requisition
/ Half Margin Memos :-
 The Audit Office shall seek requisite information / files/ documents directly
from the concerned officers of the respective Division dealing with such
projects/issue.
 The concerned officer shall be responsible to ensure that the requisite
information / documents / files are directly submitted to the Audit Office
within stipulated time without any delay.
 In case of any abnormal delay the Audit Office may report the matter to the
concerned CGM / Member.
ii. Inspection Report (PIUs/CMUs):-
 The Govt. Audit Office shall issue the Inspection Reports in respect of PIUs
/ CMUs directly to the concerned Project Directors and copy endorsed to
the concerned Division at HQ for necessary action.
 The detailed para-wise replies of the Inspection Reports of PIUs/CMUs
along with all supporting documents shall be submitted by the Project
Directors to the concerned Division at HQ who shall review the replies and
submit the same directly to the Govt. Audit Office with the approval of
concerned CGM/Member, within stipulated time frame.
 Further records / clarification on the replies, called for by the Audit Office
shall also be provided by the concerned Divisions to Audit office on priority
basis.
 The concerned Divisions may ensure that all Audit observations in
Inspection Reports are properly replied and got settled.
 The unsettled paras of Inspection Report, if any, will be referred by the
Govt. Audit Office to Finance Division for further necessary action.
 In the event of any abnormal delay, the Govt. Audit office may report the
matter to concerned Member / Member (Finance).
iii. Inspection Reports (HQ):-
 The Govt. Audit Office shall issue the Inspection Reports in respect of
NHAI, HQ to Finance Division who shall obtain the comments of the
concerned division and ensure that the replies, with the approval of
Competent Authority, are sent to Govt. Audit Office within stipulated
timeframe.
749
 In the event of any abnormal delay, the Govt. Audit office may report the
matter to Member (Finance).
iv. Factual Statements, Draft Audit Paras, etc.:-
 The factual statements / draft audit para shall be sent by the Govt. Audit
office to the Finance Division who shall obtain the comments of the
concerned division and ensure that the replies with the approval of
Competent Authority are sent to Govt. Audit office within stipulated
timeframe.
 In the event of any abnormal delay, the Govt. Audit Office may report the
matter to the Member (Finance) / Chairman.
2. Setting up of Committee for expeditious disposal of Audit Observation vide Policy Matters
No. 11041/217/2007-Admn dated 24.01.20073.
To ensure expeditious settlements of the Audit observations, a Committee of officers of

NHAI has been set up as under:-
(i) Concerned General Manager of the Technical Division at NHAI HQ.
(ii) General Manager (Accounts & Audit), NHAI.
(iii) Concerned Project Director.
The Committee will interact with the Dy. Director of Audit, Government Audit office
for expeditious settlements of the outstanding Audit observation.
1.
NHAI/Audit/Procedure/2006/I/13 dated 19.9.2006
2.
NHAI/F&A/RAP/147 dated 3.2.2004
3.
Policy Matters No.11041/217/2007- Admn. Dated 24.01.2007.
750
II: SOP for dealing with C&AG Audit4

Subject: Procedure and responsibility mechanism framed as a Standard Operating Procedure for
proving requisite records and submission of replies and action taken notes to C&AG / Govt. Audit
Office in a systematic time bound manner.
1. Introduction:
1.1 The C&AG of India is the Auditor of NHAI. Various Audit Offices of Principal Directors of
Commercial Audit and Member Audit Boards at Delhi, Mumbai, Hyderabad, Ranchi, Chennai &
Kolkata under C&AG, are conducting the Compliance/Transaction/Performance/Thematic Audit
of NHAI (HQ, ROs and. PIUs) on continuous basis, in accordance to Article 19 of C&AG’s (Duties,
Power and Conditions of Service) Act. 1971.
1.2 The C&AG Paras are also reviewed by Vigilance Division and Central Vigilance
Commission is making special complaints and demands for prosecution under The Prevention of
Money Laundering Act 2002 and Prevention of Corruption Act 1988.
2. Objectives: Defining a time bound programme
2.1 To make available all the requisite Records/documents to Audit Teams for audit scrutiny;
2.2 To take remedial measures/corrective action to comply the Audit Paras, to furnish the
appropriate replies and follow up compliances;
2.3 Submission of detailed action Taken Notes (ATN) on the C&AG Paras, vetting by the
C&AG and submission to Committee on Public Undertakings through MoRTH.
3. Procedure and Responsibility Mechanism:
The C&AG Offices generally insists replies within 4 weeks. However, keeping in view
different Divisions and PIUs/ROs involved in firming up the replies, 6 weeks time frame is
prescribed for furnishing Replies of IR/Draft Audit Paras and 8 weeks time frame for furnishing
action taken notes of printed C&AG paras. The time schedule, responsibility and approval
mechanism is prescribed as under:
S. No. Audit Observations Officer Responsible Approval by Time Schedule (outer –

date)
(I) Audit Requisition (i) Project Directors - Records within 3 days.
for Records / for PIU
information for (ii) GMs for RO Information / Details within
audit Scrutiny (iii)GMs for HQ 2 weeks.
751
(II) Audit Inspection (i) Project Directors (i) RO – for Replies IR of PIU/RO
Reports of RO/ for PIU & GMs for PIUs and (i) By PD to RO within 4
PIU/ CMU and HQ RO RO office weeks.
divisions (ii) GMs concerned, (ii) CGMs (ii) By RO to Audit Office
HQ concerned within 2 weeks.
and CGM
(F&A) Replies of IR of HQ
(i) By concerned Division
to F&A Div HQ, within 4
weeks.
(ii) By F&A Div to Audit
Office within 2 weeks.
(III) Draft Audit Paras: Concerned GMs of Members Replies/ Compliances:
Replies and HQ after getting concerned & (i) By PD to RO within 2
compliances with comments/ Member weeks
supporting compliances from (Finance) (ii) By RO to CGM(T) HQ
documents. ROs/ PDs within one week
(iii) By CGM(T) to
CGM(F&A) with approval
of Member concerned,
within 2 weeks
(iv) By F&A Div to CAG/
MoRTH with the approval
of Member(F) within one
week.
(IV) Printed C&AG Concerned CGMs Member Action Taken Note
Paras/ Reports as of HQ after getting concerned & showing compliances:
presented to comments/ Member (i) By PD to RO within 3
Parliament- compliances from (Finance). weeks.
Action Taken Notes ROs/ PDs. (ii) By RO to CGM (T) HQ
are required to be (Approval of within 1 week.
furnished in the Chairman (iii) By CGM(T) to
prescribed format. required for CGM(F&A), with approval
Action of Member concerned,
Taken within two weeks;
Reports of (iv) By F&A Div. to
Performance MoRTH/C&AG, with the
Audit approval of Member (F)/
Reports.) Chairman, within two
weeks.
752
4. Points to be kept in view while preparing the replies/ATN:
 The Audit paras and Replies thereof should be prepared in the annotation format i.e. in
left columns entire Audit paras should be given and in right column point-wise replies are
to be furnished.
 There should be a clear view whether the Paras is justified or not and the reply should
accordingly be framed.
 Facts and figures given by the Audit in the Audit Para have to be verified from the records
and correct position to be confirmed.
 All points raised in the Para have to be clarified and replies should be specific to the points
raised in the para.
 Copies of relevant documents in support of reply have to be furnished.
 Remedial corrective measures have to be taken to comply the audit paras and to be
reflected in the replies/ATN. Clear conclusion of the replies to be highlighted in the
reply/ATN.
5. Preliminary Replies for any anticipated delays: In case there is anticipated delay in
submission of complete replies /ATN, a preliminary reply shall be furnished duly indicating
the reasonable outer date by which the complete reply/ATN would be furnished and that
date should strictly be adhered to.
6. Responsibility and remedial action for delays: While submitting the replies for approval of
competent authority as prescribed in para 3 above, the reasons for delays if any, shall
also be submitted. For any unjustified delays, Show-case notices shall be considered by
the CGM/Member concerned.
7. The above Standard Operating Procedure (SOP) is issued with the approval of the
Executive Committee of NHAI, for strict compliance of all NHAI with immediate effect.
4
NHAI/Policy Guidelines/Finance & Accounts/Auditing/2019 No.3.4.2/2019 dated 25.03.2019
753
III: Monitoring of replies submitted by PIUs & ROs by F&A Unit in ROs5
In order to avoid the delay in submission of audit replies and with increased audit processes by
CAG, robust monitoring mechanism has been initiated at RO levels:
I. The Project Directors, CGM(T)/ ROs and GMs/ CGMs, HQs, may kindly make it sure that audit
compliances (both CAG & Internal Audit), are attended on priority basis and replies are furnished
in a time bound manner, for submitting to Audit/ MORTH within prescribed 4 weeks’ time frame.
II. Work allocation may be noted as follows:
i. The Assistant Manager (F&A) with Audit responsibility, in addition of other assignments,
shall monitor/coordinate/consolidate the replies, for the RO as a whole so that replies are
furnished in a time bound manner.
ii. The Accountants/Assistant Managers (F&A) dealing the payments & accounting matters
of the PIUs, shall also coordinate/pursue the Audit compliances of that PIU, to ensure
timely submission of records/replies. Audit observations and pending recoveries, should
be kept in view while processing the related payment files.
iii. The Heads of the F&A Units, shall review the compliances/replies, particularly of the
paras having financial implications for sending to Audit/HQs with the approval of ROs.
iv. The above provisions shall be applicable for CAG Audit and Internal Audit/special audit.
5
NHAI/F&A/CAG Audit/Policy/2020-21/A-151 dated 05.04.2021
754
Section: 3.4. B. Internal Audit
Sub Subject
Section
I. Guidelines for physical verification of Assets
II. SOP for compliance of Internal Audit Observation

755
3.4. B: Internal Audit
I: Guidelines for physical verification of Assets6
Periodic Physical Verification of assets is an integral part of accounting system. This

ensures assets purchased by an organization are physically available and are being put to use
for the purpose it was procured. It also helps decision making in respect of repair, renewal,
replacement / purchase of new assets.
It has been observed that despite clear instruction by NHAI, HQ and several audit
observations, the system of annual physical verification of assets is not being practiced uniformly
across all the units of NHAI including NHAI, HQ where the number of assets under Furniture
Fixtures, Office Equipment, Computer EDP and Electrical Installation categories are
predominantly high. This is reflected through various audit observations by C&AG and also
creates uncertainty about the availability and physical condition of assets.
2. It has been decided that in respect of all the assets of NHAI, Physical verification is to be
carried out annually and verification report in the prescribed format (Annexure-A) is to be
submitted to accounts division so that the same may be produced before audit. This includes
Assets of all categories held by NHAI a) Purchased out of own fund, b) Purchased for toll plazas,
c) Purchased out of grant, d) Received under EPC contract / Concession Agreement.
3. The verification work is to be performed at the end of the every financial year between 1st
to 15th April by a three member committee as given below –
Location HQ RO PIU Crucial Date

Appointing CGM (T) of Regional Officer Project Director Committee to be
Authority concerned concerned concerned appointed by 15th Feb
division at HQ every year
Committee Concerned GM GM (T), DGM (T) Project Director, Verification report to
Members (T), DGM (T) / / Manager (T) of DGM (T) / be submitted by the
Manager (T) of the RO, Senior Manager (T), committee by 15th
the division, DGM most officer of Senior most April every year
(F&A) / Manager finance at RO* officer of finance
(F&A) from HQ at PIU*
* In case no finance person is deployed in the PIU, RO concerned may nominate a finance
officer from within his jurisdiction or request nearest RO for the same.
756
4. Identification mark to be noted on every asset –
In case of assets which have been acquired / purchased by NHAI and have been paid
using AFMS, asset identification number is generated by AFMS at the time of creation of asset.
This identification number should be incorporated / painted on the asset so that the asset may be
identified with the payment / transaction.
In case of other assets which have not been paid through AFMS, a manual system of
allotting identification number to each asset as soon as they are received / acquired may be
followed and identification mark should be incorporated / painted on the body of the asset.
5. Assets Acquired for use at Toll Plazas for toll operation –
Details of assets acquired for use at Toll Plazas or at the CMU Offices for toll operation should be
maintained in a separate register. This register will contain information like name of item, name
of supplier, date of purchase, quantity, rate, amount, adjustments, etc. Up to date copy of assets
register along with physical verification report of these assets should be submitted.
6. Assets supplied by the contractor / consultant as per old EPC contracts
Full details of the ‘Assets supplied by the contractor / concessionaire as provided under BOQ item
of old EPC contracts’ and ‘Assets created out of Grant’ i.e., Name of item, Name of supplier, date
of acquisition / creation, quantity, rate, cost & depreciated value as on 31st March of immediately
preceding financial year along with physical verification report should be submitted.
Provisions of this circular shall apply in case of all the Furniture Fixtures, Office Equipment,
Electrical Installations and Computer EDP which are acquired by / in possession of the PIUs, ROs
and HQ.
1. Head Quarter – All the asset owning / custodian Divisions at NHAI, HQ are also required
to carry out annual physical verification of assets under their custody and make the report
available to CGM (FA) as given in the circular.
6 NHAI/Policy Guidelines/Administration/Finance/2019 No.3.4.3/2019 dated 24.10.2019

757
Annexure A
Format for Annual Physical Verification of Assets
(Assets purchased – Out of own funds / Supplied by contractor / concessionaires/For Toll Plaza/Out of Grant)*
Name of Unit – Category of Asset# -

Date of verification - Date of verification –
SI. Description Name of Asset Location Date of Quantity Rate Amount Actual Quantity Physical Remarks***
of Asset Supplier Id “ ” of the Acquisition as seen during condition**
Asset verification
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
Note - * Separate report in case of Assets purchased – out of own funds / supplied by contractor / concessionaires / for toll plaza/ out of grant is to be submitted.
** Present physical condition of asset like – Excellent, Good, Working, Note working / Needs repair, Damaged / Damaged beyond repair should be mentioned.
*** Details of missing assets, if any, should be indicated under remarks.
# Category of Assets – Furniture Fixtures, Computed EDP, Electrical installations.
“” System generated / manual identification mark as noted on the asset
(Signature) (Signature) (Signature)

Name Name Name
Designation Designation Designation
758
II: SOP for compliance of Internal Audit Observation7

Subject: Internal audit process for review, monitoring, acceptance of Audit Observation and
performance evaluation of Internal Auditors.
A. Classification of the Internal Audit Process.
1) Review of Internal Audit observations by Internal Audit section at HQ:-

2) Monitoring of the Observation Compliances by the Internal Audit Section at HQ.
3) Acceptance of the Compliances to Audit Observations
4) Performance Evaluation of the Internal Auditors.
B. Detailed Process to be followed

1. Review of Internal Audit Observations by the Internal Audit Section at HQ
1.1 Existing Pendency:
1.1.1 Internal Audit Section at HQ shall send details of pending compliances from
ROs and different departments at HQ to concerned CGMs under intimation to
respective Members, with a request to make the requisite compliances within
10 days from date of submission.
1.1.2 The compliances received shall be reviewed by HQ Internal Audit Section and
important findings of the audit shall be furnished to the management for policy
directions, if any.
1.1.3 The overall status of the observations and compliances shall be submitted by
Internal Audit Section HQ, for discussion and necessary direction in the EC
meeting in the last week of the month.
1.2 Regular Internal Audit of the ROs/PIUs
1.2.1 Internal Auditor of RO/PIU shall ensure discussion of their audit work with the
Head of RO/PIU at the time of its conclusion. If for any reason, whatsoever,
the discussion could not be held the position shall be brought to the notice of
CGM Finance at HQ dealing with Internal Audit, who will facilitate discussions
of Auditor and RO/PIU.
1.2.2 Internal Audit Firm of RO/PIU shall submit the report to RO/PIU within 7 days
of conclusion of audit and send a copy of report to Internal Audit Section at
HQ.
1.2.3 After receipt of the audit report, critical observations having financial
implications shall be sent to the PIU for immediate action with a copy to
respective RO, CGM (T)-HQ & Member. Compliance report by the PIU shall
be submitted to the HQ within 15 days duly approved by the respective RO.
1.2.4 Observations related to the HQ to be forwarded to concerned CGM for
necessary compliance at their end. Compliance report is required to be
submitted within 15 days.
2. Monitoring of the Compliances of the Audit Observations
2.1 Internal Audit section at HQ shall closely monitor to obtain the compliances in time
and also issue reminders every 7th day in case of non-receipt of the compliances to
the PD/RO with copy to the CGM concerned.
759
2.2 Summary of the observations and status of the compliances and its acceptance shall
be submitted to the EC on monthly basis (in the last EC of each month) for favour of
information and further necessary directions to each CGM (T).
2.3 Critical Observations which require any policy decisions shall also be submitted
before the EC wherever required.
2.4 Review of compliance of Internal Audit observations shall be done at the level of CGM
(T) –HQ concerned every month. Similarly concerned Member shall review it in every
three months.
3. Acceptance of the Compliances on Audit observations
3.1 Concerned CGM at HQ shall be responsible for the monitoring of the pending
compliances against the Audit Observations.
3.2 The Competent Authority to accept the Compliances are as under:
3.2.1 Concerned RO- For those observations having no financial implications.
3.2.2 Concerned CGM, CGM (F) and a CGM to be nominated by the Member (F)
– For those observations having financial implication upto Rs. 5.00 Crs as per the
Auditor but as per the PD there is no actual financial loss.
3.2.3 Concerned CGM, CGM (F), concerned Member and Member (F) – For those
observations having financial implication upto Rs 10.00 Crs as per the Auditor but as
per the PD there is no actual financial loss.
3.2.4 Executive Committee – For all other matters.
3.3 For Para 3.2.1/3.2.2, PD has to submit the proposals to concerned RO/CGM at HQ
for accepting the reply or the actions proposed to comply with the Audit Observations.
After accepting the proposed reply/compliances, copy of the approval shall be
provided to the Internal Audit Section at HQ and to the Internal Auditors so that the
same may be further examined by the Auditor to either drop the observation or to
carry on the observation in the next internal audit report.
3.4 For Para 3.2.3 & 3.2.4, where approval from the concerned Member/EC is required,
CGM (T) at HQ has to submit a proposal to the concerned Authority for approval.
3.5 In case, the Internal Auditor or Internal Audit Section at HQ have any further
comments on the acceptance of the observations by the Competent Authority, the
matter will be submitted by the Internal Audit Division before the EC for final decision.
3.6 Internal Audit Section at HQ shall compile the status on each of the observations,
having financial implications.
4. Performance Evaluation of the Internal Auditors

4.1 The Internal Audit firm shall examine all the issue mentioned in terms of references
and checklist, if any, provided by NHAI management.
4.2 In case where there is no observation, categorical nil report will have to be given.
4.3 Internal Audit section at HQ shall maintain records of any lapses by the Internal
Auditors and shall take necessary action for reduction of work or debar them from any
work with NHAI.
4.4 Preference shall be given in awarding work to those Internal Auditors who gave any
observation which resulted into;
i) Issuance of Policy circular by NHAI
760
ii) Recovery of amount form the Concessionaire/Contractor/IE/AE/SC/DPR

Consultant/other on the basis of such observation. (Recovery of the penalty/liquidated
damages levied and recovered due to delay in achieving milestone/completion/punch
list items / non-maintenance of the highways etc. shall not be considered, since these
were generally levied after approval from the Competent Authority. However, excess
amount recovered on the basis of the observation due to wrong
calculation/interpretation by the PIU shall be considered).
4.5 If CAG observes something negative, which was not brought out by the Internal Auditor
during audit, then such Internal Auditor shall not be assigned any work in the
subsequent year. If it is a gross violation, the firm shall be debarred.
5. Internal Audit of the HQ:- Similar process shall be followed for the Internal Audit
observations of the HQ.
6. The above Standard Operating Procedure (SOP) is issued with the approval of the
Executive Committee of NHAI, for strict compliance by all NHAI with immediate effect.
7
NHAI/ Policy Guideline/Finance & Accounts/Internal Audit/2020 No.3.4.4 dated
24.07.2020.
761
Appendix A
List of existing Circulars issued by NHAI up to 31.03.2022
Streamlining the procedure for submission of

1. 13 19.9.2006 replies of the Inspection Report and Audit
Paras to Government Audit office
Setting up of Committee for expeditious

2. 05/2007 24.01.2007
disposal of audit observations.
Streamlining the process of flow of

3. 147 3.2.2004
information/records/files etc. to CAG.
Standard Operating Procedure (SOP) for

dealing with C&AG Audit – providing requisite
4. 3.4.2/2019 25.03.2019 Records and submission of Replies and Action
Taken Notes in a systematic, time bound
manner.
Monitoring of replies submitted by PIUs & ROs

5. A-151 05.04.2021 by F&A Unit in ROs - robust monitoring
mechanism at ROs.
6. 3.3.4.3/2019 24.10.2019 Guidelines for Physical Verification of Assets.
Standard Operating Procedure for compliance

7. 3.4.4 27.07.2020
of Internal Audit observations.
762
Section: 3.5. Operation of Bank Account
Sub Subject
section
I. Withdrawal of funds from CBS Account of NHAI
II. Operation of Imprest Cash amount at PIU
III. Operation of Bank Account
IV. Introduction of Online Payment System by

establishing F&A Unit
V. Standardization of procedure of financial scrutiny
of the payment proposals by Finance Division in
NHAI HQ
VI. Appendix A – List of existing Circulars issued by
NHAI upto 31.03.2022
763
I: Withdrawal of funds from CBS Account of NHAI54
NHAI, with the approval of the Competent Authority, has decided to revise the limit of bulk
payment i.e from Rs. 5 Crores (Rupees Five Crores) in a day to Rs. 10.00 Crore (Rupees
Ten Crores) per transaction per day without seeking any confirmation from HQ.
In case of any payment of excess of Rs. 10 crore per transaction per day, Head – FAUs shall
seek permission from HQ through a fund requisition in the format prescribed by Authority
from concerned GM (F&A) at least two working days in advance for the processing of
requisition and managing the funds in CBS accounts.
54
764
II: Operation of Imprest Cash amount at PIU55
NHAI, with the approval of the Competent Authority, has laid down the procedure for
operation of Imprest Cash Bank Accounts as under:
i) Each PIU shall open a bank account against approved designated personnel of NHAI
to operate the Imprest cash.
ii) F&A unit shall transfer the amount to designated Imprest Cash Bank Accounts of PIUs
under their jurisdiction with the approval of RO.
iii) Authorized person at PIU shall withdraw the cash to meet their expenses requirement.
iv) PIUs shall periodically submits the expenditure incurred details to F&A Unit for
Scrutiny & financial concurrence.
v) F&A unit shall replenish the PIU Imprest Cash amount by transferring such amount to
the respective PIU Imprest Cash Bank Account.
55
[Policy circular No. No. 5.3.7 dated 04.08.2020]
765
III: Operation of Bank of Account56
In order to reduce time and loss of interest to NHAI, Authority directed all FARO’s to maintain
current accounts with Canara Bank only. In some case, FARO’s Accounts are maintained
with ICICI Bank. NHAI HQ is also looking the opening the Account with other bank also.
Release of funds for Land Acquisition, Utility Shifting, maintenance of NHs through PWDs
etc. is at present being done from HQ. Now the payments will be made by concerned PIUs
through the CBS account based on the approval of competent authority. The Technical
Division will issue the sanction order to concerned PIUs for making such payment. The PIUs
will keep the proper account together with utilization certificate.
[Policy circular No. 3.5.4 dated 08.07.2009, No. 3.5.2 dated 06.11.2006, No. 3.5.1
56
dated 19.04.2004]
766
IV.Introduction of Online Payment System by establishing F&A Unit57
NHAI, with approval from the Competent Authority, has approved introduction of online
payment system by establishing F&A Unit at various location, initially to be housed at RO
Office premises. It will come in effect from 15.06.2020 at all the ROs.
The circular lists the Implementation Methodology for the Online Payment System.
The methodology mentioned for bills processing as per the extant delegation of powers and
online payment process has to be followed at HQ also.
NHAI vide circular NHAI/F&A/CBS2018-19/99 dated 04.12.2020 has decided to remove with
immediate effect the third level authentication for payments beyond Rs. 25 Crore under net-
banking mechanism being operated by FAUs. Henceforth, all approved payments will be
released FAUs with two-tier authentication by officers a FAUs only i.e. designated Maker &
Checker.
The maximum amount that can be drawn from a zero-balanced CBS account shall be Rs.
200 crore per day. If more payments are anticipated on any single day, it should be intimated
by the Head-FAU to the concerned Bank Branch, for seeking relaxation for that particular
day.
Circular NHAI/GM (F)/Manpower/2020 dated 10.07.2020 provides a comprehensive

Standard Operating Procedure (SOP) on functioning of F&A Unit at RO for the online
payment system introduced by the NHAI.
Circular NHAI/GM (F)/Manpower/2020/A dated 05.08.2020 was issued in continuation of

circular NHAI/GM (F)/Manpower/2020 dated 10.07.2020. It lists the procedure that shall be
followed to make the functioning of F&A Units more effective by removing teething troubles,
as per the suggestions received from the field Officers
57
Policy Circular No. NHAI/GM(F)/Manpower/2020 dated 01.06.2020, NHAI/F&A/CBS/2018-19/99
dated 04.12.2020, NHAI/GM(F)/Manpower/2020 dated 10.07.2020, NHAI/GM(F)/Manpower/2020/A
dated 05.08.2020
767
V. Standardization of procedure of financial scrutiny of the payment

proposals by Finance Division in NHAI HQ80
All payments have to be made only after Financial scrutiny/concurrence of such proposals by
the Finance Division. The designated Officers in Finance Division for financial
scrutiny/concurrence of proposals with monetary ceilings are provided in the circular
NHAI/F&A/work allocation/2010-11/III-7 dated 10.11.2010.
However, in case of any doubts regarding the processes, approval of CGM (FA)/Member (F)
may continue to be solicited. Higher officers will have the inherent power to have financial
scrutiny of any financial proposal earmarked to lower functionaries as above.
Before releasing the payment, the DDO will ensure that the payments are certified/approved
by the competent authority as per Delegation of Power Rules etc, and have the financial
concurrence.
768
Appendix A
S.
Circular No. Date Subject
No
1. NHAI/F&A/CBS/ 04.12.2020 Online payment system

2018-19/99
2. 3.5.8 24.11.2020 Withdrawal of funds from CBS Accounts of

NHAI – Release of Bulk payments – Revision in
limit of Bulk Payments
3. NHAI/GM(F)/Ma 05.08.2020 Partial modification in the procedures to be

npower/2020/A followed at F&A Units
4. 3.5.7 04.08.2020 Operation of Imprest Cash amount at PIU
5. NHAI/GM(F)/Ma 10.07.2020 Standard Operating Procedure on Functioning

npower/2020 of F&A unit at RO
6. NHAI/GM(F)/Ma 01.06.2020 Introduction of online payment system by

npower/2020 establishing F&A Unit
7. 3.5.6 12.03.2020 Opening of Current Account for Project

Operations in view of Moratorium imposed on
Yes Bank
8. NHAI/F&A/work 10.11.2010 Standardization of procedure of financial

allocation/2010- scrutiny of the payment proposals by Finance
11/III-7 Division in NHAI HQ
9. 3.5.5 13.07.2009 Timely submission of Records and Replies of

Audit Observations to Govt. Audit Party
10. 3.5.4 08.07.2009 Implementation of Core Banking Solution (CBS)

in NHAI with Syndicate Bank and Canara Bank
11. 3.5.3 12.05.2008 Guidelines issued by Ministry of Finance

(Department of Expenditure) regarding
Preference to public sector banks for handling
Government transactions
12. 3.5.2 06.11.2006 Operation of Bank Accounts by PIUs/CMUs
13. 3.5.1 19.04.2004 Maintaining of accounts with Canara Bank or

Syndicate Bank by the PIUs
769

Section: 3.6. Guidelines for Appraisal of Project
Sub Subject
section
I. Guidelines for formulation, Appraisal and

Approval of Government Plan funded
Projects/Schemes related to Ministry of Road
Transport and Highways
II. Guidelines for Submission of Proposals for

appraisal to Standing Cost Committee (SCC) –
reg
III. Appraisal of the Projects under Bharatmala –

Modifications in the constitution of Project
Appraisal and Technical Scrutiny Committee
(PATSC) & and Internal Appraisal Committee
(IAC) and discontinuation of Standing Cost
Committee (SCC)
IV. Appraisal of the Projects under Bharatmala –

Modifications in the constitution of (i) Project
Appraisal and Technical Scrutiny Committee
(PATSC) & and (ii) Internal Appraisal Committee
(IAC)
V. Revised format for Appraisal of new Public

Funded Schemes - reg
770
I: Guidelines for formulation, Appraisal and Approval of Government Plan

funded Projects/Schemes related to Ministry of Road Transport and
Highways58
To address the need for simplification and clarity of Guidelines for formulation, Appraisal and
Approval of Government Plan funded Projects/Schemes, MoRTH had delegated powers for
Original Cost Estimates and for Revised Cost Estimates (RCEs) and Pre-Investment Activity
issued by OM No. 1(3)/PF.II/2001 dated 1st April 2010.
58
[Policy Circular No. 24/35/PF.II/2012 dated 12.04.2013]
771
II: Guidelines for Submission of Proposals for appraisal to Standing Cost

Committee (SCC) – reg.59
(A) Guidelines for scrutiny of individual projects which may be followed by all
implementing agencies are as summarised below:-
(a) Investment proposals should be based on the Detailed Project Reports and cost
estimates should be based on the price level not beyond six months from the date
of consideration of the proposal by the Concerned Authority
(b) Proposals should give separately details of the costs of 4/6 laning, ROBs and
Major Bridges, alongwith the comparative costs of the latest approved/awarded
projects on a like to like basis. In case of substantive variations/deviations in scope
of work or rates, specific justification should be given in the DPR and approval by
the Concerned Authority requires to be solicited.
(c) Each DPR should clearly indicate the details of expected revenue from toll and
other sources.
In order to examine all the NH works to be implemented under EPC/BOT (with

negative or no toll grant) where the per km cost of the project is more than the 20%
of the normative cost. NHAI has constituted SCC vide OM no, 11025/3/PPP/2017
dated 04.12.2017
(B) Submission of Proposals to the Standing Cost Committee
1. In order to have a realistic cost estimate, it is desirable to include in the presentation

paper the following details:
a) Cost analysis report for the highest cost components (at least 5) of the project
covering 70% of the civil construction cost (Earthwork, Concrete, etc.)
b) Major material consumption report with quantity, rate & amount materials viz.
Bitumen, Cement, etc.
c) Traffic / constraint analysis before and after the through-put facilities for removal
of traffic bottlenecks i.e. all facilities provided which is increasing the cost of the
project by 5% on normative cost.
d) Cash flow statement indicating the expenditure on the Project and expected
revenue from Toll and other sources
e) While calculating the cost, GST rates must be adopted instead of the pre-GST
taxes, which might have some cost implications.
59
[Policy circular No. No. 3.6.2/2018 dated 02.02.2018]
772
2. Format as per Annexure A attached in circular may be adopted to report Incremental

cost beyond the normative cost.
3. The following points may be notes for calculation of cost of Project for Uniformity:
a. O&M expenditure during defect liability period: - 5% for flexible and 2.5% for
Rigid Pavement
b. Provision for cost of Green Highways, Safety & Quality Control should not be
considered in the Project cost.
c. Escalation during construction @10% for the entire construction period.
773
III: Appraisal of the Projects under Bharatmala – Modifications in the

constitution of Project Appraisal and Technical Scrutiny Committee (PATSC) &
and Internal Appraisal Committee (IAC) and discontinuation of Standing Cost
Committee (SCC)60
In supersessions of previous circulars/OMs, this circular provides Project Appraisal and

Technical Scrutiny Committee (PATSC) and Internal Appraisal Committee (IAC) as
mentioned in the circular.
The Standing Cost Committee (SCC) is discontinued and the duties of SCC be performed by
the respective PATSCs.
60
[Policy circular No. No. 3.6.3/2018 dated 20.07.2018
774
IV: Appraisal of the Projects under Bharatmala – Modifications in the

constitution of (i) Project Appraisal and Technical Scrutiny Committee (PATSC)
& and (ii) Internal Appraisal Committee (IAC)61
In supersessions of previous circulars/OMs, this circular provides Project Appraisal and

Technical Scrutiny Committee (PATSC) and Internal Appraisal Committee (IAC) as
mentioned in the circulars.
The duties of SCC be performed by respective PATSCs
61
[Policy circular No. No. 3.6.4/2018 dated 23.01.2020, 3.6.5/2020 dated 27.07.2020, 3.6.6/2020
dated 07.10.2020]
775
V: Revised format for Appraisal of new Public Funded Schemes - reg62
Department of Expenditure, Ministry of Finance vide OM F.No.42(02)/PF-II/2014 dated

09.08.2021 has provided a revised format for Appraisal and Approval of new Public Funded
Schemes. Copy of the revised format is attached along with the circular.
62
[Policy circular No. No. 3.6.7/2021 dated 31.08.2021]
776
Appendix A
Guidelines for formulation,Appraisal and

Approval of Government plan funded
1. 24/35/PF-II/2012 12.04.2013
projecs/ Schemes related to Ministry of
Road transport and Highways.
Guidelines for Submission of Proposal for
2. 3.6.2/2018 02.02.2018
appraisal to Standing Committee (SCC)-reg
Appraisal of Projects under Bharatmala and
NH(O) Modification in the constitution of
Project Appraisal and Technical Scrutiny
3. 3.6.3/2018 20.07.2018
Committee (PATSC) & Internal Appraisal
Committee (IAC) and discontinuation of
Standing Cost Committee (SCC).
Appraisal of the Projects under Bharatmala-
Modification in the constitution of Project
4. 3.6.4/2020 23.01.2020 appraisal and Technical Scrutiny
Committee (PATSC) & Internal Appraisal
Committee (IAC)
Appraisal of the Projects under Bharatmala
- Modifications in the constitution of (i)
5. 3.6.5/2020 27.07.2020 Project Appraisal and Technical Scrutiny
Committee (PATSC); and (ii) Internal
Appraisal Committee (IAC).
Appraisal of the Projects under Bharatmala
- Modifications in the constitution of (i)
6. 3.6.6/2020 07.10.2020 Project Appraisal and Technical Scrutiny
Committee (PATSC); and (ii) Internal
Appraisal Committee (IAC).
Revised format for Appraisal and Approval
7. 3.6.7/2021 31.08.2021
of new Public Funded Schemes -reg.
777

Section: 3.7. Customs/Excise duty exemption in externally aided projects
Sub Subject
section
I. Essentiality Certificate for the goods required for the

externally aided projects – regarding
II. Issue of certificates to the Contractors for availment of

Customs/Central Excise Duty Exemption
III. Price escalation of Bitumen in respect of Externally Aided

Projects (EAP) where certificate to avail either ‘excise
duty exemption’ or ‘deemed export benefit’ is issued by
NHAI in favour of the contractors
IV. Loan Register
V. Maintenance of records for consumable items for availing

duty drawback claims under “Deemed Export Benefit
VI. Applicability of Excise and Duty Exemption
VII. Delegation of Authority to Member (Finance) for signing

Central Excise and Customs Duty Exemption Certificates
in respect of ADB/WB assisted projects under Excise
notification no. 108/95-CE dated 28.08.1995 and Custom
notification No. 84/97 dated 11.11.1997
VIII. Exemption from Excise duty under the Notification No.

108/95 CE dated 28.08.1995-Previous policy circular No.
05/2002 dated 31.05.2002 and 10/2002 dated
19.06.2002
IX. Authorization to issue Project Authority Certificate (PAC)

to signing of Deemed Export Certificate for “Excise Duty
Exemption Certificate” to be issued by NHAI in favour of
the Contractor
778
3.7.: Customs/Excise duty exemption in externally aided projects
I: Essentiality Certificate for the goods required for the externally aided
projects – regarding63
The Ministry of Finance vide Notifications No. 84/97-Cum dated 11.11.1997 (for Custom) and
108/95 dated 28.08.1995 (for Excise) have exempted the goods from Custom & Excise duties
respectively for the year 2002-2003.
While examination of the certificates, the shortcomings or omissions are brought to notice of
National Highways Authority of India (NHAI) for necessary corrections and clarifications (if
any) by the Ministry. In certain cases such processing has resulted in delay of issue of
certificates. As the projects being executed by the NHAI are very important and time bound,
it is decided that detailed examination of admissibility of goods and basic information required
in the certificate be examined in the Authority itself on behalf of the Ministry and such
certificates, which are complete in all respects be submitted to the Ministry for mere counter
– signature of the competent authority, for expeditious action in the matter.
Since the certificates are entirely being processed in the Authority itself, necessary
documentation of the same may be maintained for future references/correspondence thereof
and Parliament Questions/references.
63
779
II: Issue of certificates to the Contractors for availment of

Customs/Central Excise Duty Exemption64
In reference to policy circulars of even number dated 31.05.2002, 19.06.2002 and circular
number NHAI/F&A/Customs exemption/2002/166 dated 16.04.2002, the matter related to
issue of custom duty exemption certificates in respect of NHAI, projects under BOT/Annuity
schemes (including SPV projects) has been referred to Ministry for clarification and is advised
that no Custom Duty Exemption Certificates till clarification is received from the Ministry.
2. It is informed that the term “World Bank”, which is used in certificates issued for World
Bank aided projects may not be considered correct as it covers two Institutions viz. IRBD
and IDA. For duty exemption under excise provisions, IDA funded projects may not
qualify. Hence, for all such certificates issued in future, for World Bank aided/funded
projects, the name of lending institution should be mentioned as “IRBD (WORLD BANK)”
instead of “World Bank”.
3. For sake of clarity of the bidders, it has been decided with the approval of Competent
Authority that following sub-clause under 14.3 of standard bidding documents may be
incorporated in all future contract documents so that bidders should quote the prices
excluding Custom/Excise Duty, as applicable exemption available to externally aided
projects.
“14.3.1 Bidders may ascertain the Excise and Custom Duty exemption
available for this project as per the relevant policy of Government of India
prevailing 28 days before the submission of bid”
All Technical Divisions are requested to take appropriate action on the above line, for
compliance in future contracts.
64
Policy Circular No. 19/2002 dated 10.09.2002, 89/2004 dated 30.09.2004
780
III. Price escalation of Bitumen in respect of Externally Aided Projects

(EAP) where certificate to avail either ‘excise duty exemption’ or ‘deemed
export benefit’ is issued by NHAI in favour of the contractors 65
In respect of the Externally Aided Projects (EAPs) [like World Bank, Asian Development Bank
etc], exemption from payment of excise duty is admissible under notification no, 108/95-CR
dated 28.08.1995. Department of Economic Affairs, M/o Finance, vide Public notice number
1(FT)/DEA/2000 dated 09.08.2000 has notified some agencies for the purpose of grant of
‘deemed export benefits’. Accordingly, the contractors avail the benefit either under
notification no. 108/95-CE and thereby do not pay excise duty at time of procurement or avail
duty drawback under the ‘deemed export’ benefits.
In view of above, the matter regarding payment of price escalation on bitumen has been
examined and decided that:
(i) In either of the above two cases, the component of excise duty shall not be
included for the purpose of payment of price escalation in respect of the materials.
(i.e., it shall not be included in the base rate as prescribed in the contract as well
as the current price).
(ii) Where no certificate is issued to the contractor to avail either of the benefits, the
escalation payment may include the excise duty component.
The payment of escalation, subject to above mentioned points, shall be governed in

accordance with the provision contained in the contract. The contract prescribes difference
between the base rate (as mentioned in contract) and current price. Unless otherwise
prescribed in the contract, the current price shall be the ex-refinery price, which would include
only the basic price and excise duty (also education cess @2% of the excise duty) {as
ascertained from Indian Oil Company ltd., Mathura Refinery}. The component of the base
rate (as mentioned in the contract) i.e., whether it includes excise duty, sales tax etc. shall be
ascertained and matched with the base rate mentioned in the contract before making any
payment on account of price escalation.
Since a contract prescribes for payment of escalation on the basis of current price prevailing
at nearest refinery; all the procurement should necessarily be made from the nearest refinery.
If the procurement is made from any source, the contractor should first obtain the approval
of the Engineer/Employer for procurement of bitumen from any other source. In any case, the
payment of escalation shall be the minimum of:
(a) Escalation based on the rates of nearest refinery (i.e., the difference between the
base rate and the current price prevailing at the nearest refinery); or
(b) Escalation based on the source of procurement (i.e., the difference between the base
rate and the current price prevailing at the source refinery).
(c) It shall be the responsibility of the contractor to provide the information as per (b)
above to the Engineer/Employer.
65
Policy Circular No. 98/2005 dated 14.02.2005
781
IV. : Loan Register66

For execution of various EAPs under NHDP, NHAI has been receiving loans either from ADB
(direct loan) or from Government of India. In addition NHAI has also borrowed fund in the
form of Bonds from the public in general. All these Loans/borrowing have to be repaid as per
the terms and conditions of the sanction orders and terms of borrowings.
To maintain proper records of these loans/borrowings and timely repayment without any
default, following procedure is to be followed:
1. A Loan Register is to be maintained for each type of loan which should reflect
generally following details:
(a) Amount of Loan sanctions and validity of loans with details of projects
(b) Date of withdrawal of Loan
(c) Terms of Repayment, rate of interest and commitment charges, if any
(d) Schedule date of repayment and interest
(e) Actual Date of repayment and interest
(f) Amount of instalment of repayment and interest
2. The above register shall be prepared and maintained by the officer in charge in
Finance Division and the contents will be verified by DDO and will be countersigned
by GM (Finance).
3. To ensure timely repayment of loan and interest and availability of adequate fund, a
statement indicating the Principal amount of instalment and interest due thereon shall
be prepared by the officer in charge and in his absence by DDO at least two weeks
in advance from the due date of payment and the same shall be submitted to
GM(Finance) for timely monitoring and for taking necessary action.
66
782
V: Maintenance of records for consumable items for availing duty

drawback claims under “Deemed Export Benefit”67
As per public notice No. 1(FT)/DEA/2000 dated 09.08.2000, the Department of Economic
Affairs, Ministry of Finance has notified contracts executed with the assistance of some
external agencies such as World Bank, Asian Development Bank etc. as eligible for availing
“Deemed Export Benefits”. Accordingly, such Contractors can avail duty drawback under
“Deemed Export Benefits” after obtaining Project Authority Certificate (PAC) issued by NHAI
It has been observed that Contractors request for issuance of PAC to avail “Deemed Export
Benefits” after Completion of Project. However, no records of actual consumption of POL
during construction is maintained either by Contractor or Consultant as a result of which the
actual consumption could not be properly assessed.
To avoid such incidents in future, it is decided that in case Contractor of projects funded by
World Banks, ADB etc. as notified by DEA, intends to avail “Deemed Export Benefits”. Project
Director should be informed accordingly, and actual consumption records be maintained.
Supervision Consultant would countersign the record and periodically submit it to the Project
Director, NHAI for verification. The Project Director, would ensure that such records are duly
supported by documents while forwarding PIU’s recommendation to NHAI HQ for issuance
of PAC, following guidelines of Exim Policy (1992-2002 & 2007-2009) and Foreign Trade
Policy (2004-2009), as amended upto date.
It may also be noted that as per existing provisions of Foreign Trade Policy 2004-2009, such
claims would be filed within a period of 6 months from the end of monthly/quarterly/half-yearly
period reckoned from date of payment as per the option of the Contractor.
The Technical Divisions are requested to ensure installation of an adequate mechanism for
verification of records by PIU/HQ officials.
67
783
VI: Applicability of Excise and Duty Exemption68

For the sake of clarity of the bidders, Authority clarified that addition of clause regarding
applicability of Excise and Custom Duty.
As per the suggest clause, “Bidder may ascertain the Excise and Custom Duty exemption
available for this project as per the relevant policy of Government of India prevailing 28 days
before submission of bid.”
68
Policy Circular no. 3.8.7 (A/F-18/2007) dated 08.10.2007
784
VII: Delegation of Authority to Member (Finance) for signing Central

Excise and Customs Duty Exemption Certificates in respect of ADB/WB
assisted projects under Excise notification no. 108/95 -CE dated
28.08.1995 and Custom notification No. 84/97 dated 11.11.199769
With reference to NHAI policy circular No. 17 dated 03.10.2007 whereby Member (F) had
been delegated the power to sign Custom Duty Exemption Certificate.
NHAI Board in its meetings held on 04.07.2007 and 15.10.2007 had approved delegation of
power to Member (F). Pursuant to this, the matter had been taken up with Department of
Revenue, Ministry of Finance for their concurrence and acceptance of the proposed
delegation.
Ministry of Finance vide their OM no. 463/5/2007-Cust. V dated 17.09.2007 and O.M. no.
110/49/2007-CX.3 dated 17.12.2007 have informed the decision of CBEC that henceforth in
respect of notifications 108/95-Excise dated 28.08.95 and 84/97-Customs dated 11.11.97,
for NHAI, the exemption in above mentioned notifications shall be extended by the Customs
& Excise field formations on the basis of certificates signed by Member (F), NHAI.
The technical divisions may therefore submit such customs & excise duty exemption
certificates to Member (F) for consideration after obtaining approval of the concerned
Technical Member.
Copies of the said notifications is also enclosed for reference in circular.
69
Policy Circular no. 20/2007 dated 31.12.2007
785
VIII: Exemption from Excise duty under the Notification No. 108/95 CE
dated 28.08.1995-Previous policy circular No. 05/2002 dated 31.05.2002
and 10/2002 dated 19.06.2002 70
Reference is drawn to clarification issued by Central Board of Excise & Customs (CBEC) vide
F. No. 101/7/2008-CX-3 dated 12.06.2008 (copy enclosed in circular) on issue of availability
of exemption from Excise duty benefit under the notification No. 108/95 CE dated 28.08.1995
only when the goods brought into the project are not withdrawn by the supplier or the
Contractor.
CBEC has clarified that exemption is meant only for goods which become part of the project
on permanent basis and not for goods which are used by Contractors for execution of project
and after completion of projects, the goods remain with the Contractors for further deployment
in other projects.
70
786
IX: Authorization to issue Project Authority Certificate (PAC) to signing

of Deemed Export Certificate for “Excise Duty Exemption Certificate” to
be issued by NHAI in favour of the Contractor71
In case of EAPs, contractors avail the excise duty exemption under notification No. 108/95-
CE or avail duty drawback under the deemed export benefits.
Policy matter Administration/Finance No. 13/2007 dated 12.07.2007 read with Office Order
dated 09.09.2009 on duties/responsibilities of Regional Officer (RO) was leading to conflict
whether Regional Officer is recommending authority for issuing of certificate or is final
authority to issue certificate as the RO are the CGM handling the project.
The matter was brought before the Competent Authority and it has now been decided that
Duty Export Benefit Certificates are to be issued by the Concerned Regional Officer (CGM).
71
787
Chapter: 4. Media Relations and Instructions on Signboards/Km

Stones on NHs
Section: 4.1. Media Relations, Advertising and Publicity
Sub Subject
section
I. Guidelines for release of Land Acquisition

Notifications
II. Guidelines for release of Fee Notifications/ Public

Notices
III. Guidelines for release of Financial Results
IV. Guidelines for release of Display advertisements
V. Guidelines for release of Recruitment

Advertisements
VI. Guidelines for release of Notice Inviting Tender

(NIT)
VII. Guidelines for release of Goodwill

advertisements
VIII Guidelines for Sponsorships
IX Guidelines for Participation in Exhibitions
X Guidelines for use of NHAI Tag Line
XI Guidelines forEmpanelment of Advertising

Agencies at ROs
XII Inauguration/ bhoomi Pujan/ Foundation Stone

Laying/ any other Ceremony in respect of
National Highway Works
XIII Delegation of powers for Media Relations Works.

788
I - Guidelines for release of Land Acquisition Notifications
[Policy Circular No. No. AF-16/2002 (4.1) dt 26.08.2002, 4.24/2019 dt 01.08.2019,

4.25/2019 dt 01.10.2019 and 4.26/2021 dt 23.11.2021]
1. For publishing of LA Notifications in the newspapers, following guidelines shall be

followed:
(a) Land Acquisition Notifications shall be released by the concerned Regional

Office through an advertising agency or to the newspapers directly on BOC (DAVP)
rates, as per the laid down guidelines. In case of releasing the notification through an
advertising agency, it shall be released through the agencies empanelled with
respective RO only, as per the roster.
(b) In order to maintain uniformity, the notifications shall be released as per the
specifications placed at Annexure ‘A’. ROs shall ensure that the specifications are
followed for all LA notifications.
(c) Font of the text shall be Arial/Arial Narrow in 7 point in English and Narad 8
point in Hindi for running text.
(d) While notification under Section 3A gives only brief description of land,
notification under 3D provides details of landowners. The column bearing details of
land owners in 3D occupies more space and results in higher column height, while
other columns have lesser text resulting in wastage of space. Hence, the column
having more text, in general, should have more width as illustrated at Annexure
‘B’. Text of 3A notification may preferably be published by dividing the page of
newspaper in three columns, while 3D notification may be published in two
columns. Due diligence should be done while adjusting text in rows and columns so
that the notification occupies minimum possible space to keep expenditure at
minimum possible level to observe economy.
(e) Notification shall be published in two newspapers, circulating strictly in local

edition of the area only, of which one must be in vernacular language. Language of
the notifications should be same as that of the newspaper. Notification under section
3D or subsequent notices for the same piece of land shall be published in the same
set of newspapers in which notification under section 3A was published.
(f) Newspapers should be selected on the basis of their circulation and reach. In
order to provide equitable opportunity to newspapers, seven top circulating daily
newspapers in respective languages may be considered in rotation for different sets
of notifications as per the circulation figures for each edition of newspapers available
at BOC (DAVP)
789
websitehttp://www.davp.nic.in/Upload/(S(i4uh4m3teeegrp55zb3hzbzu))/davp_empa
nel_status.aspx. ROs shall ensure selection of seven top circulating daily
newspapers on rotation.
(g) LA Notifications shall be released to only those newspapers who agree to

publish all kinds of NHAI advertisements in their publications on BOC (DAVP) rates
in all or selected edition(s) unconditionally. ROs shall, invariably, obtain an
undertaking from the newspapers as per Annexure ‘C’ in this regard before release of
LA notification and send the same to NHAI HQ through e-mail
at chairman@nhai.org and copy to library@nhai.org&nhaitender@gmail.com
790
II - Guidelines for release of Fee Notifications/ Public Notices
[Policy Circular No. No. AF-16/2002 (4.1) dt 26.08.2002 and 4.25/2019 dt 01.10.2019]
1.0 For publishing of Fee notifications in newspapers while starting a new fee plaza/
notifying revised user fee rates, following guidelines shall be followed :
(a) Guidelines on Standard public notices for publication of user fee rates in the
newspapers by Concessionaire/ NHAI have been issued vide Policy Circular No.
179/2015 dated 21.08.2015.
(b) Font of the text shall be Arial/Arial Narrow in 7 point in English and Narad 8
point in Hindi in running text. Fee notifications shall be released as per the
specifications at Annexure ‘D’ on DAVP rates only in English/Hindi/Vernacular
newspapers. The advertisement shall be published in the local edition of the fee plaza
location only.
(c) The notification shall be published in the same language as that of the
language of the newspaper.
(d) Due diligence should be done while placing text in rows and columns so that
the notification occupies minimum possible space to keep expenditure at minimum
possible level to observe economy.
------------
791
III - Guidelines for release of Financial Results.

[Policy Circular No. 4.25/2019 dt 01.10.2019]
1.0 Financial results shall be published in quarter page (black & white) in one
English financial daily having all India or substantially all India circulation (as per SEBI
guidelines) and one Hindi newspaper on BOC (DAVP) rates, as per the content
provided by Finance Division.
------------
792
IV - Guidelines for release of Display advertisements
[Policy Circular No. AF-39/2008 (4.11) dt 28.07.2008, AF-121/2013 (4.14) dt 03.09.2013,

4.20/2017 dt 23.05.2017, 4.21/2017 dt 11.10.2017, 4.22/2017 dt 14.11.2017, 4.25/2019 dt
01.10.2019 and 4.26/2021 dt 23.11.2021]
1.0 For advertisements relating to Inauguration/ Foundation Stone Laying or

BhoomiPujan Ceremony of NHAI projects and other display advertisements released from
NHAI HQ/ROs/PIUs, the following guidelines shall be followed:
(a) Display advertisements relating to Inauguration/ Foundation Stone Laying or

BhoomiPujan Ceremony of NHAI projects shall be released from the respective PIU
with the approval of the respective RO, as per the delegated powers.
(b) The normal size of the advertisement shall be Quarter Page (400 sq cm.) in
colour unless there are specific directions from the Competent Authority/ Ministry of
RT&H for bigger size or quantum of text approved warrants more space.
(c) The respective RO/PIU shall prepare the draft of the advertisement alongwith
the draft of invitation card, plaque and backdrop and send to the technical division in
HQ for onward submission to the Ministry of RT&H/ competent authority for final
approval.
(d) The technical division in the HQ shall seek the necessary approvals including
the newspapers in which the advertisement is to be published.
(e) The advertisement shall be released through BOC (DAVP). The Designing of
the advertisement may be got done through advertising agency(ies) empanelled with
respective RO of NHAI or BOC. Designing/ translation charges shall be paid as per
BOC (DAVP) rates.
(f) RO/PIU/technical division shall directly liaison with the advertising agency
designing/releasing the advertisement. However, Media Relations Division, NHAI HQ
may facilitate in the designing of the advertisement.
(g) If any newspaper is not agreeing for DAVP rates with NHAI logo, the
advertisement may be released with Ministry’s name and Logo. In any case,
advertisement shall be released on BOC (DAVP) rates only.
(h) The advertisement shall be published on the day of the ceremony, unless there
are specific instructions to publish the same on any other day.
793
(i) The expenditure shall be approved by the respective RO, as per the
delegation of power in this regard and the payment shall be released by the PIU.
(j) The advertisements shall be released in accordance with Ministry of RT&H

guidelines issued vide letter No. NH-15017/17(1)/2016-P&M and NH-
15017/17(2)/2016-P&M dated 16 June 2016, as amended from time to time.
(Enclosed as Annexure ‘E’ & ‘F’ respectively.
(k) While releasing the advertisements, ROs shall ensure strict compliance
of guidelines issued by the Ministry of I&B vide their letter dated 20.05.2015
(Annexure ‘G‘) in compliance of the orders of Hon’ble Supreme Court dated
18.03.2016 in respect of publishing of Government advertisements in media.
(l) It has been observed that, being closely associated with NHAI projects,
advertisements relating to inauguration/ foundation stone laying ceremonies are also
released by the concerned Concessionaires/ Contractors in newspapers/media where
logo of NHAI/MoRTH are used. In such cases, where NHAI/MoRTH logo is used, the
concerned Concessionaires/ Contractors/ private agency should seek approval of the
Regional Officer of NHAI. While granting such permissions, the concerned Regional
Officer of NHAI shall ensure that the advertisement is strictly as per the guidelines
issued by the Ministry of Information & Broadcasting vide their letter dated 20.05.2015
(Ref. Annexure ‘G‘) in compliance of the orders of the Hon’ble Supreme Court dated
13.05.2015.
(m) Whenever there is a display advertisement to be released by NHAI HQ,

creatives from all the advertising agencies empanelled with NHAI HQ shall be invited
and the advertisement shall be released through BOC (DAVP). Designing/ translation
charges shall be paid as per BOC (DAVP) rates.
------------
794
V - Guidelines for release of Recruitment Advertisements
1.0 For release of recruitment advertisements following guidelines shall be followed:
(a) All Recruitment Advertisements shall be published in ‘window format’ only, as

per the specifications enclosed as Annexure ‘H’.
(b) Font of the text shall be Arial/Arial Narrow in 7 point in English and
Narad 8 point in Hindi for running text.
(c) The normal size of advertisement shall be 8x6 cm. For Employment News,
the size of advertisement shall be 10X10 cm. or as per the guidelines revised by the
newspaper from time to time. For combined Recruitment Advertisement of more than
one post, the size may be increased by 2 cm. in height for each added post. Wherever
the quantum of text warrants more space as specified above, it shall be published
with the approval of GM in-charge of Media Relations Division. For full details,
reference to NHAI website shall be made. Corrigendum/ Addendum or Cancellation
relating to recruitment of posts shall be published on NHAI website only for which the
recruitment notice shall have a mention at the bottom in this regard.
(d) The recruitment advertisement shall be published on BOC (DAVP) rates in the
same language as that of the language of the newspaper.
(e) Media package should be a combination of newspapers of English, Hindi and

all editions of employment news. The newspapers should be selected on the basis of
their circulation and reach. However, expenditure should be kept at minimum
possible level.
(f) Employment News generally takes 3 weeks’ time to publish a recruitment

advertisement. In emergent cases, publishing of advertisement in Employment News
may be skipped with the concurrence of CGM (HR/A) dealing with recruitment.
------------
795
VI - Guidelines for release of Notice Inviting Tender (NIT)
[Policy Circular No. AF-16/2002 (4.1) dt 26.08.2002, AF-39/2008 (4.11) dt 28.07.2008, AF-
121/2013 (4.14) dt 03.09.2013, 4.23 dt 09.08.2018 and 4.25/2019 dt 01.10.2019]
1.0 No NHAI’s tender notice shall be published in the newspapers. The tender notices
shall be published mandatorily on NHAI website, Central Public Procurement Portal (CPPP)
for autonomous bodies i.e. https://e-tenders.gov.in and GeM. In case, it is felt that an NIT is
necessary to be published, approval of the Chairman NHAI shall be obtained prior to its
publication in newspapers clearly stating justification for publication and the following
guidelines shall be followed :
(a) All tender notices shall be published in ‘window format’ only as per the
specifications enclosed as Annexure ‘I’ .
(b) The content of the tender notice shall include:
i. Masthead with NHAI name, Logo and name of the parent Ministry.
ii. Title (Notice Inviting Tender, Request for Qualification, etc.).
iii. Sub-title (International or National Competitive Bidding through e-tendering only, as

the case may be)
iv. Name of the Project.
v. Last date and time for submission of bids/proposals.

vi. For full details reference to NHAI website.
(c) Font of the text shall be Arial/Arial Narrow in 7 point in English and Narad 8
point in Hindi for running text.
(d) The size of the NIT for one single project shall not exceed 8x8 cm (in two
columns). For combined NIT of more than one project, the size may be
increased by 2 cm. in height for each added project. Wherever the quantum
of text warrants more space as specified above, it shall be published with the
approval of GM in-charge of Media Relations at HQ/ GM posted at RO Office.
(e) Addendum/corrigendum or Cancellation, if any, shall be published on all the

online platforms on which tender was hosted. Addendum/corrigendum or
Cancellation shall not be published in the newspapers.
796
(f) The tender notice shall be published on BOC (DAVP) rates only.
(g) Media package should be a combination of newspapers of English, Hindi and

one vernacular language in the local edition of the region of the project. The
newspapers should be selected on the basis of their circulation and reach. However,
expenditure should be kept at minimum possible level. The tender notice shall be
published in the same language as that of the language of the newspaper.
------------
797
VII - Guidelines for release of Goodwill advertisements

1.0 NHAI shall not accede to requests for release of goodwill advertisements
in print/digital media, in general.In case, it is decided to release aGoodwill advertisement, it
shall be released on BOC (DAVP) rates only. In exceptional cases, Chairman shall have the
power to approve such requests for publications not empaneled with BOC (DAVP).
------------
798
VIII - Guidelines for Sponsorships
1.0 Requests for sponsorship shall only be considered for the events related to
highway/infrastructure development or any other topic related to NHAI’s mandate, on case to
case basis. Non-financial logo support of NHAI for an event may be considered on case to
case basis on merit of the event. Non-financial logo support may be extended only if NHAI
is associated with the event viz. Chairman/Member(s) are associated as Guest/speaker etc.
------------
799
IX - Guidelines for Participation in Exhibitions

1.0 Requests for participation in various national/ international exhibitions by hiring space
and organising exhibition stall/ pavilion showcasing NHAI’s projects shall be considered on
merit on case to case basis. Some of the parameters for participation shall be - relevance of
the theme of the exhibition to NHAI, credentials of the organizers, expected footfall, type of
visitors, participation by other Govt. deptts/PSUs etc. Exhibitions by private organizers shall
generally be avoided.
------------
800
X - Guidelines for use of NHAI Tag Line.

[Policy Circular No. AF-169/2016 (4.17) dt 16.02.2016 and 4.25/2019 dt 01.10.2019]
1.0 All tender notices/advertisements/audio/ video spots/ presentations and other

publicity material shall bear the tag line as under :
Building a Nation, Not just Roads.
सड़कें ी न ी ं, रािर का दनमााण भी
1.1 In the above text, font size of ‘Building a Nation’ shall be 2 point bigger than that of
the text size of ‘Not just Roads’, in English and Hindi, as indicated above.
------------
801
XI - Guidelines forEmpanelment of Advertising Agencies at ROs.

1.0 In order to streamline the system of release of advertisements at Regional Offices

and PIUs under their jurisdiction, all ROs shall form a panel of advertising agencies as per
the following guidelines:
(a) All ROs, except RO Delhi, shall have a state level panel of advertising
agencies, who have their full fledged office in that State. RO Delhi shall use the
services of the agencies empanelled with NHAI HQ as per the roster maintained at
RO Delhi.
(b) The agencies shall be empanelled by inviting proposals from the agencies
through e-tendering mode. Empanelment shall be for a period of two years, further
extendable for one year based on the performance of the agencies.
(c) Offer document shall clearly define scope of work, qualifying criteria,
evaluation criteria and other terms & conditions for empanelment. Offer document of
NHAI may be referred for this purpose. However, ROs may make necessary changes
in eligibility criteria, evaluation criteria in view of meeting the local requirements as
well as availability of agencies fulfilling eligibility criteria to have adequate response.
Model Offer document is enclosed as Annexure ‘J’.
(d) A Committee comprising of the following officers shall finalize the offer
document, evaluate the proposals received in this regard and recommend the panel
of advertising agencies :
(i) One officer of the level of GM/DGM from respective RO to be

nominated by RO concerned.
(ii) One Project Director from PIUs under jurisdiction of the RO to be

nominated by RO concerned.
(iii) One Finance representative from RO/PIU under jurisdiction of the RO,
to be nominated by RO concerned.
(iv) One officer from MR Division in NHAI, HQ to be nominated by CGM

(MR).
802
(e) RO shall be the Competent Authority for empanelment of advertising agencies

and related matters.
(f) After empanelment, all tenders/notifications/ advertisements/notices etc. shall

be released by RO/ PIUs under the RO through empanelled agencies only, as per the
roster maintained in the RO office.
------------
803
XII - Inauguration/ bhoomi Pujan/ Foundation Stone Laying/ Any other

Ceremony in respect of National Highway Works
[Policy Circular No. AF-48/2003 (4.2) dt. 04.06.2003, AF-165/2015 (4.16) dt. 18.12.2015 and
4.19/2016 dt. 27.10.2016]
1.0 In order to have uniformity of various arrangements to be made for such functions, a
draft proposal will be forwarded eight weeks before the event for approval of Chairman,
NHAI. The details of draft proposal should include :
a. Brief of the project highlighting salient features, new technology used and benefits to
the local population in the area.
b. Power point presentation of the project.
c. Video presentation (3-4 minutes) of the project in English and local language with
sub-titles, clearly containing the NHAI Tag Line.
"Building a Nation, Not just roads".
d. Model of project with details of terrain & project highlights.

e. Draft minute to minute program.
f. Draft talking points for Chairman NHAI, concerned Chief Minister, Hon’ble Minister
of RT&H and vote of thanks by Secretary, MoRTH/Chairman, NHAI.
g. Draft address of Hon’ble Prime Minister of India
h. Design of mementos to be presented.
i. List of guest and draft invitation card as per specifications and existing guidelines.
j. Draft advertisement as per specifications and existing guidelines.
k. Proper sitting arrangement viz. separate enclosures for VVIPs, VIPs, Media and
public in general
l. Draft backdrop.
m. Draft leaflet about the project.
n. Protocol arrangement for fixing the spots for dignitaries of function as per guidelines
be adhered to.
o. Photography and videography of ceremony (HD format), a copy of which (edited and
raw) should be sent to Library, NHAI HQ for archival.
1.1 MoRT&H letter dated 16.12.2011 prescribes the protocol to ensure extending
the invitation for inauguration/ BhoomiPujan/ Foundation Stone laying/ Any other
804
ceremony in respect of National Highways works to the dignitaries in the following

order :
(i) Member of Parliament (Lok Sabha) representing the spot where function is
being held.
(ii) Member of Legislative Assembly representing the spot where function is

being held.
(iii) Member of Parliament (Rajya Sabha) representing the spot where function
is being held.
(iv) Other invitees may be decided by MoRT&H.
1.2 While extending the invitation to all dignitaries for the ceremonial functions
like inauguration/ BhoomiPujan/ Foundation Stone Laying etc. relating to National
Highways, it should be ensured that invitation is also extended to all those Members
of Parliament in whose constituency any of the project roads pass through.
------------
805
XIII - Delegation of powers for Media Relations Works.

[Policy Circular No. - Para 22 & 23 of part-II and para 9 of part-III of policy circular No. AF-
57/2009 (1.1.4) dt 07.09.2009, T-117/2012 (4.12) dt 11.12.2012, T-123/2013 (4.13) dt
20.02.2013, AF-121/2013 (4.14) dt 03.09.2013, AF-171/2016 (4.18) dt 29.02.2016,
1.1.19/2017 dt 25.01.2017, 1.1.22/2017 dt 13.11.2017, 1.1.23/2017 dt 18.12.2017 and
4.25/2019 dt 01.10.2019]
1.0 Powers for media relations works are delegated as under :
Sl Subject To who delegated Extent of delegation

No.
(i) Advertisement and Publicity Chairman Full Powers
(i)Designing and publishing in Member Upto Rs.50 lakh in

Print/Digital /Social /Outdoor each case.
Media (In-charge of Media)
(ii)Production & telecast of CGM Upto Rs.50,000/- in

Video/Audio each case.
(In-charge of Media)
(iii)Hiring of Outdoor media
(Hoardings)
(iv) Other media
(v)Sponsorship
(ii) (i) Designing of advertisements/ CGM (in-charge of Full Powers on BOC

creative Media) (DAVP) rates
(ii) Production of audio/ video
(iii) Advertisement for Inauguration/ Concerned Member Full Powers

BhoomiPujan/ Foundation
Stone Laying/ any other Concerned Regional Full powers subject to
ceremony in respect of NH Officer guidelines issued by
works the Ministry (RT&H) on
the subject from time
to time
(iv) Tender Notices/ Recruitment Chairman Full Powers

Advertisements/ Public Notices
Member (In-charge of Upto Rs.6.00 lakh in
Media) each case
806

No.
ROs/CGM-in-Charge Upto Rs.3.00 lakh in

of Media Relations each case
PDs Upto Rs.1.50 lakh in

each case
(v) Expenditure on entertainment Chairman Full Powers

to invitees/visitors in official
conferences/ functions/ Board Member (Admin)/ Up to Rs.5,00,000/- in
Meetings/ press briefings/ Concerned Member each case
Parliament & Statutory
CGM (HR/Admin) UptoRs 1,00,000/- in
meetings/ other official
/Media /RO each case
meetings/ briefings/
presentations/ lectures/ Project Directors Upto Rs.20,000/- in
invitation cards, Shamianas, each case
refreshments, garlands,
Photographs, videography,
backdrop, standees etc.
(vi) Expenditure on Inauguration/ Concerned Member Full Powers

BhoomiPujan/ foundation stone
laying/ any other ceremony Concerned Regional Upto Rs.50 lakh
Officer
(vii) Printing & Binding Members Full powers
CGMs/ROs Rs.50,000/- in each

case
GMs/PDs Rs.20,000/- in each

case
(ix) Participation in Exhibitions Chairman Full powers
Member (in-charge of Rs. 30 lakh in each

Media) case subject to max. 3
in a year
ROs/CGM (in-charge Rs. 5.0 lakh in each

Media) case subject to max.
one in a year
(viii) Member Full Powers

807

No.
Procurement of PR/Creative (In-charge of Media)

/Media Agency
CGM (In-charge of Full powers, if the
Media) quote is within the
estimated amount with
adequate response of
atleast two eligible
bids.
------------
808
Appendix ‘A’
Sl. Policy Circular/ Office Order No. & Date

No.
Subject details
(i) No. AF-16/2002(4.1) dt 26.08.2002
Release of advertisement for tender notices for pre-construction activities
(ii) AF-48/2003(4.2) dt 04.06.2003
Inauguration/ BhoomiPujan/ Foundation Stone Laying/Any other ceremony in

respect of National Highway works
(iii) AF-114/2006(4.7) dt 02.02.2006
Photographs of project site – obsolete (not a part of Master Circular)
(iv) AF-39/2008(4.11) dt 28.07.2008
Procedure for release of Tender Notices/ Recruitment Advertisements/ Display

Advertisements at the time of Inauguration or Foundation Laying ceremony of NHAI
projects etc.
(v) AF-121/2013 (4.14) dt 03.09.2013
Procedure and delegation of powers for release of Tender Notices/ Recruitment

Advertisements/ Display Advertisements on Inauguration or Foundation Stone
Laying or BhoomiPujan ceremony of NHAI projects
(vi) AF-165/2015(4.16) dt 18.12.2015

(vii) AF-169/2016(4.17) dt 16.02.2016
Use of NHAI Tag line on publicity material
(viii) 4.19/2016 dt 27.10.2016

(ix) 4.20/2017dt 23.05.2017

809

No.
Subject details
Publication of advertisements on the occasion of Foundation Stone Laying/

Inauguration Functions of NHAI Projects in the Newspapers/ Media
(x) 4.21/2017dt 11.10.2017
Allocation of work amongst empanelled advertising agencies for release of display

advertisement
(xi) 4.22/2017dt 14.11.2017
Allocation of work amongst empanelled advertising agencies for release of display

advertisement
(xii) 4.23 dt 09.08.2018
Publishing of Tender Notices in Newspapers
(xiii) 4.24/2019 dt 01.08.2019
Policy guidelines for release of Land Acquisition Notifications in the Newspapers
(xiv) 4.25/2019dt 01.10.2019
Policy guidelines and delegation of powers for release of Advertisements,

Notifications, Notices and other Media related activities
(xv) 4.26/2021dt 23.11.2021
Policy guidelines for release of Advertisements, Notifications, Notices and other

Media related activities
(xvi) Para 22 & 23 of part-II and para 9 of part-III of policy circular No. AF-57/2009 (1.1.4)
dt 07.09.2009
Delegation of powers to Chairman, Member and other officers of National Highways

Authority of India
(xvii) No. T-117/2012(4.12) dt 11.12.2012
Guidelines for expenditure on Inauguration/ BhoomiPujan/ Foundation Stone

Laying/Any other ceremony
(xviii) T-123/2013 (4.13) dt 20.02.2013
Delegation of powers to Regional Officers with respect to expenditure on

Inauguration/ BhoomiPujan/ Foundation Stone Laying/Any other ceremony
810

No.
Subject details
(xix) AF-171/2016 (4.18) dt 29.02.2016
Revision in delegation of powers for release of Tender Notices/ Recruitment

Advertisements
(xx) 1.1.19/2017dt 25.01.2017
In partial modification of delegation of powers to Chairman, Member and other

officers of National Highways Authority of India
(xxi) 1.1.22/2017dt 13.11.2017
Delegation of powers for Media Relations
(xxii) 1.1.23/2017dt 18.12.2017
Delegation of powers for Media Relations
---------
811
Chapter: 4. Media Relations and Instructions on Signboards/Km

Stones on NHs
Section: 4.2 Signboards/ kilometer stones / Road Boundary Stones on
National Highways
Sub Subject
section
I. Road Boundary Stones
II. Use of language on kilometer stones and sign boards

on National Highways
III. Informatory signboards at project site.
IV. Details of award of tenders/ contracts publishing on

Websites/ Bulletins
V. Hoardings (Sign Boards) at Project Sites
VI. Display Boards on works on National Highways
Appendix ‘A’
VII. List of existing Circulars issued by NHAI upto

31.03.2022
812
I – Road Boundary Stones
[See NHAI Policy Circular No. T-189/2015 (4.15) dt 08.12.2015]
1.0 In Order to demarcate ROW, to avoid encroachment, provision of road side boundary
stones (RBS) has been provided in Road Side, Furniture under Project Facilities in Schedule-
C of Concession/ Contract Agreement for BOT (Toll)/BOT (Annuity)/EPC projects. These
RBS are required to be provided in accordance with Schedule-D.
1.1 The specification of Road Boundary Stones provided is as under:
“Road Boundary Stones shall be provided at the boundary on both sides of the right
of way available under the control of the Government. These shall be spaced at 200 m. The
boundary stones shall be of cement concrete as per the type design given IRC:25. The
boundary stone shall be painted with cement primer and enamel paint and
marked ‘RBS’ by paint”.
The above specifications has been modified in IRC-SP-84-2014, IRC-SP-87-2013

and IRC-SP-73-2015 to the extent that spacing of RBS to be reduced from 200m to 50 m.
1.2 Provision of installing of Road Boundary Stones has also been provided in some of
the OMT Concession Agreements under Road Furniture in Schedule-B with standards and
specification as provided in Schedule-C. However, this provision has not been provided in
many of the OMT Projects and hence in those projects the RBS is required to be provided.
1.3 NHAI has already completed number of projects as item rate contracts most of which
after being completed are being managed by CM Division. During the execution of these
projects, the provision of RBS may be at variance from the current specification. In all such
projects where provision of RBS is deficient, as compared to current specification, the same
is required to be provided now. Towards this, Competent Authority has decided as under:-
i. In all the ongoing Contracts/ Concession Agreements, all Field Offices (ROs and PDs)
are directed to ensure the strict compliance of provisions regarding Installation of
Road Boundary Stones.
ii. In the ongoing Contracts/ Concessions, wherever the provision for installing Road
Boundary Stone has been deficient as compared to modified provision i.e. @ 50 m,
the work of boundary stone may be executed as Change of Scope as per the provision
of the Concession Agreement (for OMT projects) and as a variation to the existing
O&M Contract/ Item Rate Contract. The boundary stones shall be of cement concrete
as per the type design given in IRC:25 with spacing of 50 m interval.
813
iii. RBS shall be numbered from 1 to 20 in each km. The proper numbering of Road
Boundary Stone is also required for which specifications are enclosed as Annexure-
I.
iv. The power to approve such Change of Scope/ Variation has been delegated to
respective Regional Officers. Regional Officers are advised to observe due diligence
and NHAI extant guidelines to arrive at the cost of such change of Scope/ Variation.
814
II- Use of language on kilometer stones and sign boards on National

Highways
[See NHAI Policy Circular No. AF-95/2004 (4.4) dt 04.01.2005 and AF-117/2006 (4.9) dt
23.02.2006]
A copy of letter from Ministry of Shipping, Road Transport & Highways No. E-11013/3/2005-Hindi
dated 30 January 2006 on the above mentioned subject is enclosed as Annexure -II.
815
III - Informatory signboards at project site.

[See NHAI Policy Circular No. T-63/2006 (4.10) dt. 12.04.2006]
1.0 It has been decided to install retro-reflective signboards at project sites containing the
information regarding section/ stretch of National Highway to be four/six laned, length and target
date of completion. An illustrative example of the board is indicated below for reference.
NHAI Emblem GOI Emblem

(Ministry of Shipping, Road Transport & Highways)
Government of India
Four Laning Kottakatta-Kurnool

Km 135-211 of NH 7
Length : 75 Km
Completion by : December 2008
1.1 The signboard shall be retro reflective (of high intensity grade as per Ministry’s
specifications) with yellow background and black lettering. The information on each board shall
be in one language only on the side facing the traffic. The boards would be placed in such a way
that distance between two boards on the same side is approximately 10-20 km. Minimum three
boards (in Regional language, Hindi and English) shall be provided for each package on both
sides. The boards on opposite sides shall be suitably staggered.
1.2 The siting of the boards shall be as per IRC 67 (Code of Practice for Road Signs).The size
of the board may be 1.8 m (vertical) x 1.6 m (horizontal).The expenditure on putting up these
boards may be met out of project contingencies. Guidelines for display boards on projects on
national highways have also been issued vide Ministry of RT&H letter No. RW/NH-
33044/10/2002/S&R(T) dated 12.08.2002 enclosed as Annexure –III.
816
IV- Details of award of tenders/ contracts publishing on Websites/ B ulletins

[See NHAI Policy Circular No. AF-115/2006 (4.8) dt. 03.02.2006]
1.0 In accordance with the instructions of the Central Vigilance Commission, it has been
decided to post the summary of tenders awarded for the contracts on month basis on our
Website. The categories of tenders for which the information will be posted on the website are as
under:
 Civil Works contract - Rs.100 crores & above

 Maintenance contract - Rs.10 crores
 All Consultancy Contracts - Rs.10 crores
 Other Misc. contracts - Rs.10 crores
1.1 All divisions are requested to forward the details of the contracts as per Annex. IV to
VII (enclosed to IT division by 7th of each month and the IT division will post the same on website
by 15th of each month.
817
V- Hoardings (Sign Boards) at Project Sites

[See NHAI Policy Circular No. T-37/2004 (4.3) dt 11.06.2004 and T-50/2005 (4.5) dt.
05.05.2005]
1.0 It has been decided that :
i. The existing gantries may be utilized to indicate the routes ahead by showing the names
of particular places with arrow symbols indicating direction as well as corresponding
distance in km. If more than one place is to be shown in the same direction, the name of
the place immediately ahead of the location of the gantry shall come on tope followed by
the next nearest place.
ii. The signs shall have a green background, white letters and arrows and white
border. Inscriptions shall be in English and Hindi in states where Hindi is the Official
Language. In states where Hindi is not the official language, every alternate signboard
shall contain inscriptions in English and the regional language. The route number of the
National Highway may also be indicated on these signboards.
iii. If such signs are located in advance at intersections of major importance, these may also
be used as destination signs with the place with the vertical arrow at the top, the right arrow
next and the left arrow at the bottom of the assembly. Where there is any fee plaza/truck
lay-bye ahead, the signboards may also be indicate its presence.
iv. Typical text to be displayed on the gantries is enclosed herewith for reference at Annexure-
VIII. However, Project Director(s) shall prepare the text as per the requirements specific
to the individual location and obtain the approval of the concerned Technical Division in
NHAI HQs, before proceeding with the same.
v. The sign boards will contain information pertaining to important destinations with distance
as narrated in para (i) to (iv) above.
vi. The sign boards will be mounted on the gantry in the direction of flow of traffic. No sign
board will be mounted on the other side of the gantry.
vii. The project Directors are authorized to invite bids for the work or the work may be done
through existing civil work contractor. The Project Directors may consult the Project
Director of neighboring PIU(s)/CMU(s) in order to avoid wide variation in cost of work.
viii. In case, the rate of the gantry signboard is more than Rs.6000/sqm prior permission of the
Headquarters would be obtained.
818
VI - Display Boards on works on National Highways

[See NHAI Policy Circular No. T-59/2005 (4.6) dated 06.12.2005]
1.0 Guidelines for display boards on all ongoing projects on National Highways are contained
in the MoSRT&H letter No. RW/NH-33044/10/2002/S&R® dated 12 Aug 2002 as per Annexure-
IX.
1.1 As the dissemination of the information about development projects is an important activity
to keep the public informed, it is requested the guidelines about the display boards on all National
Highway works should be followed strictly and all field officers instructed to comply with these
requirements invariably by providing display boards at each location of ongoing National Highway
Projects.
-----------
819
Appendix ‘A’
Sl. No. Policy Circular/ Office Order No.

Subject details
Date of issuance
(i) T- 37/2004 (4.3) dt 11.06.2004
Hoardings (Sign Boards) at Project Sites
(ii) AF-95/2004 (4.4) dt 04.01.2005
Use of language on kilometer stones and sign boards on National Highways
(iii) T- 50/2005 (4.5) dt 05.05.2005
Hoardings (Sign Boards) at Project Sites
(iv) T-59/2005 (4.6) dt 06.12.2005
Display Boards on works on National Highways
(v) AF-115/2006 (4.8) dt 03.02.2006
Details of awards of tenders/ contracts publishing on Websites/ Bulletins
(vi) AF-117/2006 (4.9) dt 23.02.2006
Use of sign boards on National Highways
(vii) T- 63/2006 (4.10) dt 12.04.2006
Informatory signboards at project site
(viii) T- 189/2015 (4.15) dt 08.12.2015
Providing Road Boundary Stones
-----------
820
Chapter: 5. Vigilance
Sub Subject
section
I. Procedure for handling of complaints
II. Investigation of complaints
III. Departmental Inquires
IV. Appendix
821
I – Procedure for handling of Complaints
[See NHAI Policy Circulars No. 13030/5/Complaint Handling/2020-Vig./1346 dt: 13.05.2020 &
NHAI Circular No. NHAI/13030/5/2019-Vig dt: 26.11.2019]
The procedure for lodging complaints and handling of complaints:-
(A) Receipt of Complaints:-
• The complaint can be lodged by any person/ Employee/ Contractor/ Consultant against
officer(s)/official(s) of the Organization and on any works and areas under jurisdiction
of NHAI.
(B) Complaints can be lodged in following manner:
• By written communication/ letter addressed directly to the Chief Vigilance Officer (CVO)
for corruption related complaints and to General Manager (HR/Admin) for other than
corruption matters, or
• Electronically through filling the details on the Portal “Complaints” on the website
ttps://nhai.gov.in.. Complaints through e-mail will not be entertained. Complaints lodged
on portal are to be encouraged. Complaint portal has two categories, which are to be
selected by the complainant:
(i) Corruption related and
(ii) Others. Corruption related complaints will be dealt by CVO and others by Admin.
One time registration on portal will be required.
(iii) Complaints only on corruption related matters can be also lodged on Toll free
number 1800116062 shown on NHAI’s Portal.
(C) Central Vigilance Commission (CVC) and CVO of Ministry of Road Transport & Highways
(MoRTH) are the designated authority to receive complaints under PIDPI (Public Interest
Disclosure and Protection of Informers Resolution) wherein Complainant’s identity will be
kept secret. Therefore, Complainants are advised to make complaint directly to CVC or
MoRTH since CVO, NHAI is not authorized to receive complaint under PIDPI.
(D) Complaints sent through written communication/letter should contain complete postal
address (mobile/telephone number, if any) of the sender with specific details/information of
the matter.
(E) The Complaint must contain the factual details, verifiable facts and related matters. It
should not be vague or contain general statements. Complaints containing vague or
general/unverifiable allegations should also be filled without verification of identity of the
complainant.
822
Handling of Complaints
(a) Complaints shall be examined carefully to ascertain, whether it contain any vigilance
angle/contents of the complaint are verifiable or not/ complaints are
anonymous/pseudonymous or not.
(b) No action will be taken on the anonymous/pseudonymous complaint in reference to CVC

guidelines and such complaints are simply filed. Anonymous complaints are those where
the complainant did not reveal name/address. Whereas pseudonymous complaints are
those which have been made under a false or fictitious name/address.
(c) Complaints not verified by the complainant on contacting through a procedure of sending
confirmation letter through post, at the address mentioned in the complaint, or if the
complainant disowns the complaint; are not dealt further and closed.
(d) The unsigned complaints do not have any authenticity and the same will be treated as
anonymous and pseudonymous and will be filed.
(e) The complaint must contain the factual details, verifiable facts and related matters. It
should not be vague or contain general statements. Complaints containing vague or
general / unverifiable allegations should also be filed without verification of identity of the
complainant.
(f) All complaints shall be processed in reference to instructions/guidelines issue by CVC or

DoPT Guidelines. Vigilance Division is the nodal agency for clarification of doubts regarding
handling of complaints.
(g) If a complaint contains verifiable allegations, but the same does not have apparent
Vigilance angle (e.g administrative in nature or individual grievance or technical lapses
etc.), the complaint may be forwarded to concerned Division for taking necessary action.
Only complaints having vigilance angle shall be investigated by the Vigilance Department.
(h) Complaint in vigilance Division will be verified by enquiring from the signatory of the
complaint whether it had actually been sent by him. If he cannot be contacted at the
address given in the complaint, or if no reply is received from him within 15 days followed
by reminder of 15 days, it should be presumed that the complaint is pseudonymous and
should accordingly be filed. Similar procedure may be adopted by other divisions for
verification of complaints.
(i) If a complaint has been forwarded by CVC for investigation and report under CVC Act, the
Vigilance Division shall treat it as a signed complaint and duly investigate without taking
confirmation.
823
II – Investigation of Complaints
[See NHAI/CVO/2020/Vig. Dt: 16.12.2020 & NHAI/13013/CVC-00/VGL/019/2020 dt:

28.08.2020]
(A) Every registered complaint to be examined by the Vigilance officer and take
action after approval of CVO as follows:
• File it without or after investigation.

• To pass it on to CBI for investigation/ appropriate action.
• Pass it on to the concerned Administrative Authorities for appropriate action as
no vigilance angle is involved.
• Take up for detailed investigation.
(B) No Complaint should be investigated without “Genuineness Verification”

unless:
• It is CVC referred complaint (including PIDPI Complaints) wherein CVC has

asked for an “investigation report” (IR cases).
• There is exemption for “Genuineness verification” under the rules.
• Specifically being asked to investigate, without “Genuineness Verification”.
(C) CVC Referred complaints:
• CVC may ask for “Investigation Report”, “Action Taken Report”, “Factual
Report” or “Further Information”.
• Time frame of 3 Months in all such cases
.(D) PIDPI Complaints
• PIDPI complaints are those where the identity of informer has not to be
disclosed under any circumstances.
• Time frame of 2 Months in case of Investigation of PIDPI complaints.
• In case not possible to follow this time schedule, brief report with reasons of
delay and likely date for submission of report.
824
(E) Other important aspects of investigation:
• Once a case has been referred to and taken up for investigation by CBI,
parallel investigation by the departmental agency should be avoided.
• However, if departmental proceedings have already been initiated based on
the departmental investigation, the same may be proceeded.
• Complaints against officials due to retire shortly should be monitored
closely/given top priority.
• If information can be verified from documents/ files/ other records, such
records should be secured and scrutinised.
• If scrutiny reveals evidence in support of the allegations, the
documents/records should be taken over by Vigilance to prevent
manipulation/tampering.
• If the papers required for day to day functioning, department/vigilance may
retain authenticated copies. If originals returned, the department/official
concerned, be made responsible for safe custody and production when
required.
• Site Check or Surprise Inspection and Lab Tests etc., if required.
• Checking fact/information/technical advice from other employees.
(F) Format of Investigation Report
• Source
• Gist of allegations
• Facts
• Observations
• Response of the officials concerned
• Counter to the response
• Conclusion
• Responsibility of the officials
• Recommendation for action
• Recommendation for systemic improvement
(G) After investigation, if any complaint is found to be false, malicious, and vexatious
and of personal vendetta, action may be taken as per extant rules/ guidelines.
Habitual complainants making false complaints may be dealt with sternly or may
be blacklisted. A person making false complaints is liable for prosecution and/or
disciplinary action.
825
III – Departmental Inquires.
[See NHAI Circular No. NHAI/CVO/2021/Circular dt: 09.06.2021,

NHAI/CVO/2020/Vig. dt: 01.02.2021, NHAI/CVO/2020-Vig dt: 07.01.2021]
1. The purpose of investigation is to find out whether there is prima-facie case for
institution of disciplinary proceedings and, if so, to collect evidence there for. Once
disciplinary authority decides to institute regular disciplinary proceedings, a decision shall
be taken by him whether proceeding should be with a view to imposing a minor penalty
or major penalty.
2. In case the proceeding for a minor penalty, allegations shall be communicated to

the person concerned and he is proceeded against in accordance with rule 16 of CCS
(CCA) Rules, 1965. If major penalty proceedings are to be instituted, the first step is to
issue charge - sheet under rule 14 of CCS (CCA) Rules, 1965.
(A) Major Penalty Charge memo
• Annexure-I : Article of Charges.

• Annexure-II: Statement of Imputations & Misconduct.
• Annexure-III: List of Documents/Relied Upon Documents (RUDs)
• Annexure-IV: List of Prosecution Witnesses (PWs)
(B) Minor Penalty Charge memo
• Annexure-III and IV are not needed.
(C) Time frame Prescribed
• Issue of charge sheets – Within 1 Month of receipt of CVC Advice.

• Submission of defence by the Charge Officer (CO) – 10/15 Days of issue of
charge memo.
• Appointment of Inquiry Officer (IO)/Presenting Officer (PO) in Major Penalty
cases – Immediately after receipt of Written Statement of Defence (WSD).
• Issue of final orders in Minor Penalty Cases – 2 Months from receipt of WSD.
• Conducting Departmental Inquiry – 6 Months after appointment of IO/PO.
• Sending case for 2nd Stage Advice – 1 Month after receipt of IO report.
• Sending copy of IO report to CO – 15 Days.
• Submission of representation by CO – 1 Month.
• Issue of Final Orders – 1 Month.
(D) Importance of Charge memo
• While investigation report is a confidential document, charge sheet is an open

document.
• Each word of charge sheet is loaded with implications and, therefore, should
be selected very carefully.
826
• The charge memo must be specific, self-contained and must have substance
of the exact misconduct.
• It must flow out of/based on the Investigation report and further deliberations
on it, which led to initiation of Disciplinary case.
(E) Need of inquiry (Protection under Article 311 (2) of Constitution of India.:
• The Charged Officer should be informed of the charges.

• Reasonable opportunity of being heard in respect of the charges shall be
given to CO.
• Principle of Natural Justice are to be followed
• Charge Sheet should be served.
• Allowed to produce and lead evidence.
• Allowed to cross examine the witness.
• Nothing should be done at the back of Charged Officer.
(F) Before physical hearing of the Inquiry, Inquiry Officer should check following:
• Charge sheet should be proper/complete.

• IO’s and PO’s order to be checked.
• Preliminary Hearing.
• Schedule for inspection of documents.
• Relevancy of defense/documents/witness.
• (IO’s power-speaking order)
• Collection of defense documents.
(G) Steps of Departmental Inquiry :
• Fixing of Regular Hearing.

• Leading of oral evidence.
• Cross examination and Examination-in-Chief. of witnesses.
• Re-examination.
• New evidence.
• Reasonable opportunity to the Charged Officer.
• General examination of the Charged Officer.
• Filing of briefs both by PO/CO
827
Appendix
List of Circulars consolidated by Master Circular on Vigilance .
S.N Circular/Office Order Date Particulars

o No.
1. 13030/5/Complaint 23.10.2020 Complaint handling policy of NHAI-reg.

handling/2020-Vig./1346
2. NHAI/13030/5/2019-Vig 26.11.2019 Procedure for dealing with Complaints received

in Vigilance Division
3. NHAI/CVO/2020/Vig. 16.12.2020 Timelines for dealing PIDPI

complaints/Investigation and Report (I&R)
matters
4. NHAI/13013/CVC- 28.08.2020 Adherence to the time limit of investigation of

00/VGL/019/2020 complaints- Timeline for providing
information/documents
5. NHAI/CVO/2021/Circular 09.06.2021 Timely completion of departmental proceedings-

role of IO/PO and Vigilance officers
6. NHAI/CVO/2020/Vig. 01.02.2021 Timelines for timely finalization of Disciplinary

Cases.
7. NHAI/CVO/2020-Vig 07.01.2021 Standard procedure to be followed while

forwarding Charge-Sheet.
828
829
830
831
832
833
834
835
836
837
838
839
840
841
842
843
Chapter: 6. Guidelines related to IT Applications / Softwares
Section: 6.1. Data Lake
Sub Subject
section
I. Communication of Project related correspondences

between BOT (Toll) Concessionaires, Construction
Agencies, AEs, IEs and NHAI through Project
Management Software and Data Lake Portal.
II. Submission of bills related to project payments of

NHAI through Project Management System (PMS/
Data Lake) Portal.
III. Drone Video Recording of Project Highway during

the development, construction and O&M period
IV. Mandatory monthly Drone Video recording of

Project Highway during the development,
construction, and O&M period. – Standard
Operating Procedure
V. Data Lake
844
I: Communication of Project related correspondences between BOT (Toll)

Concessionaires, Construction Agencies, AEs, IEs and NHAI through Project
Management Software and Data Lake Portal .
[See NHAI Policy Circulars 6.26/2021 dated 11th January, 2021, 6.25/2021 dated 30th December,
2020 and 6.24/2021 dated 03th November, 2020]
The Project Management Software (PMS) / Data Lake is an unique cloud based software
application, wherein the complete project execution work flows with timelines as per contract and
alert mechanism is portal bases. The Beta Version of this Software was launched on 5th March,
2020.
2. Thereafter, it was decided vide NHAI Policy Circular No. NHAI/IT/Data Lake/05 dated
21.04.2020 that with effect from 25th April, 2020, all project related communications, approvals and
correspondences between Contractors / Concessionaires / Consultants, AE/IE & PD/RO/HQ will
be done through the Project Management Software / Consultants, AE/IE & PD/RO/HQ will be done
through the Project Management Software / Data Lake Portal only. No physical paper will be
accepted unless it is a legally required.
3. New version of Data Lake V-2.0 has been released on 01.09.2020 wherein mainly the
following features are envisaged :
i. A comprehensives system to facilitate entire project management across the project

lifecycle from pre-construction stage till Operation & Maintenance stage.
ii. Provision for GIS linking of all project features, documents, videos, photos, test reports,
NSV reports, FWD reports and road inventory reports.
iii. Provision for input forms with batch upload facility for updating data on land acquisition,
utility shifting, statutory clearances, construction, weekly progress update and other
progress update.
iv. Provision for generating project and role based Executive Summary Dashboards and
Reports of projects at micro level as well as at macro level.
v. Provision for document approval processes and workflows for the pre-construction,
construction and maintenance phases of project across different execution modes (EPC,
BOT, HAM)
vi. Provision for Dynamic Live Ranking for seven key performance indicators related to
Construction, Award, DPR, Plantation, O&M and Road Safety of projects.
vii. Provision for generating overall ranking of Project Implementation Units, Regional Offices
and Technical Division of NHAI.
4. It was decided vide NHAI Policy Circular No. 6.23/2020 dated 15.09.2020 that all
Contractors/Concessionaire/Consultants shall mandatory submit the bills in the PMS/Data Lake
only and no physical bills shall be accepted from 17.09.2020 for payments.
845
5. All PDs were directed to process the payments of consultants only after ascertaining that
all the details required to be uploaded on Data Lake have been completed/ updated by IE/AE.
6. Subsequently, it has been decided to incorporate the suitable clauses in the Request for
Proposal (RFP) for EPC / HAM projects and for AE / IE / DPR Consultants in order to ensure
compliance of the NHAI circular mentioned above. Accordingly, for all future projects, where bids
are planned to be invited, the relevant clauses of the RFP for EPC / HAM projects and AE/IE/DPR
Consultants stand modified/ incorporated as per prescribed at Annexure-A of Policy Circular No.
6.26/2021 dated 11.01.2021.
7. Now it has been decided to incorporate the suitable clauses, for compliance of the NHAI
circulars dated 21.04.2020 & 15.09.2020 mentioned above, in the Request for Proposal (RFP) for
BOT (Toll) projects also. Accordingly, for all future projects, where bids are planned to be invited,
the relevant clauses of the RFP for BOT (Toll) projects stand modified as per Annexure-B of Policy
Circular No. 6.26/2021 dated 11.01.2021.
846
II : Submission of bills related to project payments o f NHAI through Project

Management System (PMS/ Data Lake) Portal.
[See NHAI Policy Circulars 6.23/2021 dated 15th September, 2020]
NHAI has facilitated on line submission of bills through Project Management System
(PMS/Data Lake) Portal for early disbursement of payments vide Circular No. NHAI/IT/Data
Lake/05, dated 21.04.2020. (Copy enclosed). However, it was observed even after lapse of
substantial period that bills are still being submitted physically/ on eFile, without processing in the
PMS/ Data Lake.
2. In order to further strengthen the process and facilitate speedy payments, the system has
been modified. A detailed process flow chart is enclosed for e-office users. The following steps
may be followed:
i. This is applicable for all project related payments (Bills, Annuities, COS, Utility Shifting,
Consultants Payments, etc.)
ii. The Contractors/Consultants shall “Compulsorily” upload the bills along with all supporting
documents in the portal.
iii. Once it is submitted by the Contractor/Consultant, the AE/IF/PD/RO (receiving Official), as
the case may be, shall verify the supporting documents and confirm its adequacy within 24
hours and submit to the PMS.
iv. On verification and acceptance by the Receiving Official and submission to the system,
auto generated alert shall be communicated with a transaction ID to the Contractor/ Client.
The date of such acknowledgement shall be treated as the date for submission of bills.
v. IE/AE shall process the bill and submit it to Project Director (PD) for further action. For bills
submitted to RO/PD, they shall process the bills directly.
vi. PD shall process the bills through e-office and generate a payment file in the e-office
quoting the Transaction ID only. The entire information including the PIU/Project
Name/Transaction ID/ Bill Amount shall be fed in the system and send it to the F&A unit for
payment, as per laid down procedure.
vii. On Payment, Finance Division shall update the Transaction ID in place of BTS.
3. Accordingly, to ensure the system implementation, the following be complied with :-
i. All Contractors/Concessionaires/ Consultants shall mandatorily submit the bills in the

PMS/Data Lake only. No physical bills shall be accepted from 17.09.2020 for payments
unless quoted with the Transaction-ID.
ii. Claimants must quote the Transaction ID in all correspondence.
iii. Finance Division shall ensure that all bills submitted after 16.09.2020 must have reference
of the Transaction ID, without which shall not be processed for payment.
847
III A: Drone Video Recording of Project Highway during the development,

construction and O&M period
[See NHAI Policy Circulars 18.75/2021 dated 3rd November 2021 and 18.69 Dated 10th June,
2021]
With an objective to bring transparency, uniformity and use latest technologies, video
recording using drones, of the entire ROW showing chainages, proposed ROW, median
centerline, condition of road, road furniture etc. have been made mandatory. In this regard,
Policy Circular No. 18.69 Dated 10th June, 2021 refers. On the basis of the feedback received
the policy has reviewed and now in supersession of earlier circular, it has been decided to
carryout video recording of each project every month since award of work till completion of
construction and biannually during O&M period.
2. NHAI has already finalized specifications / methodology for video recording and identified
zone-wise agencies & rates for the same. The Field units / Contractors / Concessionaires may
use these agencies as to ensure uniformity in data collection. Recording shall have to be done
in the presence of Team Leader of IE/AE/SC. Recording shall have to be done in the presence
of Team Leader of IE/AE/SC. Recording of previous videos and current running side by side
shall be loaded on Data Lake for easily capturing various developments during the month (a
sample screenshot is attached herewith and also loaded on Data Lake along with a sample
video for guidance) before submission of their invoice. Capturing Ortho-image for approx. 10%
equivalent length of critical structures or any other specific are should be decided by the
ROs/PDs and be conveyed to the Drone Agency in the site – specific work order. The
IE/AE/SC shall ensure that the features and quality of drone video is acceptable and video is
not distorted / tampered with
3. IE/AE/SC shall analyse these drone videos and give their comments in its digital MPRs
covering inter-alia but not limited to the encumbrances / lands not available, sites of COS
demands, progress of project, mobilization of plant & equipment, mobilization at camp sites,
progress on rectifications of NCRs etc. along with the proposed action plan. PD shall
crosscheck drone videos during his monthly physical inspections and notify the discrepancies
notice, if any, between drone video, on IE/AE/SC comments and ground reality. The
discrepancies shall be examined and addressed through joint site inspections.
4. As per the policy, the Network Survey Vehicle (NSV) survey needs to be carried out twice
in a year on completed project. Therefore, PDs should plan biannually drone based video
recording during O&M period in such a manner so that there is no overlap and digital data of
O&M period is available in regular intervals (quarterly) through NSV and drone videography.
5. In addition, PDs / ROs can also undertake need based drone videography as and when
required. PD shall ensure development of a project specific website by the Concessionaire for
all project being executed under HAM as per Clause 13.6 of the agreement, where
Concessionaire needs to upload Video and time stamp pictures every week regarding
progress. The website must be accessible to the public. In case of default on this account,
848
the PD shall withhold an amount equivalent to Rs. 5 Lacs plus (drone rate X Length of project
X no. of defaulting week) from the dues of the Concessionaire.
6. As the above drone videos/ reports will be permanent record on Data Lake and will be used
as evidences during dispute resolution process before Arbitral Tribunals / Courts including
supreme Court, the drone video shall be carried out carefully and correctly without distortions/
tampering by all parties concerned. In this regard, SoP issued by NHAI vide letter dated
11.10.2021 and 31.08.2021 is to be read with this circular.
7. The Contract Agreement on EPC mode (Refer Clause 11.16 of DCA) and the Concession
Agreement of HAM & Toll modes (Refer Clause 12.4.3 and 13.6 of MCA) provide for video
recording of the project highway during the construction period. As such amount spent on
recording shall be charged to Contractor / Concessionaire to the extent covered in the
agreement. In contract has been de-scoped, the amount spent on video recording shall be
borne by the NHAI. Power for approval of expenses on this activity are delegated to PDs who
can charge this expenditure to the work.
849
III B: Mandatory monthly Drone Video recording of Project Highway during

the development, construction, and O&M period. – Standard Operating
Procedure
Refer Circular No. Nil dated 31.08.2021 prescribing following:
NHAI prescribed for mandatory monthly Drone Video recording of Project Highway during the
development, construction and O&M period vide Policy Circular No.18.69 dated 10th June, 2021.
Keeping in view the following aspects:
i. ToR of the empaneled agencies for drone videos;

ii. Policy circular referred above;
iii. In order to eliminate subjective interpretations by various stake holders;
iv. To ensure uniformity in data collected through drone videos and
v. Its subsequent use in project management,
Standard operating procedures (SoP) / guidelines are hereby prescribed for common
dissemination and adherence by all stake holders concerned. Copy of the SoP is available on Data
Lake portal for ready reference.
Ref. Circular No. 13057/01/2021/IT dated 11-10-2021
Reference is invited to guidelines / SoP for Drone Videography issued on 31.08.2021. The
intended purpose was to eliminate subjective interpretations by various stakeholders and to ensure
uniformity in data collection through drone videos and its subsequent use for project management.
Since videos submitted on Data Lake portal are noticed deficient in terms of prescribed guidelines
following important parameter are reiterated accordingly for strict compliance.
a) Entire ROW showing chainages, as well as center line to be visible in the video – for projects
under construction specifically in greenfield alignment, agencies may choose computer aided
annotations. However, in completed projects / under O&M, median and RoW to be captured in
video on as is where is basis.
b) The video of last month and the current month running side by side (synchronized with running
Lat/Long) shall be loaded on Data Lake for easily capturing various developments during the
month. (a sample video is uploaded on Data Lake under FAQ section for reference).
c) Capturing Ortho-image for approx. 10% equivalent length of NH related to major junctions,
encroachments, any road damages, submerged area, water overflow, Major bridges, flyover,
grade-separators, elevated doors, emergency landing, tunnels or any other specific area of
concerned such as CoS, etc. PD concerned shall decide and convey to the Drone Agency about
such requirements in the site-specific work order.
850
d) IE/AE/SC shall ensure that the features and quality of drone video is acceptable. Such drone
videos are to serve as permanent record on Data Lake for use as evidence during dispute
resolution process before AT / Courts, etc. Therefore, the video should not be distorted / tampered.
2. Each video to be examined by AE/IE concerned who will submit his comments for acceptability
on Data Lake within three days of video upload and use it to prepare his report in the digital MPR
each month.
3. PD concerned shall have access to the comments of AE/IE concerned regarding acceptability
or otherwise of each video uploaded on Data Lake and payments shall only be made only if all
prescribed condition precedent ore met. If any payment is made for a video uploaded in Data Lake
which is not in conformity to the prescribed guidelines, the PD concerned shall be held personally
responsible.
4. Digital MPR of AE / IE to be submitted each month to PD concerned on Data Lake has also
been modified to include provisions to substantiate submission of AE / IE in MPR with Drone Video
Clippings regarding important parameters such as hindrances, slow progress of work, or other
important issues requiring intervention. This functionality should be widely made use of.
851
IV : Mandatory use of Unique Project Code (UPC) on all files/ EC Agenda

Items/ proposals/ correspondence within NHAI
[See NHAI Policy Circulars 6.20/2021 dated 26th June, 2019]
Ref. Office Orders / Circulars dated 09.01.2019, 13.05.2019 & 07.06.2019 of Finance Division on
Sanction Letters / Unique Project Codes for each & every project. Project Monitoring Division and
Finance Division have compiled a master list of all the projects of NHAI for the purpose of allocating
Unique Project Code (UPC) for each & every project and issue of sanctions. 1st draft was
circulated to all ROs, CGM (Tech) and GM (Tech) on 07.05.2019 inviting comments (if any).
2. Based on the comments received, the 2nd draft of Master List has been completed. Shortly,
the master list shall be made available on intranet within NHAI for common dissemination. The
logic of constructing UPC is prescribed in the said circular.
3. It has been decided by the Competent Authority that henceforth UPC shall be mentioned
on all proposals / files inclusive of the following and it will be the duty and responsibility of the
officer initiating any proposal / file to correctly mention the Unique Project Code (UPC):
a. IAC/PATSC Proposals / Notes;

b. SFC Proposals / Notes;
c. EC / Board Agenda Items / Notes;
d. All files of HQ relating to Projects;
e. All files / proposals send to Finance Division for approval / release of project related
payments;
f. All internal correspondence between HQ, RO & PIU on the project;
g. Planning & Monitoring of Projects; and
h. LA Division Reports;
4. No files / proposal without UPC shall be processed by any officer and if any project is still
found missing in the master list, the same shall be brought to the notice of Sh. Deepak Saxena,
GM (IT who will be the nodal officer to maintain & update the master list. In the subsequent stage,
all projects under Commercial Operations shall also be brought under the purview of UPC. It will
be the responsibility of the Head of Divisions to ensure that this policy is applied to without fail and
those responsible for arranging meetings such as EC/Board don’t accept and circulate any such
proposal lacking UPC.
852
V. Data Lake
1 : Integration of PMD Application in NHAI in Data Lake / PMS Portal
[See Circular No. NHAI/Policy Circular No. NHAI/IT/Data Lake/07 dated 10.06.2020]
The Project Management Software & Data Lake Portal is live w.e.f. 25th April, 2020. In viw of the
prevailing lockdown situation & guidelines to prevent spread of Covid-19, it was decided by the
Competent Authority that all project related communications, approvals and correspondences
between Contractors / Concessionaires, AE/IE & PD/RO/HQ will be done / routed through the
Project Management Software / Data Lake Portal only. No physical paper will be accepted unless
it is a legal requirement.
2. The PMS / Data Lake Portal is the single source from where all data w.r.t. NHAI projects
are being captured. In order to capture / generated additional functionalities / reports the Project
Monitoring (PMD System have been merged with the PMS / Data Lake Portal.
3. It has been decided with the approval of the Competent Authority that w.e.f. 10.06.2020,
all PDs, ROs & GMs at HQ will now submit / update their projects status as on last calendar day
of previous month on Data Lake Portal, every month by 7th day of the calendar month. The entry
form for the : same are available in Data Lake as PD MPR, RO MPR, GM Work Order and CGM
Weekly Monitoring Report. These are similar input forms as was in PMD and can be accessed
after logging into Data Lake. The link to access the Data Lake Portal is on NHAI’s website.
853
2: Mandatory requirement for all PDs & GM(Tech)-HQ to keep all information updated in
Data Lake Portal
[See. Circular No. 13057/01/2021/IT dated 04.02.2022

OM No. 13057/01/2021/IT dated 17.09.2021]
Data Lake servers in NHAI and that of MoRTH exchange live data on 24x7 basis to facilitate
MoRTH access information in Data Lake, and the information captured in Data Lake is intended
to frame / validate replies of Parliament Questions or send information to Niti Aayog / conduct
review meeting with State / RO concerned etc.
All PDs /ROs & GM(Tech) at HQ shall submit/ update their project status on Data Lake Portal as
on last calendar day of previous month by every 7th calendar day of succeeding month. If due to
any data inconsistency/ incompleteness / wrong inputs etc., any embarrassment is brought to
NHAI or any privilege motion is brought against the Ministry/ NHAI, the concerned user/ officer will
be held personally responsible.
As directed by the Competent Authority, w.e.f. October 2021 onwards, if any GM(Tech) at HQ or
the PD /RO does not update his mandated project status by due date i.e. 7th calendar day of each
month, then the list of all such officials will be shared with the Member concerned who shall issue
recordable warning to such officer(s) for failure to complete their mandatory obligations on
applicable web portal.
In case of non-compliance by PD, RO / GM, w.e.f. 08-02-2022 the data lake account of the
concerned NHAI user shall get automatically blocked temporarily (and only the functionality to
update information and certify shall remain operational). Full functionality of the Data Lake account
of such user shall only get automatically restored once the stipulated requirements are fully
complied. Users are also requested not to make calls to OR raise complaint ticket on help desk in
such situation.
854
3. Submission of Digital MPR by AE/ IE on Data Lake
[See. DO letter dated 01.01.2021 from Chairman, NHAI to all ROs / PDs and Circular
No.13057/01/2021/IT dated 14.09.2021]
Submission of Digital MPR on Data Lake Portal was put into service on 01.01.2021 vide
above Ref. NHAI-HQ is rigorously reviewing the quality of Digital MPRs submitted by AE/IE/SC
(copy enclosed)
2. Submission of Digital MPR on Data Lake Portal was put into service on 01.01.2021 vide
above Ref. NHAI-HQ is rigorously reviewing the quality of Digital MPRs by AE/IE. It is observed
that the information put into the Digital MPRs by AE/IE. It is observed that the information put into
the Digital MPRs by AE/IEs is largely inadequate, inconsistent, and incomplete. Some of the major
forms / fields under Digital MPR where data inadequacy has been observed across most of the
digital MPRs are:
a. Critical issues and action log

b. Obligations as per contract
c. Utility shifting form
d. Safety measure-Location of the blackspot and remedial measures
e. Mobilization of adequate resources by construction agency
f. Monitoring of maintenance obligation during construction phase
g. Details of any Force Majeure condition in a contract, etc.
3. With approval of the competent Authority, it has been decided that if any sort of Data
inadequacy and incompleteness is found in the digital MPR then appropriate action shall be taken
against AE/IE by the PD concerned as per the provisions in contract agreement. The Project
Directors are also cautioned not to accept such incomplete MPR because upon their acceptance,
it becomes their official record in Data Lake and makes the AE / IE entitled for their monthly
payments albeit with deficient services.
855
4 : Placement of Data Lake operators at NHAI – HQ, RO & PIU – Basic SoP prescribing
the duties to be performed
[See 1. Circular No. NHAI/IT/Data Lake/2021/07 dated 01.03.2021,

2. Circular No. NHAI/IT/Data Lake/2021 dated 05.04.2021
3. Circular No. NHAI/IT/Data Lake/2021/07 dated 29.06.2021]
Subsequent to the placement of Data Lake operators at all levels viz. ROs, PIUs and CGMs
at NHAI, HQ and after having provided them comprehensive training by Data Lake team, it’s
important to standardise their daily, weekly, monthly input etc. into the Data Lake System.
Accordingly, a basic SoP of duties to be performed by them has been prepared and
enclosed. All concerned reporting officer viz. CGMs, ROs, PDs, etc. are requested to kindly monitor
the performance of the operators. If required, the reporting officers may also modify the SoP
suitably keeping in view site specific requirements under intimation to Data Lake team.
856
5: Rectification works based on the observations of NSV survey conducted and its
updation on Priority Maintenance Module in Data Lake
The work of priority maintenance of National Highways entrusted to NHAI is to be done as

per extent policy circular number 18.41/2020 dated 15.04.2020. In order to identify and monitor
the rectification works identified from the NSV survey conducted for the EPC, BOT and HAM
projects under O&M phase, a module “Priority Maintenance” has been developed on Data Lake.
2. In the above module, the relevant defects identified through NSV survey stretch wise, and
the time limit for rectification / maintenance for each of the defects as per the Schedule K
(Maintenance Requirement) or its relevant schedule of concession / contract agreement for BOT
and HAM project are filled up. In case of EPC Projects, the defects are filled up as per improvement
required during O&M period.
3. This module broadly covers four major types of defects i.e. Roughness, Rut depth,
Potholes, and cracks and the module is accessible to AE/IE, PDs and GMs for response entry.
The planned start and end date will be provided by the system and the rectification work performed
is to be filled by the AE/IEs, irrespective of whether NSV survey is carried out by AE/IE of NHAI.
4. Under this module, effective dates are assigned by system to the identified defects. The
contractor/ concessionaire will get the timeline of 7 days from planned start date to initiate the
actual rectification work. In case the module does not get updated with actual start date on day 8
for rectification work then AE/IE or PD should visit the site to assess the preparedness & readiness
of the agency for the rectification work as per the stipulation of schedule K (or relevant schedule
as the case may be) and if required initiate action to carry out the rectification work at risk and cost
of contractor / concessionaire as per the agreement. During the execution of the rectification work
AE/IE or PD shall periodically check the progress of the rectification work and update the same in
module.
5. Further in case rectification is not completed within the timeline stipulated in Schedule K
then PD may further extend the timeline along with the justification or submit the recommendation
to higher authorities including headquarter to take punitive action against the Contractor /
Concessioner. In such cases GMs9Tech), HQ shall issue the show cause notice to the concerned
Contractor / Concessionaire for its failure to comply stipulated contract condition wherever
applicable. Those project where AE/IE are not available concerned PD shall get rectification work
done at site based on the NSV survey and update the module with actual site status.
6. All the PDs, AE/IEs and GMs shall initiate information entry for the rectification work as
defined in the modules as per the timelines of Schedule K “Maintenance Requirement” 9 or
relevant schedule asper agreement as the case may be) of Contract.
7. The detailed workflow for the module is on the Data Lake Portal for reference and
necessary competence.
857
6: User's Account / Login Credentials management for different stakeholder s in

Datalake-reg.
[See Circular No. 13057/01/2021/IT dated 14-09-2021]

The Datalake portal is being used in NHAI since 25th April, 2020. It is designed for all
stakeholders on a highway project viz. (i) internal users such as GM(Tech)/ CGM(Tech) at Hq
and PDs / ROs at field officers; (ii) External stakeholders such as DPR Consultants, Contractors /
Concessionaires, AE / IE for each project.
2. Access to Datalake is role based as the dashboard contents are customized according to
projects under jurisdiction of users as well as current stage of the project. Since the starting of
Datalake, Login credentials have been provided to the different stakeholders/roles as and when
requested. After recent scrutiny of the user list, it has been observed that many user’s credentials
have turned out to be either redundant or dormant and being discontinued with immediate effect
to ensure only active users accounts are maintained in the system in future.
3. For efficient management of the data lake system and keeping in view the safety / security of
information in Datalake, henceforth, Datalake users account will be governed with following
criteria:
3.1 Procedure to allow Datalake access by stakeholders:

3.1.1 For external stakeholders viz. (DPR Consultant, AE/IE, Civil Contractor) PD shall continue
to issue login IDs from his dashboard to nodal person of stakeholders (Team Leader, Project
Manager), capturing necessary details like name, contact, email etc.
3.1.2 For internal users i.e. GMs and above, upon creation of account on E-Office, an account will
be created for Datalake using the same credentials.
3.1.3 SAP Id will also be captured in Datalake user account for internal users.
3.1.4 Datalake access will also be linked with DSC in future to ensure it is used by authentic users
only.
3.1.5 For other users, like Advisor and Guest, a separate form shall be filled up & submitted to
data lake helpdesk.
3.2 User account closure/discontinuation [Automatic]

3.2.1 For NHAI Officials: Automatic [If a user did not login for more than 30 days any time].
3.2.2 For external stakeholders:
3.2.2.1 DPR Consultant:
a. If the user did not login for more than 15 days in a single time stretch.
b. 180 days w.e.f. issue of LOA to civil work contractor on the project.
3.2.2.2 Civil Contractor/Concessionaire and AE/IE:
a. If user did not login for more than 7 days in a single time stretch.
b. 90 days w.e.f. project Terminated/Deactivated/Completed & Agency Demobilized.
4. Reactivation of dormant user account: The user shall raise the request to PMS Helpdesk
through GM-Hq of concerned division.
858
Section: 6.2. Procurement
Sub Subject
section
I. Norms for purchase of computer hardware

and peripherals at NHAI Field Offices
II. Norms for issuance/providing of printers to the

officers at NHAI headquarters
859
I: Norms for purchase of computer hardware and peripherals at NHAI Field

Offices
[See NHAI Policy Circulars 6.27/2021 dated 11th October, 2021, 11041/217/2007-Admn. Dated
14.07.2009 and 6.2/2021 dated 11th April, 2007]
Please refer Policy Circular No.11041/217/2007-Admn. dated 14.07.2009 regarding norms for
purchase of computer hardware and peripherals at PIUs.
2. The revised norms for purchase of Computer Hardware and peripherals at NHAI Field
Offices are as under :-
Present Norms (53/2009) New Norms

Desktop One Desktop Computer may be One Desktop Computer may be provided
Computer provided to each employee working to each employee working ROs/ PIU/
PIUs (not the social worker or CMU. Any Official engaged by NHAI on
consultant or contractor contract basis as Advisor, Jt. Advisor,
employee). Asst. Advisor, Young Professionals
(YPs)/ Site Engineer will be entitled for
Desktop Computer. But, this facility is not
entitled for social worker or Consultant or
Contractor employee.
Printer One stand-alone laser printer may One colour multi-function laser printer
be provided to PD, each Manager/ may be provided to Regional Officer or
Sr. AO/ AO and thereafter one Project Director. In addition, one black
stand-alone laser printer may be and white (B&W) multi-function laser
provided per two employees. printer may be provided to each GM/
DGM/ Manager/ Head F&A Unit posted in
RO or PIU or CMU office and thereafter
one stand-alone laser printer may be
provided per two employees.
LAN & UPS In order to share the files and RO or PIU or CMU Office may establish
peripherals like printer etc., PIU Local Area Network in order to share the
may establish Local Area Network files and peripherals like printers, etc.
by using one computer as server. However, for this no additional computer
However, for this no additional shall be provided and one of the existing
computer shall be provided. One computer can act as server. Peripherals
computer may be used as desktop like UPS, etc. may be provided as per the
computer in addition to act as computers installed.
server. Peripherals like UPS, etc.
may be provided as per the
computers installed.
IP Phone and VC -- Each RO or PIU or CMU office is entitled
to have an IP Phone and Video
860
Present Norms (53/2009) New Norms

Conferencing equipment and Display unit
to connect with NHAI HQs.
Softwares -- ROs/ PDs should mandatorily use
licensed version of Operating System,
Ms Office and Anti-Virus software’s for
each Desktop. The License of these
software should be in the name of NHAI.
3. The officials posted in ROs/ PIUs are requested to extensively make use of official laptops
purchased as per their entitlements.
4. Delegation of Power: - The procurement the Computer Hardware and peripherals at ROs/
PIUs/ CMUs office(s) will be carried out with the approval of respective RO and PDs. The purchase
of any IT equipment which are not mentioned above shall only be allowed with specific approval
of IT Division at NHAI HQs. The proposal for such IT equipment should be submitted along with
justification.
5. Technical Specifications: - IT division will provide technical specifications of computer

hardware and peripherals once in a year. The technical specification of Desktop, Color Multi-
Function Laser Printer, B&W Multi-Function Laser Printer and stand-alone laser printer is enclosed
at Annexure-I of Policy Circulars 6.27/2021 dated 11th October, 2021. The estimated cost (as per
Delhi pricing) for each desktop is Rs. 80,000/-, Color Multi-Function Laser Printer is Rs. 80,000/-,
B&W Multi-Function Laser Printer is Rs. 45,000/- and stand-alone laser printer is Rs. 15,000/-.
6. The procurement the above Computer Hardware and peripherals shall be made through
Government e-Market place (www.gem.gov.in) portal after following the laid down procurement
procedures and guidelines for public procurement. The warranty, AMC/ maintenance and upkeep
of the computer hardware and peripherals is to be managed and maintained at field office level.
7. Stock Entry and Auctioning of the computer hardware and peripherals :-
a. ROs/ PIUs/ CMUs will have to maintain the stock register for IT assets purchased by them.
They will also enter the records of existing and new computer hardware and peripherals on
the online asset management software link of which will be shared by IT division.
b. The old/ unserviceable IT equipment’s, after minimum period of five (5) years, shall be
online using MSTC platform or disposed-off through open tendering process. However,
before weeding-out, the market value of old IT equipment(s) shall have to be assessed
through a Government appointed evaluator and after following laid down disposal process.
The stock register both at field office and HQs level needs to be updated.
8. Replacement of old and obsolete IT Assets: - Replacement of Desktop, Printer and other
IT equipment’s will be allowed only after a minimum period of five (5) years.
9. This issues in suppression of earlier circulars issued by Administration / IT Divisions on the

subject and is effective with immediate effect.
861
II : Norms for issuance/providing of printers to the officers at NHAI

headquarters
[See NHAI Policy Circulars 6.4/2021 dated 14th July 2019]
In order to streamline the system for issuance I providing printers to the

officers at Headquarters, it has been decided with the approval of the Competent Authority
that such facilities shall be granted to the officers at Headquarters as under :-
Designation Of Officers Printer Facility

S. No.
(i) Chairman, Members, CGMs and Multi-Functional Colour Printers (MFP)
GMs where no CGM is posted with facility to Scan, Fax and Print.
(ii) Personal staff of Chairman, Laser Printers
Members, CGMs, GMs and DGMs
(iii) GMs, DGMs, Managers Laser Printers
(iv) All the officers Network Printers installed at each floors or

share the printers with concerned
Managers
Note : The above norms will be applicable for fresh purchase of printers at NHAI HQs and
the existing printers will continue to be issued to the officers allotted presently.
2. Any relaxation on the above norms shall be provided only with the specific approval
of Member (Admn.) on case to case basis for which the user may forward their request through
their respective CGMs to IT division for seeking approval of Member (Admn.).
862
Section: 6.3. E-Tendering
Sub Subject
section
I. Implementation of e-Tendering in NHAI

863
I: Implementation of e-Tendering in NHAI
[See NHAI Policy Circulars 6.7/2021 dated 24th April, 2012, NHAI/13012/06/2011 Dated
10/10/2011, NHAI/IT/e-procurement/2017 Dated 20/03/2017 and 13012/06/2019/IT/85 Dated
29/04/2019]
e-Tendering is a well-established procurement procedure which is also recognized by

Central Vigilance Commission (CVC) and Information Technology Act, 2000. In this regard, CVC
has issued several guidelines from time to time. NHAI took a policy decision that all tenders floated
by it will be through only e-Tendering process and its implementation started from July 2011. To
familiarize with e-Tendering process, NHAI has continuously conducting several hands-on-training
programs for its Officers, Bidders/ Vendors and a helpdesk with telephonic support has been set
up at NHAI Headquarters. Training at NHAI’s Regional Offices and PIU’s is also being organized.
2. Presently the e-procurement portal developed by National Informatics Centre (NIC) is in

use for all tendering processes of NHAI w.e.f. 01.04.20217.
3. New e-Procurement Portal is accessible from Central Public Procurement Portal (CPPP)
i.e. http;//eprocure.gov.in. The users can get 24X7 Helpdesk support on 0120-4200462, 0120-
4001002 and email support-eproc@nic.in. Besides, NHAI support team is available at HQ tel. :
25074100/4200 Extn. 1332, Email ID: etenderhelpdesk@nhai.org.
4. Schedule timings as prescribed by NIC excluding holidays (All Sundays) for hosting tenders
in CPPP are given below :-
Critical Timings
Tender Published * From 9:00 AM to 6:45 PM
Document Download/ Sale From 9:05 AM to 6:50 PM
Bid Submission From 9:10 AM to 6:55 PM
*Tender published after scheduled time mentioned above will be available on next working day as
per above mentioned time.
5. Support staff at e-Tendering Help Desk shall be available on all weekdays (Monday to
Friday) in two (02) shift i.e. i) from 09:00 AM till 06:00 PM & ii) from 11:00 AM till 8:00 except on
gazette holidays. Support staff (two no) will be available on Saturday from 10 AM to 6 PM. Support
services will also be available beyond scheduled timings and holidays on specific request in one
day advance from concerned GMs/ PDs/ ROs.
6. Competent Authority in NHAI has decided that the following clause, given below in italics,
shall be inserted in Notices Inviting Tender.
864
“The authorized signatory holding Power of Attorney shall only be the Digital Signatory. In
case authorized signatory holding Power of Attorney and Digital Signatory are not the
same, the bid shall be considered non-responsive.”
7. Procurement of Digital Signature Certificate (DSC)- Now, all officials of NHAI both HQ and
Field offices may procure their DSCs from any certifying agencies of their choice and claim the re-
imbursements as per the capping cost given below :-
Description Class-III (validity 1 Class-III (validity 2

year) in Rs year) in Rs
Token Cost (NICSI rate ) Rs. 528 Rs. 528
Digital Signature Certificate(DSC)- Rs. 760 Rs.1013
Signing & Encryption (NICSI rate )
Taxes Extra, as applicable Extra, as applicable
Local travel reimbursement Rs. 1000 Rs. 1000
Total Rs. 2288/- + Tax Rs. 2541 + Tax
8. It is noticed that many times NHAI officials does not complete the tendering cycle and not
upload the Finance Evaluation & LoA in the e-Tendering Portal. It has been decided that all NHAI
officials (Technical Divisions, ROs, PDs & officers at NHAI-HQ) must complete the tender cycle
and upload the Financial Evaluation & LoA after opening the financial bids.
865
Section: 6.4. Miscellaneous
Sub Subject
section
I. Use of Bill Tracking System (BTS) and

Application Tracking System (ATS) across all
units of NHAI
II. Digitization of clearance given by NHAI for

Fuel Stations, Private Properties, Optical
Fibre cables, Gas Pipelines, Water Pipelines,
Sewer Lines, over-head High Tension/Electric
Lines, etc. along National Highway
III. MoRT&H website - steps taken for effective

handling and monitoring of queries
IV. Vehicle Tracking System (VTS) with facility of

Global Positioning System (GPS) to track
ambulance/road patrol vehicles
866
I : Use of Bill Tracking System (BTS) and Application Trac king System (ATS)
across all units of NHAI
[See NHAI Policy Circulars 6.14/2021 dated 08th September, 2014 and 6.12/2021 dated
05th September, 2013]
In the first phase BTS/ATS was implemented in NHAI HQ (Pol circular No. Administration/Finance
122/2013 dated 05.09.2013). In the second phase, it has been decided to extend the use of this
application to the field offices of NHAI (All ROs, PIUs, an CMUs). This will enable all the Vendors/
Suppliers/ Contractors/ Concessionaires dealing with NHAI to track the movement of their
respective bills/ applications in NHAI offices from the point of receipt till the time it is paid/
approved/disposed-off. Thus Vendor/Suppliers/Contractor/Concessionaire, apart from viewing
the processing time and disposal of their respective bill/ application online, will also be able to see
the amount of payment released to him.
2. In view of above, use of BTS/ATS across all units of NHAI has been made mandatory with
effect from 15/09/2014. All Bills/ Applications submitted to NHAI offices after 31/8/2014 must
therefore have a system generated BTS/ ATS tracking no. (to be generated by the Vendor/
Supplier/ Contractor/ Concessionaire) and a system generated acknowledgement of receipt to be
generated at the point of receipt in NHAI offices. No bill/ application shall be received without
fulfilling these two conditions. This applies to all field units, ROs as well as NHAI HQ. All users
(Vendors/ Suppliers/ Contractors/ Concessionaires and officers/ employees of NHAI) are there
for requested to use BTS/ ATS application on mandatory basis.
i) NHAI Users at ROs/PIUs/CMUs-

Submission of user detail to service provider-All offices of NHAI are required to
submit the details of officers/ employees in the following format to the service provider
through mail so that their respective user IDS are created:-
Format for information-
Name of Unit-
Sl No. Name Designation Department Nature of Mob. No. &
Technical/ appointment email ID
Finance/ Regular/
Others Deputation/ Long
term contract
Once user ID is created, user can login to the application through the link
“Bill/ Application Tracking System (BTS/ATS)” available on the NHAI

website www.nhai.org (Home page). Detailed power point presentation, User’s Manual
and related circulars are available at this link for the benefit of users. In case any help is
required user can contract IT Development Team at 25074100 (Ext. : 1028) or
at itdevelopment@nhai.org
867
ii) Vendors/ Suppliers/ Contractors/ Concessionaires dealing with NHAI- All

vendors/ Suppliers/ Contractors/ Concessionaires dealing with NHAI (HO/ ROs/ PIUs/
CMUs) should get their respective user IDs created free of cost using the link mentioned
above. This will enable them to view online movement/progress of the bill/ application
submitted by them to NHAI (HO/ ROs/ PIUs/ CMUs) till the time it is finally disposed of
through payment/approval.
To use this facility the contractors/ Concessionaire/ Consultants/ firms (Legal, Ad agency,
Vehicle etc.)/ vendors has to register online. On registration the user ID and password will
be sent to them at the e-mail address provided by them. Post registration, the firms can
submit the details of bills/ applications online and can view the movement of bill/application
in HAI culminating into a payment/ approval. Vendor/ application are not required to upload
the bills/applications online, they simply have to furnish/ bill application details online,
generate BTS/ ATS ID, take a print out, attached the same with bill/application and submit
it physically at the receipt counter of NHAI offices. A desktop computer along with Network
connectivity has been installed at receipt counter, NHAI Ground floor, wherein contractors/
concessionaire/firms/vendors can submit their bills/ invoices applications and obtain receipt.
Similarly bills and applications pertaining to PIU and RO can be submitted at respective
offices along with BTS/ATS print out by the contractors/concessionaire/consultants/firms
(Legal, Ad agency, vehicle etc.). Detail process is given in the User’s Manual for vendor
which is available at aforesaid link. On physical submission of bill application at NHAI a
system generated acknowledgement will be issued to the vendor/ applicant.
All the divisions of HQ and ROs/PIUs/CMUs are requested to ask contractors/

concessionaire/consultants/firms (Legal, Ad agency, Vehicle etc.)/ vendors associated with
them to submit their bills/ invoices/ applications for access (petrol pump, factory etc.) using
this online software so that they can view the progress/movement of the bill/application
online.
In case of difficulty they can contract respective PIU/CMU/RO/HO.
iii) NHAI users at HQ-NHAI official associated with the bill/application can directly login
to the BTS/ATS system with the help of their respective password (already generated) and
view/reject/forward the bill/application along with its physical movement across the
officer/divisions. Apart from User’s Manual and Power point presentation circulars issued
so far on the matter are available at the website of NHAI, which can be viewed/downloaded
for reference. Existing users at HQ must note the following-
a. Vendors should invariably be asked to generate a BTS/ATS ID using their own user ID
and submit their bills/application at the front desk of NHAI and get a printed
acknowledgement of receipt. Submission of bill at any place other then and front desk
must be avoided.
b. Users should also note that while sending bill from one officer/employee to other
electronic movement of the same must al so be ensured.
c. HQ user should check their profile in the system and update it.
d. At the point of payment multiple bills of similar nature of same vendors can be clubbed for
payment.
868
e. BTS/ATS can also be linked to FTS (File Tracking System). Once it is linked with FTs,
forwarding of either BTS or FTS will ensure forwarding of the document tin both the
modes.
3. All users should change their password on first login and keep on reviewing and updating
their profile. In case of any doubt/query their service provider can be contracted through phone
or e-mail at contract IT Development Team at 25074100 (Ext. : 1028) or
at itdevelopment@nhai.org through mail.
4. All users to note that use of this facility w.e.f. 15.09.2014 is mandatory in respect of all the
bills and applications processed by any of the officers (PIUs/CMUs/ROs/HQ) of NHAI. Non-use of
this facility will be viewed seriously and appropriate action will be taken against defaulting
officer/employees.
869
II : Digitization of clearance given by NHAI for Fuel Stations, Private

Properties, Optical Fibre cables, Gas Pipelines, Water Pipelines, Sewer Lines,
over-head High Tension/Electric Lines, etc. along National Highway
[See NHAI Policy Circulars 6.17/2021 dated 06th February, 2015]
Government of India vide its communication No. 521/3//2012-Cab.III(PMG) dated

02.09.2014 had decided to digitize the process of clearance relating to various sectors and provide
on-line facility to the applicants seeking clearance from the various Government Organizations/
Ministries. For NHAI, during the deliberations held in the Cabinet Secretariat, the items of
clearance have been approved as mentioned in the above subject.
2. Whenever an applicant makes an application to NHAI for seeking on above clearances.

She/he will obtain a unique link ID for its application through internet by going to NHAI Homepage
where there is hyperlink available “Application Tracking System”. By clicking this hyperlink, the
user will be directed to a separate page where she/he will be required to give some basic
information and once that is given, the tracking ID will be generated. The applicant can submit its
application with (in a prescribed format) to any of the NHAI’s offices (Project Implementation Unit
(PIU)/Regional Office/HQ) The check list of the documents to be submitted and specific timelines
for processing of the application at different levels is also available on the Application Tracking
System page. Once the application has been received in NHAI office, its movement will be tracked
through the unique ID till the final decision is made on the application at various stages/offices of
NHAI/ MoRT&H (as the case may be).
3. When an application moves from one office to another, NHAI officials will update the
statues on the Application Tracking System which can be seen by applicant and any other
authorized user, for updating the Status, NHAI officials will use their unique ID. In order to
generate the said unique ID, all officers are required to furnish their brief particulars such as
Name, Designation, Department (Tech/Fin/other), Mobile No. & e-mail ID on all working days
from 10.00 am to 5.00 pm. The Helpdesk can be reached at IT Development Team at 25074100
(Ext. : 1028) or at itdevelopment@nhai.org
4. The above system will be available for use from 05.01.2015 on trial version and full fledge
manner from 31.01.2015 onwards.
870
III : MoRT&H website - steps taken for effective handling and monitoring of
queries
[See NHAI Policy Circulars 6.11/2021 dated 21th August, 2013]
Various contents are posted on the Ministry's website (www.morth.nic.in) to share with
public and the visitors of the website are facilitated to communicate with the Ministry via 'feedback’
and 'Contact us' pages on the website. Ministry of Communication and Information Technology
has Issued guidelines for making Indian Government Websites citizen centric and visitor friendly
by Providing anytime anywhere delivery of government information and services, and these have
been Included in the Central Secretariat Manual of Office Procedures (CSMOP). The visitors of
the Website are sending their queries on to the e-mail account of Web Information Manager
(wim.rth@nic.in)
2. With the approval of the Competent Authority, for speedy, effective handling and Monitoring
of queries of the visitors on the website, following steps have been taken.
(i) Nodal Officers :

Chief Engineers/ Directors or Deputy Secretaries / Advisor (Transport Research Wing), of
The Ministry, are designated as Nodal officers for furnishing the response to the queries.
The Indian Roads Congress (IRC), Indian Academy of Highways Engineers (IAHE), NHAI
and the Border Roads Organization shall designate a Nodal officer for disposal of queries.
(ii) Query Response Mechanism :
a. All the communications shall be made through e-mails only.
(b) The Web Information Manager shall scrutinize the queries, generate unique
no. and forward the queries to the e-mail account of the concerned Nodal officers
of the Ministry by next working day from the date, the query is forwarded in his/her
mail. In case the information to respond the query is required from RO's / ELO's/
NHAI/BRO etc., Ministry's Nodal officer shall forward the query to their e-mail
account of the concerned officers for furnishing the reply directly to enquirer.
All the Nodal officers and Regional Officers (RO’s) / Engineering Liaison Officers
(ELO’s) shall forward the response to queries within three working days from the
date, the query is forwarded to their e-mail account. In case there is delay, they will
furnish an interim reply intimating the time by which the reply may be furnished.
(c) The officer, who is forwarding the query to the next concerned officer, shall
intimate the message to the enquirer in the following format and shall also sent copy
of the mail (via cc) to all those who have already communicated for response to
query.
Copy to : Name of the enquirer

871
"The query is being forwarded to Name of the officer ( ......), Designation (.....),
Organisation (.....), Tel No. / Mobile No. (.......), e-mail id (...........)"
A flow chart describing query response mechanism for responding to the queries
has been attached at Annexure-I of the Policy Circulars 6.11/2021 dated
21th August, 2013.
(iii) Monitoring and analysis of queries :

The queries shall be regularly monitored by JS (Highways & IT). Web Information Manager
shall submit weekly status of the queries to the Secretary (RT&H) and monthly report of
the same to the Hon'ble Minister. Web Information Manager shall also analyze the queries
to identify weak areas/ repetitive issues and intimate the Zones/ Divisions to implement
systematic changes to reduce such queries.
3. The Secretary General IRC, Director IAHE, Chairman NHAI and the Director General
Border Roads Organization are requested to designate a Nodal officer for furnishing the queries
and may intimate his / her Name, designation, Contact no. and e-mail address at the earliest.
4. All the Nodal officers are requested to access their official e-mail account regularly and
send the response to the queries of the visitors of the website within stipulated timeframe.
872
IV : Vehicle Tracking System (VTS) with facility of Global Positioning System

(GPS) to track ambulance/road patrol vehicles
[See NHAI Policy Circulars 6.15/2021 dated 14th July, 2014]
Concession Agreements prescribe that the Concessionaire is required to provide round the clock
Ambulance service for road accident victims and in addition provide Route Patrol Vehicles, Tow-
Away Cranes for incident management on Project Highway. To ensure effective implementation
of this provision, a comprehensive Web Based mechanism has been developed. This enables not
only the Concessionaire to locate and monitor its own vehicles but also enables other stakeholder
to monitor deployment and usage of such vehicles such as by the PIUs/ CMUs/ ROs and
designated officers of NHAI Hqs. Installation of this system is now at an advance stage across all
PIUs based on the input received from the concerned ROs.
2. It has been decided by the Competent Authority that henceforth all the Ambulances, Route
Patrol Vehicles and Tow-Away Cranes deployed by the Concessionaires under BOT and OMT
contracts shall be installed with this Vehicle Tracking System (VTS) with Global Positioning as per
the contracted rates (Annex-A of the Policy Circulars 6.15/2021 dated 14th July, 2014), following
will be the alternatives in this regard for the existing Concession Agreements:
(i) Where the Concessionaire has not installed GPS devices in their vehicles
(Ambulances, Route Patrol Vehicles and Tow Away Cranes) – The service provider
employed by NHAI (M/s. KPIT Technologies Ltd) can be directed to install GPS devices in
all such vehicles and charge appropriate rate as approved by NHAI.
(ii) Where the Concessionaire has already installed GPS devices in their vehicles
(Ambulances, route Patrol Vehicles and Tow Away Cranes), the Concessionaire will be
asked to integrate the GPS devices installed in their vehicles in consultation with the service
provider employed by NHAI.
(iii) Where the Concessionaire has already installed GPS devices in their vehicles
(Ambulances, Route Patrol Vehicles and Two Away Cranes), however, it is not technically
possible to integrate those devices with the Vehicle Tracking System got developed by
NHAI, the Concessionaire will be asked to replace the GPS devices installed in their
vehicles with the help of the service provider employed by NHAI.
3. For BOT & OMT Concession Agreements, it shall be the duty and the responsibility of the
concerned Project Director to ensure that all such vehicles are fitted with VTS system with GPS
facility and utilization of such vehicles shall be monitored by the respective project Directors on the
VTS portal with respect to following aspects :
a. Number of vehicles made available by concessionaire against each contract/project

stretch vis-à-vis no. of vehicles tracked through the vehicle tracking system of NHAI
during the reporting month.
b. Vehicle wise usage (km.) during the reporting month.
873
c. Vehicle wise stoppage time during the reporting month.

d. Vehicle wise Geofence violation report.
e. Any other attribute which concerned PDs/ROs/ may like to add on case to case basis.
4. A monthly report in the format as per Annex-B of the Policy Circulars 6.15/2021 dated
th
14 July, 2014 shall be sent to the concerned RO who in turn shall examine the report, direct PD
for issuing notices to the Concessionaire, if required, under information to HAM division for further
action.
5. To avoid complexity in release of payment to the agency (M/s. KPIT Technologies Ltd.) the
bills shall be received by HAM Division at NHAI Hq. on quarterly basis and processed by HAM
Division based on the reports at para 4 above. A copy of the payment advice shall also sent by
HAM division to the concerned Regional Office for recovering the specified amounts from the
respective Concessionaire.
874
Section: 6.5. E-Office
Sub Subject
section
I. Implementation of e-Office in NHAI

875
I : Implementation of e-Office in NHAI
The e-office System has been implemented in NHAI in May 2019 and e-Office help desk
has also been deployed. Presently, the e-Office application is deployed in servers hosted at NIC,
Bhubaneswar (NDC-BBSR).
2. It has been directed by the Competent Authority that all the divisions in NHAI must use e-
office application as a default mode.
3. For the convenience of the users, steps of e-office use are highlighted again :-
(a) Please use the following url to go to e-office site. This can be reached
through NHAI website also.
(b) This will land up to e-office login page. Please use your NHAI e-mail as
login Id and password is same as NHAI email password.
e-office Login Id : characters prefixed before@nhai.org
(e.g. abc@nhai.org, the Login Id will be “abc” for this User.
Password: NHAI mail password.
(c) This will take to e-Office main services page and file management system,
thereafter it is simple and self-explanatory.
4. Since the requirement of DSC is mandatory for using e-office, all Officers from Asst.
Manager and above shall get their DSC procured through agencies as per the Circular No.
13012/06/2019/IT/85 dated 29.04.2019.
5. It was emphasized that all new files should be created in e-office Platform and use of Digital
Signature/ e-sign is mandatory in e-office.
6. It has been noticed that while submitting file in e-Office, primarily the correspondence
papers which inter-alia includes Tender Documents, Letters, DFA etc. are supposed to be
uploaded on the correspondence side. However, it has been noticed that these documents are
being uploaded on the noting portion which makes the noting portion very bulky, clutter and
confusing. It is therefore advised to adhere to the enclosed steps while uploading correspondence
papers/ Tender Documents/ DFA etc. It may please be noted that DFA number should explicitly
be mentioned in the note portion while seeking approval of the DFA.
876
Section: 6.6. ERP Implementation
Sub Subject
section
I. ERP – HR (ESS/MSS) Module

877
I : ERP – HR (ESS/MSS) Module
As a part of ERP implementation in NHAI, SAP HR module of Employee Self Service (ESS)
& Manager Self Service (MSS) for sanction of Leave, Travel & Reimbursements (for approval only)
is live for NHAI RO & PIU employees.
2. The implementation of this SAP HR module is with the objective to make NHAI employees
accustomed to the new online SAP system. Hence, it is requested to use this online SAP module
to avail the services of Leave, Travel & Reimbursements for approval purpose. It will be mandatory
for all NHAI employees to use the online ERP SAP HR module for the Leave, Travel &
Reimbursements approvals with effect from 01st January 2019.
878
Section: 6.7. Cyber Security
Sub Subject
section
I. NHAI’s Cyber Security Policy 2021-22 and

Best Practices
II. IT policy in NHAI- DO's and Don'ts
III. E-mail policy in NHAI
IV. Appendixes
V. Annexures
879
I : NHAI’s Cyber Security Policy 2021-22 and Best Practices
[See Circulars No. NHAI/IT/Cyber Security/01/5 dated 08.02.2021, 11.06.2021, 24.09.2021 and
NHAI/IT/Cyber Security/01/7 (Comp No 59799) dated 11.01.2022]
IT Division vide NHAI/IT/Cyber Security/01/5 dated 08.02.2021 circulated the copy of NHAI
Cyber Security Policy 2021-22 duly approved by the Competent Authority. Three new policies has
been incorporated in the existing NHAI Cyber Security policy document. They are (i) Internet
Service provider policy, (ii) Backup policy, (iii) Information Security Policy.
2. In a recent communication dated 20th December 2021, NIC has reiterated to implement
“Emergency Security Alert: Security Precautions to be undertaken for Safeguarding Govt.
Websites and ICT Infrastructure”. Copy of Emergency Security Alert is enclosed.
3. MoRTH vide Office Memorandum dated 23rd December 2021 has forwarded a copy of
booklet titled “Cyber Security Best Practices”, which is a useful document for sensitizing officials
on Cyber Security for needful action. Copy of Cyber Security Best Practices is enclosed.
4. All are requested to strictly follow the Preventive Measures mentioned in the Revised Cyber
Security Policy, Cyber Security Best Practices and Emergency Security Alert, without exception
and in case of any suspicious activities/ email, please contact IT team at Ex. 1310 or e-mail
at cybersecurity@nhai.org .
880
II : IT policy in NHAI- DO's and Don'ts
[See NHAI Policy Circulars 6.13/2021 dated 26th November, 2013 and 6.9/2021 dated
28th January, 2013]
As per circular dated 28th January 2013, all the users are advised to change their
passwords frequently to enable the security of the IT system and prevent any unauthorized
intrusion activity. However, recent information received from CERT-IN has highlighted IT Security
breaches by one of the computer.
2. It has been observed that some users are still having blank passwords or have not changed
password of their respective e-mail accounts. Hence, it is once again reiterated that to avoid such
repetition, the following steps needs to be ensured by ail the users :-
DO’s :
 Password must be changed on regular intervals.

 Use of external mass storage device like USB drives should be limited. Users should
scan the USB pen drives or hard disk for viruses before use.
 Please ensure that the official mail id is not used to register on any unwanted websites
 Internet should be used strictly for official purpose only.
 Lock or log out or shut-down your computer systems and peripherals after you have
finished work /before leaving for the day.
 Do scan all email attachments for viruses before opening them.
 Only give your email address to people you know.
Don'ts :-
 Don't access material that could offend others.

 Don't let anyone else use any of your accounts or share your password with anyone.
 Don't download videos, music or anything else that's copyrighted by other people
 Don't install unlicensed or malicious software.
 Don't open emails from unknown/ suspicious sources
 Don't use illegal / pirated software and programs
 Don't download data from doubtful sources.
 Don't visit untrustworthy sites out of curiosity, or access the URLs provided in those
websites
 Don't download programs without permission of the copyright owner or licensee.
3. In case of any assistance feel free to contact IT Helpdesk at Extension no. 1310 or Team
Leader at 1210
4. All officers/ staff are requested to comply with above.

881
III : E-mail policy in NHAI
[See NHAI Policy Circulars 6.3/2021 dated 04th June, 2007]
In order to ensure effective utilization of e-mail facility and streamline IT Infrastructure, the
following has been decided :-
i. It was observed that many users are using internal e-mail for sharing general
information, humour, entertainment etc. which is adding to server load and flooding e-mail
accounts of other users. It also leads to other users getting plenty of unsolicited e-mails. It
was considered that there is a need to discourage such unsolicited e-mails of general
nature being circulated by one and all. All the users should therefore be sensitized to avoid
sending general entertainment / education e-malls, as it leads to flooding of e-mails.
ii. Users also need to periodically check their e-mail at least once a week and delete
the mails which are not required.
iii. The system administrator will delete all e-mails older than 3 months unless
specifically informed.
iv. Sending mail to "All Users" option will be withdrawn with immediate effect from all
users below the level of DGM. However, it will be provided to those users who disseminate
official information such as pay slips, circulars and other important information. All PSs/
PAs attached to CGM and Members of the Authority will also be provided this option to
send e-mail to all users. Officers, whose staff have the option to send e-mail to all users
will ensure that "All Users" option is used for disseminating only official information.
v. All officers and staff members having option for sending mail to "All Users" should
be advised to use this option only for official correspondence.
vi. Various Project Committees in NHAI should avail the e-mail facility for circulating
draft minutes or proceedings or meeting notices.
882
IV: Appendix I
List of existing Policy Circulars issued by NHAI up to 31/03/2022
S. Circular Policy No. Particulars

No Sr. No.
1 6.27 Policy Circular No. 6.27/2021 dated Norms for purchase of computer
11th October, 2021 hardware and peripherals at NHAI
Field Offices - reg.
2 6.26 Policy Guidelines No. 6.26/2021 Dated Communication of Project related
11th January, 2021 correspondences between BOT (Toll)
Concessionaires, IEs and NHAI
through Project Management
Software and Data Lake Portal.
3 6.25 Policy Guidelines No. 6.25/2021 Dated Updation of Project specific
30h December 2020 information on Project Management
Software/Data Lake Portal by AE/IE.
4 6.24 Policy Guidelines No. 6.24/2020 Dated Communication of Project related
3rd November 2020 correspondences between
Concessionaires/Contractors, AEs/
IEs and NHAI through Project
Management Software and Data Lake
Portal.
5 6.23 Policy Guidelines No. 6.23/2020 Dated Submission of bills related to project
th
15 September 2020 payments of NHAI through Project
Management System (PMS/ Data
Lake) Portal.
6 6.20 Policy Guidelines No. 6.20/2019 Dated Mandatory use of Unique Project
th
26 June 2019 Code (UPC) on all files/ EC Agenda
Items/ proposals/ correspondence
within NHAI.
7 6.15 Policy Matters No. 11041/218/2007- Vehicle Tracking System (VTS) with
Admin dated 14.07.2014 facility of Global Positioning System
(GPS) to track ambulance/road patrol
vehicles.
8 6.14 Policy Matters No. 11041/217/2007- Use of Bill Tracking System (BTS) and
Admin dated 08.09.2014 Application Tracking System (ATS)
across all units of NHAI.
9 6.13 Circular No. 11013/97/2012/IT/121 dated IT policy in NHAI- DO's and Don'ts
26th November 2o13
10 6.12 Policy Matters Ref. No. 11041/217/2007- Operation of Bill Tracking System
Admin dated 05.09.2013 (BTS) and Application Tracking
System (ATS) at NHAI offices.
883
S. Circular Policy No. Particulars

No Sr. No.
11 6.11 Circular No. I- MoRT&H website- steps taken for
34016/03/2013-IT dated 21st August 2013 effective handling and monitoring of
queries
12 6.9 Circular IT policy in NHAI- DO's and Don'ts
No. 11013/97/2017/IT
dated 28th January 2013
13 6.8 Policy Matters Ref. No. 11041/217/2007- Moderation of
th
Admin dated 13 June, 2012 comments/remarks/opinions made by
users on NHAI Facebook
14 6.7 Policy Matters Ref. No. Insertion of clause regarding Digital
NHAI/11013/DGM (LA/Coord)/2012 dated Signatory in Notice Inviting Tender
24.04.2012 Document.
15 6.5 Policy Matters Ref. No. 11041/217/2007- Norms for purchase of computer
Admin dated 14.07.2009 hardware and peripherals at PIUs.
16 6.4 Policy Matters Ref. No. 11041/217/2007- Norms for issuance/providing of
Admin dated 14.07.2009 printers to the officers at NHAI
headquarters
17 6.3 Circular E-mail policy in NHAI
No. 11041/12/2005-
Admin dated 4th June, 2007
18 6.2 Policy Circular No. Procurement of computer hardware
th
11041/217/2007/Admin dated 11 April and peripherals by the Project
2007 Implementation Unit
884
V: Annexures to Master Circular
Description of Annexure as per Referred in Chapter

Annexure
Annexure Master Circular
Annexure-1 Relevant clauses of Annexure-A of Data Lake, Chapter 1 Communication of
the RFP for EPC / Policy Circular No. Project related
HAM projects and 6.26/2021 dated correspondences
AE/IE/DPR 11.01.2021 between BOT (Toll)
Consultants stand Concessionaires,
modified / Construction
incorporated Agencies, AEs, IEs
Annexure-2 Relevant clauses of Annexure-B of and NHAI through
the RFP for BOT Policy Circular No. Project
(Toll) projects stand 6.26/2021 dated Management
modified, for all 11.01.2021 Software and Data
future projects Lake Portal.
Annexure-3 Technical Annexure-I Procurement, Chapter 1 Norms for purchase
specification of of Policy Circulars of computer
Desktop, Color 6.27/2021 dated hardware and
th
Multi-Function 11 October, 2021 peripherals at NHAI
Laser Printer, B&W Field
Multi-Function
Laser Printer and
stand-alone laser
printer
Annexure-4 A flow chart Annexure-I of Miscellaneous, Chapter 3 MoRT&H website -
describing query the Policy Circulars steps taken for
response 6.11/2021 dated effective handling
th
mechanism for 21 August, 2013 and monitoring of
responding to the queries
queries
Annexure-5 Contracted rates for Annex-A of Miscellaneous, Vehicle Tracking
Vehicle Tracking the Policy Circulars Chapter 5 System (VTS) with
System (VTS) with 6.15/2021 dated facility of Global
Global Positioning 14th July, 2014 Positioning System
installation (GPS) to track
Annexure-6 A monthly report in Annex-B of ambulance/road
the format the Policy Circulars patrol vehicles
6.15/2021 dated
14th July, 2014
885
Chapter: 7. Pre-Construction
Section: 7.1. Land Acquisition
Sub Subject
section
I. Manual of Guidelines issued by MoRT&H
II. Approval of LA Plan for NH Projects: Land Acquisition

Committee
III. Value Capture Finance (VCF) in NH development
IV. Process of Land Acquisition in NHAI as per NH Act 1956
V. Procedure for Transfer of Defence Land
VI. Acquisition of missing plots from bulk acquisition through

mutual consent
VII. Return of unutilized land
VIII. Arbitrations and Court Cases
IX Capacity building and adequate infrastructure at PIU/RO

level and support toCALA/Arbitrators
X Delegation of powers
XI Settlement of Arbitral Awards/Court orders on

compensation for Land Acquisition
XII Legal Instructions related to Land Acquisition cases

886
7.1: Land Acquisition for National Highway Projects
One of the foremost requirements for development of highways is handing over

encumbrance free land to the Contractor/Concessionaire. Handing over encumbrance free land
includes various pre-construction activities such as land acquisition, environmental clearances,
utility shifting etc. In supersession of all earlier guidelines on the subject given at Annexure I, the
Policy Guidelines as detailed below in succeeding paras shall be followed for the Pre-Construction
activities.
I: Ministry of Road Transport & Highways (MoRTH) has published a Manual of

Guidelines for all concerned, be it the DPR Consultants, the officers of MoRTH and its project
implementing agencies (NHAI, NHIDCL, BRO and the State PWDs) or the Competent Authorities
appointed as such for undertaking the Land Acquisition for NH projects. These guidelines have to
be followed for land acquisition by NHAI. The Manual of Guidelines can be accessed
at https://morth.nic.in/sites/default/files/A_Manual_of_Guidelines_on_Land_Acquisition_for_Nati
onal_Highways_File3449.pdf.
Besides, there are specific issues to NHAI on which policy guidelines have been issued. Now in
supersession of all earlier policy guidelines/circulars/instructions, the guidelines as detailed below
shall be followed:
II : Approval of LA Plan for NH Projects: Land Acquisition Committee (LAC):
The Land Acquisition Plan for all NH Projects, would be approved by the Land Acquisition
Committee (LAC), headed by Chairman with Member (Admn.) and the concerned Member as
members. The LAC would examine the land acquisition plan and grant approval for proceeding
with land acquisition (land acquisition plan can be upto 2 years in advance). The purpose of LAC
is to facilitate expenditure sanction for land acquisition. The expenditure on land acquisition would
be incurred only after the project is approved by Competent Authority. Therefore, no 3D notification
be published before LAC Stage-2 approval.
There shall be 2-stage consideration by the LA Committee. The entire process shall be on-line
through the LAC portal. The correct UPC code is mandatory while uploading any project proposal
on the LAC portal.
Stage-1: In LAC Stage-1, approval of alignment is accorded out of 2/3 options. The procedure for
consideration & approval of Project Alignment by LAC shall be as under:
(i) As part of Feasibility Study/ DPR, the Design Consultant and PD, after site visit will examine
and submit to RO various alternative alignments of the project highway along with
their merits & demerits, cost comparison of various alternatives (including likely project features,
civil work rough cost, LA cost & other pre-construction costs) and their recommendations on the
preferred option.
(ii) RO shall carry out site inspection, request the State Nodal Officer to convene a meeting of all
stakeholders (online or in-person) and present the alignment alternatives in such
consultation meeting; Video record the proceedings, take their comments/ recommendations and
issue minutes of such meeting.
887
(iii) After such consultations and due diligence, RO will submit the preferred alignment along with
the justification to HQ. The concerned Technical Division at HQ will load the details/ presentations
on LA Portal and present the alternatives & preferred alignment, before the LA Committee in which
RO, PD, & Design Consultant will also be present in Video Conference.
While submitting the proposal, the following certificates shall also be uploaded:
(a) A certificate from ROs/PDs shall be taken personally confirming that only the bare necessary
land is being acquired for the projects, while granting sanction.
(b) In addition, a similar certificate should be taken from the consultant while approving the
payment on account of LA related work.
Stage-2: In LAC Stage-2, approval would be accorded for detailed LA Plan and the land
acquisition cost on the approved alignment. The procedure for consideration & approval
of LA Plan by LA Committee shall be as under:
(i) Design Consultant & PD shall finalize the Detailed Project Report based on the alignment
approved by the LA Committee in Stage I. Any deviation from the approved alignment under LAC
Stage- I, shall be decided by the LA Committee.
(ii) Thereafter, the proposed LA Plan will be processed for consideration of the LA Committee.
(iii) Approval of DPR by RO will continue to be as per the laid down procedure, subject however to
adherence to the approved alignment. DPRs shall necessarily be referred for peer review as per
the laid down procedure.
Executive Committee has been delegated powers to approve the pre-construction activities
including LA up to Rs.15 Cr. per km.
Submission of proposals for consideration of LAC
After duly examining the proposal received from Field Offices, concerned Technical
Division at HQ shall submit the same on LAC portal at least 24 hrs before the meeting. The
Proposal shall be presented to the committee by respective CGM/GM. The standard presentation
before LAC shall include the following 'minimum' details in that order:
(i) Name of the Project in brief.
(ii) State Map with proposed corridor/alignment marked.
(iii) Project Map with proposed corridor marked along with clear marking of existing roads from
which traffic is likely to come on the proposed corridor/project and status of development of
proposed corridor (projects completed/ in progress/ balance for award). Alignment Options of the
project with different colours/length.
(iv) In case of Ring Road/Bypass, distance from habitated area on the City Master Plan.
In order to streamline the complete project cycle i.e. from the approval of alignment by LAC till start
of toll revenue, all pre-construction activities need to be synchronized with tendering process and
construction schedule to save cost and increase economic viability of the projects. In order to have
888
effective monitoring, Complete Project cycle with detailed time lines for land acquisition (from the
date of 3 A notification till the award and possession of land) and completion of other
preconstruction activities such as utility shifting, environment clearances, likely bidding date, likely
award date and likely appointed date, the expenditure details etc. shall be submitted to the LAC.
In order to ensure that encumbrance free land is available for handing over to the concessionaire
on the scheduled appointed date. The status of all pre-construction activities viz land acquisition,
environmental clearances, utility shifting etc. would be reviewed periodically vis-à-vis the timelines
given at the time of LAC approval. A standard PPT format for the periodic review has already been
circulated which shall be submitted by ROs and checked by Technical Divisions to ensure that it
contains all details in the prescribed format. The final presentation shall be sent to LA Division
atleast two days prior to the meeting date so that the same can be checked and corrections
required, if any, can be done timely.
Standard presentation/ proposal before LAC shall also include the land monetization plan for the
Greenfield projects, Bypass, Ring road etc. after identification of potential Land for monetization/
development of logistic parks & Wayside amenities etc. For this purpose Real Estate Consultants
have already been engaged as mentioned below:
Region States Consultant Contact details
Andhra Pradesh, M/s Jones Lang Thomas,

Telangana, LaSalle Property Simon Simon.Thomas@ap.jll.com
South
Karnataka, Kerala & Consultants India
Tamil Nadu Private Limited. 9840068451
Jammu, M/s Jones Lang S, Robin

Uttarakhand, LaSalle Property
North Punjab, Uttar Consultants India Robin.S@ap.jll.com
Pradesh, Haryana & Private Limited. 8754404800
Delhi
M/s Knight Frank Muninder Pal Singh

Rajasthan, Gujarat, India Pvt Ltd
Maharashtra, Email Id:
West
Madhya Pradesh & Muninder.Singh@in.knightfrank.com
Chattisgarh
9650511174
Siddharta Dutt
Bihar, West Bengal,
East Jharkhand, Odisha M/s EY LLP Email Id: Siddharta.Dutt@in.ey.com
& Assam
8826613331
In case of Brownfield Projects, well justified locations for value addition may be included.
889
LA Division shall compile the list of proposals uploaded on LAC portal & upto the same for
consideration of LA Committee. Appointed Date of the project will be declared only after the
Contractor/Concessionaire certifies the project length (land) available without any encumbrances
& obstructions/hindrances in the format provided at Appendix- I
(iv) Processing of Increased pre-construction costs before appraisal and approval of projects:
In some cases LA cost may increase based upon 3G awards of CALAs, in such cases, before
submitting the project for appraisal and approval, the LA costs be reviewed based on CALAs
awards and if required, approval of revised LA cost be taken from LA Committee before submitting
the project proposals for appraisal and approval so as to avoid revised sanction of project costs
after approval of project.
III: Value Capture Finance (VCF) in NH development.
Value Capture Finance (VCF) is a tool to capture part of the value enhanced due to construction
of Greenfield Highways including bypasses & Ring Roads and Capacity Augmentation of
Brownfield Highways in the States in the form of increase in land value and associated additional
revenues. These guidelines seek to devise a mechanism to implement VCF, jointly by the States
and NHAI, to part finance the cost of highway construction in order to make them viable.
The Value Capture Finance Policy is attached as Appendix - II.
IV: Process of Land Acquisition in NHAI as per NH Act 1956
(A) Publication of Notifications:
All the proposals for publication of notifications for land acquisition viz 3a, 3A and 3D have to be
processed through Bhoomi Rashi Portal https://bhoomirashi.gov.in/.
(B) Determination/approval for Payment of compensation for acquired land:
(i) Determination/approval of compensation: The determination of compensation for the land

acquired has to be done by CALA through an Award published under Section 3G of NH Act, 1956.
For publication of 3G award, the procedure laid down in Manual of guidelines issued by MoRTH
shall be followed. ROs of NHAI have been delegated full powers for approval of payment of
compensation as per CALA Award and following the Manual of guidelines. All PDs have to pursue
valuation of assets attached to land under acquisition on priority so that CALA can issue a
consolidated Award under Section 3G, for both land and assets thereon. All ROs while giving
approval may ensure the compliance of above in all cases, even when the award is declared in
parts in respect of a single notification. (Circular No. 7.1.57). As per the recent instructions of
MoRTH, preparation of CALA awards and payment of compensation would also be done through
Bhoomirashi portal only.
(C) Disbursement of compensation by CALA:
(i) The amount of compensation determined by CALA and approved by RO is deposited by the
NHAI with CALA under section 3H of the Act. CALA disburses the amount to the entitled
persons. In case of a dispute as to the apportionment of the compensation amount or part thereof,
the CALA refers the matter to the decision of the Principal Civil Court of original jurisdiction.
890
(ii) For the fund management and payment of LA compensation amount to landowners / persons
interested as per award of Competent Authority (Land Acquisition), the process would be as per
instructions/guidelines issued by Finance Division.
(iii) The existing CALA-PD joint accounts, through which the payment of compensation was
made prior to operationalization of Centralized CALA account system, CALA-PD joint accounts
shall be closed after the existing available balance in the account is exhausted.
(D) Deduction of Income Tax:
The disbursement of compensation is also subjected to some provisions of Income Tax Act.
Following guidelines to be followed with regard to deduction of Income Tax from

compensation paid for the acquired land:-
 Income Tax is not deductible from compensation for agricultural land.
 Since the definition of ‘Immovable property’ in the Income Tax Act, 1961, includes buildings
or parts thereof; Income Tax is deductible on compensation for buildings standing on
agricultural land.
 Since the definition of ‘immovable property’ in the Income Tax Act, 1961 does not include
trees/bore-wells/ponds etc. Income Tax shall not be deductible on compensation for such
trees/bore-wells/ponds etc. (NHAI Policy Guidelines No. NHAI/13/LA/Policy/2006] dated
04th May 2010)
 Income Tax is chargeable on interest payments due to belated payment of compensation

for land.
 Interest is payable in land acquisition cases when (upon initiation of Arbitration/litigation),

compensation awarded by CALA for the land is enhanced by the Arbitrator or by a Court
of Law (Sec-3H(5) of the NH Act provides for payment of interest @ 9% per annum on the
amount by which the Arbitrator enhances compensation).
 Payment of an amount by which an Arbitrator/Court has enhanced compensation due to a

landowner, in fact amounts to belated payment of due compensation. Consequently,
interest on the enhanced amount is equivalent to interest on account of belated payment
of due compensation.
 Income Tax is therefore chargeable on the amount by which an Arbitrator or a Court of Law
has enhanced compensation, and interest thereon, subject to condition that aggregate
amount of such payments; i.e. (i) compensation awarded by CALA, (ii) enhancement
awarded by the Arbitrator/Court and (iii) interest on the enhancement awarded by the
Arbitrator/Court, during the financial year, exceeds one hundred thousand rupees.
V: Procedure for Transfer of Defence land
 As per the guidelines of the Ministry of Defence, NHAl will initially have to submit proposal
for 'in principle' approval for transfer of Defence land to Ministry of Defence through Ministry
of Road Transport & Highways. The proposal has to be submitted as per prescribed format
alongwith all requisite details (Appendix -III).
891
 The proposals for Defence land forwarded by NHAI may be for transfer or alienation of land
in the name of Ministry of Road Transport & Highways. Therefore, in Sl.No.9 of the format,
the necessary undertaking to be provided should be as follows:
“National Highways Authority of India undertakes to pay the market value of land fixed
by the Ministry of Defence for transfer or alienation of the land in favor of Ministry of
Road Transport & Highways, Govt. of India.”
 In S1.No.7 of the said format, the following may please be stated:
“NHAI/ MoRT&H is neither a land owning authority nor does it have an arrangement with the State/
UT governments for providing land for the project and is therefore unable to provide equal value
land, transfer may please be considered on payment of current market value”
Besides the information required to be submitted as per format enclosed with the said MOD's letter,
RO/PD may also please submit the following information additionally by incorporating these in the
format itself at Sl.No.3 of the format:
i. NH No.
ii. Stretch
iii. Chainage of NH where Defence land is located
iv. Address of Local Defence Authority
The address at Sl.No.1 of the format shall be that of the NHAI HQ. Additionally, the address and
telephone number of the PIU may also be included at Sl.No.1 so that clarification, if required on
matters which are available locally, may be obtained by the authority directly, if it so desires.
VI: Acquisition of missing plots from bulk acquisition through mutual consent:
Acquisition of missing plots from bulk acquisition through Mutual Consent shall be done in
accordance with the procedure laid down in the Manual of Guidelines issued by MoRTH.
VII: Return of unutilized land:
Ministry or Road Transport & Highways’ has issued guidelines for return of unutilized land as per
which if any land acquired under the National Highways Act, 19S6 for the projects of development
of National Highways remains unutilised for a period beyond the period specified for setting up of
the concerned project or for a period of five years from the date of taking over its possession,
whichever is more, the said unutilised land, after obtaining approval of the Central Government;
may be handed over to the respective State Government of the or the administration of the Union
Territory, (as the case may be in which it fall for utilization as considered appropriate.
(NHAI/11031/DGM(LA&Coord.)/2015/FTS-640/77058) Appendix – IV
VIII: Arbitrations & Court Cases:
The detailed guidelines for arbitration in land acquisition cases for NH projects have been
given in Manual of Guidelines issued by MoRTH. These guidelines, inter-alia includes the relevant
provisions of NH Act, 1956, procedure for appointment of Arbitrators. These guidelines shall be
followed. The cases for appointment of Arbitrators shall be processed through Bhoomirashi portal.
892
IX: Capacity building and adequate infrastructure at PIU/RO level and

support to CALAs/Arbitrators:
1 Facilities to CALA:
NHAI's concurrence for creation of dedicated Special Land Acquisition Units

(SLAUs) as per prescribed norms, initially for a period of one year, shall be
given by the Regional Officers. Proposals of additional staff/infrastructure to CALA shall be
considered on case to case basis but only for a specified period. The cases for extension of SLAU
beyond three years (initial one year and further two extensions of one year each) shall be submitted
to NHAI HQ for approval of concerned Member through Technical Division.
2 Extension of Special Land Acquisitions Units (SLAUs) –

(NHAI/11013/DGM/LA/(Coord)/2013/3 Date 30.01.2013):
(i) Proposals for approval of the extension of SLAUs and all other related matters shall be
submitted by the ROs/Technical Division to the concerned Member. (NHAI/RO/MUM/S-B/NH-
13/Infra.Facility/2021-22(E-92119))
(ii) While submitting the proposal to NHAI HQ for approval of extension of SLAUs, the following
details shall be submitted:
(a) Summary of the amount sanctioned since the date of establishment of the SLAU and the
expenditure incurred against previous sanctions in the following format -
Sl. No. Approval Letter No. Amount Expenditure Savings, if Remarks

& Date of previous sanctioned incurred (Rs.) any (Rs.)
sanctions (Rs.)
(b) The staffing proposed for the extended period and the existing staff of the SLAU for which
extension is being proposed in the following format:-
Sl. No. Name of Existing No. Post No. Reference of Remarks

SLAU Post Proposed Proposal by
CALA
(c) The work done by the SLAU and proposed to be during the extension period should be
provided in the following format:-
893
A. Name of CALA / SLAU Unit:
SL. No. Work which was proposed to Work actually done during Remarks
be done during the previous the previous time extension
time extension from (date) to from (date) to (date)
(date)
B. Name of CALA SLA Unit:
SL. No. Work proposed to be done Comment on the staffing Remarks

during the proposed proposed for such work as
extension period stated in Column (2)
(1) (2) (3) (4)
C. Name of CALA / SLA Unit:
Sl. Additional 3A 3D Area of Land area Total additional Remarks

No. land to be notified Notified land for mutated in land mutated in
acquired for (Ha) (Ha) which the name of the name of
the award(s) Central Govt. Central Govt.
project(Ha) have during the
been previous
declared extension
by CALA period
(Ha)
(1) (2) (3) (4) (5) (6) (7)
(ii) All previous sanction orders, etc., should be enclosed with the proposal submitted.
Project Directors should ensure that the proposal being submitted provides the above stated
minimum information along with estimate. The proposal should be submitted through RO and
necessary recommendation for the proposal should be made by RO. (FTS-62/71258 of
04.09.2015)
894
3 Provisions of support staff and contingencies to Arbitrators appointed under NH

Act, 1956 (7.1.50), (Technical (183/2015) of 05.11.2015) & 7.1.74 of 2021 dated 1.11.2021
Subject Authority Remarks

Approve/sanction proposals Full powers to RO  Maximum Rs.40,000/-per month
for support staff and per arbitrator if pending cases 50-
contingencies to Arbitrator 150
 Maximum Rs.60,000 pm per

arbitrator if cases exceed 150.
Retd. Revenue Officer: upto Full powers to RO The amount of remuneration for the
Rs. 35,000/- per month or persons engaged as such shall be
last pay drawn reduced by increased by 5% per annum during the
pension period of their engagement.
Retd. State Govt. Surveyor / Full powers to RO The amount of remuneration for the
Amin: upto Rs. 27,500/- per persons engaged as such shall be
month or last pay drawn increased by 5% per annum during the
reduced by pension in terms period of their engagement.
Private Surveyor/ Amin: upto Full powers to RO The amount of remuneration for the
Rs. 27,500/- per month or persons engaged as such shall be
wage rate applicable as per increased by 5% per annum during the
State Govt. orders, period of their engagement.
whichever is lower.
Proposals may be forwarded to the RO with details of disposal during the previous 12 months.
1. Sanction should be accorded on receipt of specific proposal from

Arbitrators with full justification.
2. Amount sanctioned for facilities to Arbitrators shall be deducted from Administrative

charges given to the State for LA activities.
3. The Arbitrator will open separate bank account, which will be jointly operated by PD NHAI.
Concerned Technical Division will ensure that proper accounts of the expenditure are
maintained for the audit of these accounts in the same manner as followed for depositing
the amount by the Central Government with the Competent Authority for acquisition of land.
4. ROs/PDs should get necessary mutation of acquired land in the name of President of India
by approaching State Revenue Authorities and submit a progress report every month on
Data Lake. (NHAI/11013/NDLS/LA/2015/FTS-80/72702)
4 Resources for Regional Offices:
Provisions have been made for ROs to engage dedicated personnel at the Regional Offices in
addition to those supporting the PIUs, CALAs and/or Arbitrators as follows:
Subject Authority Remarks

Engagement of LA Support Full powers to RO  Atleast 1 per state
Officials
895
 1 per 15 CALAs in a state
 For every 2 LASO 1 Steno-

cum Data entry operator
Expected profile of SLAO:
1. Should be retired Revenue Officer of the relevant State Government who has retired not
below the rank of SDM or equivalent.
2. Should have 10 years' minimum experience in the relevant State Revenue Department and
have an in-depth understanding of the current Land Acquisition process.
3. Prior experience as a Land Acquisition official for a State or National Highway project is
preferred.
4. Considering the requirement for frequent field visits, the officials should be below 65 years
of age at the time of engagement or any extension of contract.
Engagement Structure:
1. To be engaged on a contractual basis for a period of 12 months. During the term of this
engagement the official should not take up any other assignment.
2. Remuneration shall be equal to the amount of basic pay last drawn by them minus pension
being received by them.
3. In addition, they would be eligible for reimbursement of expenditure on local (within city)
transport / mobile-phone / internet facilities / food etc.
on production of bills subject to a maximum of Rs. 10,000 per month. No separate
Travelling / Daily allowance shall be admissible.
4. Lodging, boarding and intra-State travel during site-visits to PIUs or CALAs will be provided
by NHAI as per entitlement of the official at the time of retirement.
5. Will not be entitled to any other allowances / facilities such as Dearness Allowance. HRA,
Transport Allowance, Leave Travel Concession. Medical Attention / Central Govt. Health
Scheme, Government Accommodation etc.
Process of engagement:
1. The eligible candidates will be identified, interviewed and selected by the RO.
2. Maximum 02 extensions are possible, contingent on periodic performance reviews. The

first extension may be for a maximum of 12 months which may be approved by the RO.
The second extension, for a maximum of 06 months may be approved by the Member
(Admin) with the concurrence of the concerned Member.
3. The contract may be terminated by either of the parties immediately without notice at any
point of time during the subsistence of the contract.
896
4. A performance review of the LA support official must be undertaken by the RO every 6

months describing in detail the impact of the work undertaken by the official, the work
expected to be undertaken over the next 6 months as well as clear rationale for retaining
the official. This report should be submitted to the Land Acquisition cell at HQ as well as
the concerned Member for record.
5. Any deviations from the above guidelines will require approval from concerned Member/
Member (Admin) before appointment or extension of the LA support official.
5 Engagement of Consultant (LA):
Each PIU to engage and provide 01 retired State Govt Revenue Officer as Consultant
(Land Acquisition) to each CALA, for acquisition of each unit area upto 100 Ha, subject to condition
that no Consultant (LA) shall be engaged for acquisition of area less than 20 Ha.
Consultants (LA) thus engaged would be placed in the offices of CALAs for assisting in
performance of tasks such as preparation of Notifications/Awards and disbursement of
compensation under Sections 3A/3D/3G/3H of the NH Act, 1956. For the purposes of monitoring,
the entire process of land-acquisition has been divided into 02 distinct sub-
processes/milestones. The first sub-process commence upon publication of 3a Notification for
appointment of CALA would last upto publication of 3D Notification subsequent to 3A publication,
and the second sub-process would commence from publication of 3D notification and would last
upto completion of disbursement of compensation subsequent to declaration of Award. Separate
amounts shall be payable to Consultants (LA) as remuneration for accomplishment of each
separate sub-process/milestone, and shall depend upon period within which each aforementioned
milestone is accomplished.
The graded schedule of remuneration payable to Consultants (LA) for

accomplishment of each separate sub-process/milestone is specified here in below:
Remuneration payable to Consultants (LA) shall depend upon the period within
Which 02 distinct sub-process/milestones are accomplished, the first milestone being
publication of 3D Notification subsequent to 3A Notification, while the second
milestone would be accomplished upon completion of disbursement of
compensation subsequent to declaration of Award.
Separate amount shall be payable to the Consultants (LA) as remuneration for the accomplishment
of each sub-process/milestone and shall depend upon period within which each aforementioned
milestone is accomplished. The graded schedule of remuneration payable to each separate sub-
process/milestone is specifies below:
Month Percentage of monthly emoluments Payable*

01 100
02 100
03 100
04 100
05 90
897
06 80
07 70
08 60
Beyond 08 months 50
* Monthly emoluments being equal to last pay drawn minus pension.

An incentive equivalent to 04 times of last-pay-minus-pension shall be payable as one
time incentive upon accomplishment of each milestone within a period of 04 months
(as stated above; publication of 3D Notification subsequent to 3A Notification being the
first milestone, and completion of disbursement of compensation subsequent to
declaration of Award being the second milestone).
Project Directors are delegated with powers for engagement of necessary numbers of Consultants
(LA), who would be in addition to those already engaged for supporting PIUs and Arbitrators.
Project Directors are also directed to draw-up a panel of retired State Government Revenue
Officers who would be available as for engagement as Consultants (LA) in the future and intimate
the same to their RO. (No. 7.1.53/2017 dated 31.07.2017)
6 Provision for additional CALAs in cases where CALAs are highly loaded:
CALAs with workload of acquiring private eland of more than 140 Ha. shall be deemed as
“highly loaded” CALAs. For these RO shall raise a request to the State Government for
appointment of an additional CALA in the same district, so that the load may be equally distributed
and CALAs in the District can ensure land acquisition within timeline of 02 years.
(Administration/Finance 178/2016)
7 Provision for additional Arbitrators in cases where Arbitrators appointed under NH Act,
1956 are highly loaded:
An Arbitrator shall be deemed to be highly loaded if there are more than 500 applications
for arbitration pending before the Arbitrator at any point of time from one or more projects in a
district, irrespective of whether the said applications are heard in the same hearing (clubbed cases)
or not.
RO may request State Government to nominate an additional Arbitrator in respect of a

district, if it felt that an additional Arbitrator may help to dispose pending arbitration applications
within 06 to 08 months or earlier. The additional Arbitrators in a district shall be provided with
support staff and facilities, as is being provided to Arbitrators ordinarily appointed. The proposal
for appointing additional Arbitrators alongwith the support staff in consultation with the State
Governments may be processed as per the procedure in case of Arbitrator ordinarily appointed.
(Administration/Finance 180/2016)
898
X: DELEGATION OF POWERS:
S. Policy Number Subject delegated Extent of Remarks
No. delegation
1 No. 7.1.68/2021 Payment for Joint PD
dated 5th January, Measurement- Survey
2021 (JMS) as per rates
payable under State
Govt. Orders
2 No. 7.1.63/2019 Power to approve RO

dated 18.11.2019 revision of the costs of
preconstruction
activities in case of
Variation in
preconstruction costs
within the sanctioned
estimates and
contingencies put
together (details to be
given in the format
provided at Circular
No. 7.1.75/2021
3 No. 7.1.63/2019 Power to approve Concerned

dated 18.11.2019 revision of the costs of Member
preconstruction
Variation in
within 10% of the
project cost(details to
be given in the format
No. 7.1.75/2021
4 No. 7.1.63/2019 Power to approve Chairman

dated 18.11.2019 revision of the costs of
preconstruction
Variation in
more than 10% of the
project cost but less
than 25% of the project
cost (i.e. within the
range of 10-25% of the
project cost) (details to
899

No. delegation
be given in the format
No. 7.1.75/2021
5 No. 7.1.63/2019 Power to approve Board of

dated 18.11.2019 revision of the costs of NHAI
preconstruction
Variation in
is more than 25% of the
project cost(details to be
given in the format
provided at Circular No.
7.1.75/2021
6 No. Payment for publication RO Authority to sanction/

Administration/Fina of Notification under the release of payment for
nce (125/2013) NH Act and other publication of Notifications
dated 30.09.2013 Notices / under the NH Act, and
Advertisements etc. in other notices/
Newspapers. Advertisements etc. in
Newspaper, only in cases
where the Notification
etc. could not be published
at DAVP rates for valid
reasons ( preferably to the
lowest bidder). PD would
remain competent to issue
advertisements as per
DAVP rates.
7 No. 18.24/2017 Approval of Full Powers (i) The award of

st
dated 21 August Compensation for Land to ROs compensation is made by
2017 Acquisition determined CALA on or after
by CALA under NH Act, 01.01.2015 as per the
1956 (decision taken by provisions of RFCTLARR
EC in its meeting held on Act, 2013.
24.07.2017)
(ii) The compensation for
structures falling within
ROW shall be strictly as
per Policy Guidelines
(7.1.51) dated 10.04.2017.
900

No. delegation
8 Approval of Full Powers (i) Procedure for
Compensation for Land to ROs processing Arbitral Awards
Acquisition enhanced by shall continue to be
the Arbitrator/ Court governed by Circular No.
(including interest) NHAI/13/LA/Policy/2006
(decision taken by NHAI dated 06.09.2010. Paras
Board in its meeting held 1(a), 1(b) and 1(c) of
on 17.08.2017) Circular dated 06.09.2010
are cancelled.
(ii) RO may seek legal

advice from NHAI's
Counsel prior to deciding
whether to accept or
challenge a court order
enhancing compensation.
Provided that [as per Para-
1(1) of Circular No.
NHA1/13/LA/Policy/2006
dated 06.09,2010],Arbitral
Awards which have been
upheld by a Court must not
be challenged in a higher
court
9 NO. 18.27/2017 Approval of Awards Full powers (a) RO may approve the
dated declared by to ROs award after examined by
27th September CALA/Arbitrator in the committee comprising
2017 respect of compensation of
of land RO,PD(concerns),GM/DG
M RO office and
representative of Finance
attached to RO
(b) CALA’s Awards
wherein compensation for
land/assets has been
determined in accordance
with
methodology/guidelines
adopted by the State Govt.
for their own projects shall
be accepted.
(c) In case it is felt that
CALA’s Award deviates
from established norms,
901

No. delegation
RO may submit the same
to concerned District
Collector for advice, and
dispose the matter in
accordance with advice
tendered by the District
Collector.
(d) Arbitral Awards may
also be generally accepted
so as to avoid
accumulation of interest
liability on NHAI.
(e) In case it is felt that
an Arbitral Award deviates
from established norms,
RO may submit the same
to the State Govt for advice
and dispose the matter in
tendered by the State
Govt.
10 No. Payments of RO Authority to sanction
Administration/Fina Administrative Charges /release Administrative
nce (125/2013) to state govt. for land Charges as per rates
dated 13.09.2013 acquisition. levied by the state Govt.
11 No. Payments of Capitalized RO Authority to sanction

Administration/Fina value of land. /release Capitalized
nce (125/2013) value as per rates levied
dated 13.09.2013 by the state Govt.
12 No. Selection of Govt. RO In case concerned local

Administration/Fina approved valuator for Dept. is unable / unwilling
nce (125/2015) Valuing assets other to take on the task of
dated 16.08.2013 than land (i.e. structures valuing assets, RO’s may
/ trees / bore-wells / invite bids for selection of
ponds etc.) where Govt. approved valuators.
concerned local dept. Bids are to be invited at
(i.e. PWD/ Agricultural / fixed prices as opposed to
Horticulture / forests percentages of the values
etc.) is unable to determined for the assets,
undertake the task of restricted to 01% of assets
valuation of the assets. value (so as to guard
against the tendency to
902

No. delegation
exaggerate asset- values
for inflating valuation fees.)
13 No. RO Authority to release

Administration/Fina Valuator’s fee as per rates
nce (125/2013) chargeable by concerned
dated 30.09.2013 local Dept. (if the Dept. has
valued the assets), or as
per rates quoted by the
lowest bidder selected for
the task. (Bids are to be
invited at fixed rates.)
14 No. RO Authority to release fees

Administration/Fina chargeable by concerned
nce (125/2013) local Dept.( for vetting the
dated 30.09.2013 valuation of assets arrived
at by Govt. approved
Valuator), as per order
issued by the State Govt./
concerned Dept.
15 No. 7.1.52/2017 To check the Full powers

th
dated 14 June reasonability and to to ROs
2017 challenge the order of
enhancement of
compensation passed
by Reference Court
under Land Acquisition
Act, 1894,
16 No. 7.1.49/2016 For approval of CGM(LA) Power to challenge arbitral

dated proposals for institution awards in Courts shall
04th November 2016 of legal proceedings or continue to lie with ROs.
defending legal cases in
Courts in respect of land
acquisition matters,
including cases in the
State of Jammu &
Kashmir where land is
acquired under the J&K
LA Act
903

No. delegation
17 No. Technical For hiring of equipment RO RO shall ensure
(203/2016) dated and labourers for measurement of each
30.03.2016 removal of hindrances structures alongwith
within a project Rs. 10 videography for records.
Lakh per project.
18 No. Provision of resources RO Authority for provision /

Administration/Fina (i.e. personnel / Office extension of resources to
nce (125/2013) furniture / vehicle / CALA where SLAU’s have
dated 30.09.2013 stationery etc.) to CALA not been constituted, is
where SLAU’s have not delegated as follows: (i) 01
been constituted and time grant of ₹ 03 lacs for
extension of the same. purchase of furniture /
office equipment.
(ii) Monthly expenses @
1.5 lac (iii) Office space
(only in case of
accommodation cannot be
provided within premises
of local Administration /
PIU) as per entitlement of a
PIU headed by a DGM.
19 No. Extension for SLAU’s RO 02 extension of 01 year
Administration/Fina each beyond the initial
nce (125/2013) period of 01 year.
dated 30.09.2013
20 No. 7.4.5/2017, Green Highways Full Subject to vetting of

Dated the 17th, Projects through Govt. Powers to proposal by Green
October, 2017 Agencies RO Highways Division
21 Release of funds to Full The mobilization and

Government Agencies Powers to subsequent advances as
RO per OM
no.11013/1/2K/EnvGHD/4
64 dated 19.07.2017
22 Green Highways Powers to Project estimates to be
Projects through Private ROs to based on MoRD SOR for
Agencies/NGOs approve up roadside plantation
to 10 Kms released vide circular No
NH 11017/17/2008-NREGA
length. dated 14.07.2014. Further
agencies to be selected
based on Competitive
Bidding on Quality Cost
904

No. delegation
Based Selection
(QCBS).
23 Release of funds to Full powers Reimbursement subject to
Private Agencies/NGOs ROs. actual work done and
verified by PIUs
24 Agreement signing with Full powers Subject to approval of

Govt/ Private Agencies to PD in RO
charge of
the project
area
Stipulated land should be acquired and handed over encumbrance free & hindrance free to the
Contractor/Concessionaire in time or that part of the project will be descoped or the project will be
terminated if the land is not handed over, but in no case this issue will be kept pending. PD will
daily devote adequate time to the issue of acquisition of land and handing over to the
Contractor/Concessionaire, till 100% land in every project is handed over. PD also needs to fill
data in Data Lake/PMS Portal; RO have to daily monitor every PDs progress in this matter.
Concerned CGM (T) and Member have to monitor the progress twice a week and brief Chairman
once a week. (Circular No. 7.1.65)
Also the Appointed date of the projects may be declared only after the
Contractor/Concessionaire certifies about the availability of un-encumbered & unhindered length
in the prescribed format. (Circular No. 7.1.61)
XI: Settlement of Arbitral Awards/ Court Orders relating to payment compensation

for Land Acquisition:
For expeditious disposal of Arbitral Awards/ Court Orders pertaining to Land Acquisition in respect
of NH stretches, which were entrusted/ transferred to NHAI through Gazette Notifications, duly
collecting comprehensive details from Chief Engineers of State PWDs & ROs of MoRTH (a copy
of format prescribed by MoRTH for submission of such details is enclosed). Also ATR was to be
sent to CGM (LA) on monthly basis. These instructions pertain to Arbitral Awards/ Court Orders
on LA, where LA was taken up by State PWDs/ MoRTH and such NH stretches were subsequently
entrusted/ transferred to NHAI. All ROs have to collect the details from State PWDs/ MoRTH and
furnish ATR to CGM (LA), without any further delay.
It has been further decided that for NH stretches with NHAI on which LA has been/ is being taken
up by NHAI, all PDs of NHAI shall submit the following details to ROs of NHAI, similar to the cases
at Para-1 above, to examine and dispose of Arbitral Awards/ Court Orders on LA taken up by
NHAI.
905
(i) Copy of sanction letter of the work for which land acquisition has been carried out, along with
copy of revision of the original sanction, if any;
(ii) Chronological history of the case, including date-wise details of land acquisition and
construction work, and case history of enhancement of LA compensation;
(iii) Copy of CALA's Awards and Awards/ Orders of Arbitrator/Court;
(iv) Details of payments previously made to landowners on the basis of CALA's Awards;
(v) Details of other cases pending with/ decided by Arbitrator/ Court pertaining to land
acquisition for the same stretch, alongwith status thereof;
(vi) Copy of legal opinion on Arbitral Award/ Court Order on the basis of which additional
compensation is required to be paid; and
(vii) Duly signed 'B' statement from CALA showing calculation of requisite payment. Statement to
be in tabular format indicating names of landowners, name of village, Survey/ Khasra No, area of
land, corresponding to Arbitral Award Court Order on which the enhancements are based.
(Circular No. 7.1.55/2019)
XII: Legal Instructions related to Land Acquisition cases:
1 Delegation of power in respect of legal matters of NHAI/MoRTH:
Project Directors are authorized to defend the interest of NHAI/ MoRTH in legal matters. In case,
where MoRTH may also be a proforma respondent, the concerned PD should formally request for
necessary direction from the Ministry. If instructed to defend MoRTH too, PD should instruct the
Advocate hired to defend the MoRTH’s interest also in the same matter. In case where Central
Government counsel appears on behalf of NHAI, the fee paid to him would be as per the approved
fee schedule of central Government subject to the condition that it does not exceed the amount
payable as per NHAI’s fee schedule. If he is also defending the interest of MoRTH, additional fee
is not payable. Likewise, a counsel appearing on behalf of MoRTH would not be paid extra for
defending the interest of NHAI. (Instructions issued vide letter No
NHAI/11013/DGM(LA/Coord)/2013/FTS-4954/46766 Dt. 11.12.2013)
Power to challenge Arbitral Awards in District Courts on the basis of recommendation of concerned
PIU and the RO’s/PIU’s legal counsel is delegated with RO’s. Appropriate legal counsel may be
engaged by RO’s/PIU’s for this purpose.
2 Guidelines for processing Arbitral Awards:
The Arbitral Awards has be processed as per following guidelines:
 Upon declaration of Arbitral Award, concerned PIU shall immediately obtain a copy of the
award and initiate a case for disposal of the same in accordance with relevant policy
906
guidelines, and also otherwise ensure that filing of appeal against the Arbitral Award by
NHAI does not get time barred. Concerned PIU is to implead NHAI as party in all Arbitration
proceedings if the Arbitrator has not already issued notice to NHAI.
 The amount (in respect of which the authority to accept an Arbitral Award has been
delegated) includes interest on the enhanced amount awarded by the Arbitrator.
 Compensation determined by CALA is to be deposited with him prior to initiation of
Arbitration proceedings only on condition that (i) Possession of land is transferred to NHAI,
and (ii) Compensation shall be disbursed only subsequent to due approval by HQ.
 CALA’s award which have been upheld by the Arbitrator are not to be pursued into Court,
for simple reason that successive endorsement of the Award by CALA/ Arbitrator point to
merit possessed by CALA’s Award.
 Cases Where Award declared by CALA has been challenged by Landowners, whereupon
the Arbitrator has enhanced compensation and his Arbitral Award has been upheld by a
court, also ought not to be pursued into a higher court.
 For ready availability of necessary information, for processing Arbitral Award timely, details
of court cases pertaining to such Awards be submitted on Bhoomirashi Portal.
 While submitting cases for consideration of RO/HQ, PIU shall furnish their observation/
recommendation in the matter.
 As per Explanation (ii) of section 194LA of the Income Tax Act, 1961: For the purposes of
this section …..”Immovable property” means any land (other than Agricultural land) or any
building or part of a building.’ Consequently; (i) Income Tax is not deductible from the
enhancement awarded on compensation for Agricultural land (ii) Since the definition of
“immovable Property “in the Income Tax Act, 1961 includes building or parts thereof,
Income Tax is deductible on the enhancement awarded on compensation for building
standing on Agricultural land (iii) Since the definition of “immovable property” in the Income
Tax Act, 1961 does not include trees/ bore-wells/ponds etc. Income Tax shall not be
deductible on the enhancement awarded on compensation for such trees/ bore-
wells/ponds etc.
 Income Tax is chargeable on the amount by which an Arbitrator has enhanced
compensation and interest thereon, subject to condition that aggregate amount of such
payments: i.e.(i) compensation awarded by CALA (ii) enhancement awarded by the
Arbitrator, and (iii) interest on the enhancement awarded by the Arbitrator, during the
financial year, exceeds one hundred thousand rupees.
 Section 3H (6) of the NH Act stipulates that “Subject to the provision of this Act, the
provisions of the Arbitration and Conciliation Act, 1996 shall apply to every arbitration under
this act”. Section3H (5) of NH Act provides for payments of interest @ 09% per annum on
the enhanced amount (from the date of declaration taking possession under Section 3D to
date of deposit of the enhanced amount). Accordingly, since applicability of provision of the
Arbitration and Conciliation act have been made subject to provision of the NH Act and
since the NH Act contains its own specific provision pertaining to payment of interest, it
follows that the provisions of NH Act pertaining to payment of interest would preponderate/
prevail over those of the Arbitration & Conciliation Act: Interest would therefore be payable
@ 09% per annum on the enhanced amount, as provided under the NH Act. (Circular No
NHAI/13/LA/Policy/2006 dt 06.09.2010)
907
3 Adherence to extant guidelines in empanelment of Law Firms/ Advocates:
All RO’s and PD’s are advised to ensure adherence to extant guidelines, including those in respect
of requirement of Min. 10 years’ experience for an Advocate to be eligible for engagement/
empanelment, rotation of cases etc. for all cases, including those for which routine instructions to
defend the interest of NHAI/ MoRTH are forwarded by NHAI HQ.
For cases at High court, there should be a panel of at least five Advocates amongst whom cases
can be allotted on rotational basis. The panel should be formed after the concerned RO forwards
the CV’s of the advocates to HQ and after they get scrutinized by Legal and LA division and
approved by the Member (A). For cases at District level/Tribunals, PD should follow a similar
process. In court cases where both MoRTH & NHAI are respondent and where vital interest is
involved, Ld. Attorney Solicitor General at the fee prescribed by Govt. of India or at higher fee, if
required may be engaged after approval of the competent authority. (Circular No.
Administration/Finance 163/2015 dt. 10.09.2015)
4 Schedule of Legal Fee:
Schedule of fee payable to Advocates/ Techno- legal Experts/ Law Firms w.e.f. 04.06.2014.
S.No. Legal subjects Schedule of Fee
1. Before Supreme Court
a. In Writs, Civil or Criminal Revision/Appeals/Arbitral Matters etc.
i. Appearance ₹ 9,000/- per case per

appearance
ii. Drafting of Special leave petition/ Writ/ Counter ₹ 44,000/- (Lump sum)
Affidavits/Rejoinder/ Appeal/ Interim Application/
Reply to interim application/ Affidavits Rejoinder
to the Application etc
b. Filling of caveat ₹ 9,000 per caveat
c. Fee payable to Advocate on record ₹ 10,0000/- per case
2. Before High Court
a. In Writs, Civil suits/Counter Claims or Civil or Criminal Revisions/Appeals/Arbitral

Matters/Petition/ Any other Petition etc

appearance
ii. Drafting of Writ/ Counter Affidavits/Rejoinder, ₹ 37,500/- (Lump sum)

Civil Suits/ Written statement/Replication or Civil
or Criminal Revision/ Appeals/ Petition/ Interim
908
Application/ Reply to interim application/

Affidavits/Rejoinder to the Application/ any other
Petition etc.
b. Filling of caveat ₹ 7,000/- per caveat
3. Before District Court
i. Appearance before District Court/ City Civil ₹ 5,000/- per case per
Court/Consumer Court/ Small Causes Court/ appearance
Appellate Tribunal
ii. Drafting of Civil Suit/ Written Statements/ ₹ 37,500/- (Lump sum)

Replication or Civil or Criminal
Revision/Appeal/Petition etc. / or any other/
Reply/Appeal/ Interim Application/Reply to interim
application/ Affidavits/ Rejoinder to the
Application etc.
4. Before any other Authorities/Tribunals/Commission/ Forum/ EO/ Labour Court/CIC

etc.
i. Appearance ₹5,500/- per case per appearance
ii. Drafting of Petition/ Reply/Rejoinder/Appeal/ ₹ 31,000/- (Lump sum)

Interim Application/Reply to interim
Application/Affidavit/ Rejoinder to the Application
etc.
5. Before Arbitral Tribunal (Civil Engineering

Contracts)

appearance irrespective of No.s
of Legal counsels appearing
before Arbitral Tribunal
ii. Drafting of Statement of Claims/ Statement of ₹ 9,000/- per claim

Defence/ Rejoinder/Interim Application/Reply to
interim Application/Affidavit/ Rejoinder to the
Application etc.
iii. Written synopsis ₹ 3,000/- per claim
6. Techno Legal Experts (Before Arbitral Tribunal)
i. Appearance ₹ 12,500/- per hearing
ii. Drafting of Claims/counter Claims/ ₹ 12,500/- per claim

Rejoinder/Statement of Defence/ Interim
909
Application/Reply to interim Application/Affidavit/

Rejoinder to Application and Agreement etc.
iii. Study of Documents ₹ 6,000/- per claim
iv. Conference with Client’s Representatives/ Legal ₹ 9,000/- prior to date of hearing
Counsel
v. Clerical charges ₹ 10% of per day hearing
vi. Service Tax As applicable
vii. Misc. Expenses such as photocopy, power point As per actual

presentation etc.
Other Legal Works
7. Vetting of Documents/Conveyance deed/ any ₹ 6,500/- ₹ 25,000/- (Max) as per

other Agreements/ Deeds etc. work involved ( per documents)
8. Drafting of Legal Opinion/ Brief for Legal Opinion/ ₹ 6,500/- ₹ 25,000/- (Max) as per
Notices/ Reply to Notice work involved
9. Consultation/ Conference
a. In the Office of Counsel ₹ 2,000/- per hour
b. Any other Place ₹ 2,500/- per hour(plus

conveyance allowance as per
actual)
c. Site Inspection (time spent also to include travel ₹ 3,000/- per hour(plus
time) conveyance allowance as per
actual)
d. Conference with Senior Counsel
i. Before Supreme Court ₹ 4,000/- per hour
ii. Before High Court ₹ 3,000/- per hour

iii. Before District Court ₹ 2,500/- per hour
iv. Before any other Authorities/
₹ 2,500/- per hour
Tribunals/Commission/Forum/EQ/ Labour
Court/CIC etc. ₹ 3,000/- per hour
v. Before Arbitral Tribunal (Civil Engineering
Contracts)
910
10. Land Acquisition Matters
Before Arbitrator appointed by Central Govt.

appearance and maximum
of ₹ 9,000/- for 5 or more cases
clubbed together.
ii. Drafting of petition/reply/rejoinder/ Affidavits/ ₹ 19,000/- (Lump sum)

Interim application/ reply to interim application/
additional affidavit/ rejoinder to the application
etc.
Notes:
1. If an Advocate is required to undertake an outstation journey in connection with any matter

of NHAI, he shall be entitled to a sum of ₹ 10,000/- per day for Sr. Advocate and ₹ 5,000/-
per day for junior Advocate over and above the fee payable to him. Lodging, boarding,
traveling and local travel expenses will be allowed only for those Counsels who are 100
Kms. Away from their HQ to the place of meeting.
2. The charges applicable during outstation journey for Techno- Legal expert and Legal
counsels will be as per schedule given below:
These charges are reimbursable on submission of bills
Travelling Expenses Economy Class (By air), First Class AC ( By Train) and AC Car (By Road)
Lodging and Boarding ₹ 18,000/- per day in (metro cities)
₹ 8,500/- per day in (other cities)
₹ 3,500/- per day, if any Advocates/ Techno Legal Expert makes his own
arrangements.
Local Conveyance ₹ 2,000/- per day
3. Whenever a Sr. counsel is to engaged, his charges shall be payable separately, including
for conference, drafting appearance etc. directly to the counsel. Specific approval in writing
of the Competent Authority for engagement of the Senior Counsel shall be required.
4. Where the cases are filed in one and same court or any Authority and matters are similar
(not materially different) which are heard as bunch matters and pleading like filling of reply,
counter affidavits, rejoinder, written statement etc. are also similar than for first three cases,
the payment may be made full as per the captioned Policy Circular’s schedule and 50% up
to 10 cases and thereafter, 10% for rest of the cases.
5. Charges for photocopying, typing,, binding, courier/postage charges, local conveyance

charges etc. shall be paid as per actuals.
911
6. All out of pocket expenses, including service tax at applicable rates, shall be payable in
addition to the above rates.
7. The adjournment charges/ fee shall be payable @50% of the appearance fee only and this
50% fee shall also be applicable when the court does not sit and also in case of non-
effective hearings. Further, this 50% fee would not be admissible if the adjournment has
been declared prior to the day of hearing.
5 Bunch matters and clubbing of Land acquisition matters:
All matters filed before an Arbitrator under section-3G(5) of the NH act, 1956 arising from the same
award of CALA pertaining to the same village shall be treated as “ bunch matter”. Similarly, all
appeals in the District Court arising from the same award of an Arbitrator pertaining to the same
village shall be treated as “bunch matters”.
However, if after examination of draft reply/ draft written statement / draft counter affidavit/ draft
rejoinder etc. by PD concerned, it is felt that there is any substantial material change in the said
reply/ written statement / counter affidavit / rejoinder etc. in comparison to other matters being
heard against one particular award pertaining to the same village, a proposal for excluding the
same from “bunch matters” shall be submitted by PD to RO concerned. Only on approval of the
proposed by the Regional Office concerned, the same shall be considered as excluded from the
“bunch matter”.
Clubbing:
i. Case numbers which are heard in the same hearing shall be treated as clubbed cases.
ii. The case number which are mentioned in the Cause list of a particular date of hearing
before an Authority (Arbitrator/ District Court), shall be considered to be heard in the “same
hearing” mentioned in (i) above.
iii. The Project Director, PD shall arrange to club all bunch matter cases for which application/
petition have been filed before the Arbitrator/ District Court within a period of six months
from the date of a particular award by CALA/ Arbitrator. All bunch matters cases arising
from application filed after the said period of six months and within a subsequent period of
six months shall be similarly arranged to be clubbed by PD, if the cases are not already
clubbed by the Arbitrator. The process of clubbing bunch matter cases in every six monthly
periods shall be continued by PD.
iv. Fees Payable:
(i) Fees Chargeable for Appearance:
Case numbers which pertain to a bunch matter and which are clubbed, shall be treated as
a single case for the purpose of Appearance mentioned in Clause 10 (i) and Clause 3 (i) of
the Schedule of Legal Fee annexed with the Circular No. 11041/217/2007- Admn dated
04.06.2014.
(ii) Fees Chargeable for Drafting, etc.:

912
The Fees Chargeable for Drafting. etc., as per Clause IO(ii) and 3(ii) of the 'Schedule of
Legal Fee' annexed with the Circular No. 11041/217/2007-Admn dated 04.06.2014 shall
be applicable to bunch matters irrespective of the time when a bunch matter case I case
number was filed before the Authority (Arbitrator or District Court).Clubbing of bunch matter
cases/case numbers shall not be a relevant consideration for calculating the fees
chargeable for Drafting, etc., as per Clause IO(ii) and 3(ii) of the 'Schedule of Legal Fee'
annexed with the Circular No. II0411217/2007-Admn dated 04.06.2014. The SI.No.(4) of
'Notes' under the 'Schedule of Legal Fees' of the said circular shall be applicable in respect
of Drafting Charges, etc. payable as per the said Clause 10(ii) and Clause 3(ii). It has been
stated in said SI. No. (4) of 'Notes' under the 'Schedule of Legal Fees' RO shall shortlist a
group of Advocates for LA cases after obtaining a recommendation from PD. The cases
should be rotated amongst the said short listed Advocates.
It is important that before making payments, PDs must insist on daily order sheets/internal
orders of the judicial officers on their files indicating the presence of advocates and
summary of days' proceedings.
No payment shall be made for an adjournment if the same is not at the behest of the
concerned PD, NHAI. If for some reasons adjournments have been sought by our
Advocates and they claim payment for that day, then it should be made only on the written
orders of PD explaining the reasons why adjournments had to be sought.
(iii) The issue regarding bunch matters was dealt specifically along with clarification
contained in circulars dated 19.12.2011, 24.1.2012 and 15.5.2012 which are still in force.
Besides, another circular dated 4.9.2014 was issued regarding clubbing/bunch matters etc.
citing the situational illustrations.
The issue about bunch matters has been explained in detail in circular dated 24.1.2012
and in the dated circular dated 4.9.2014. The circular dated 24.1.2012 inter-alia states that
The bunch matters would constitute all claim petitions filed under one Award covering the
claim petitions of the Awardees of a village or villages.” i.e. for a village or group of villages,
there is only one award and cases flowing out of one award will be considered bunch
matters/clubbed cases. Even here, PD has been given discretion to segregate the cases,
in case of material difference. (Circular No. NHAI/Legal Cell/Opinion/2015 dated
01.04.2015)
6 Revised structure of fee to lawyers appearing before Land Acquisition Arbitrators:
To incentivize the lawyers, the structure of fee to lawyers for appearing before Land Acquisition
Arbitration Arbitrators appointed under NH Act, 1956, is hereby revised as under:
<= 10 hearings 10 – 20 hearings > 20 hearings

913
i. Drafting of petition / Continues to be as per NHAI circular No.11041/217/2007-Admn.

reply / rejoinder / dated 04.09.2014{Policy Matters: Administration /Finance
affidavit / interim (142/2014)} read with the circular No.11041/217/2007-Admn dated
application / reply to 04.06.2014{Policy Matters: Administration /Finance(140/2014)}.
interim application /
additional affidavit /
rejoinder to the
application, etc.
ii. Appearance fee per
hearing per case (<5 Rs. 2,000/- Rs. 1,000/- Rs. 500/-
clubbed cases)
iii. Appearance fee per
hearing per case (>= Rs. 2,100/-
Rs 9,000/- Rs 4,400/-
5 clubbed and bunch
matter cases)
iv. Fixed incentive in
case of disposal within Rs. 11,000/- (Lump sum)
6 months
Note: the period or periods when an arbitrator appointed by the Central Govt. is unavailable
in his place of posting under the concerned State Govt. and is therefore unable to allot
dates for hearings, shall be excluded from the aforesaid period mentioned in the table
above.
In addition to a variable pay per hearing based on the number of hearings, the structure provides
a fixed incentive of Rs. 11,000/- per case (or clubbed and bunch matter cases) for disposal of
a case (or clubbed cases) within 6 months of filing. (Circular No. 11014/11/2016-HR-I 7.1.48/2016
dated 28.10.2016)
7 Seeking Opinion from Legal and Arbitration Cell:
NHAI should seek legal Opinion/ advice through the Legal and Arbitration Cell rather than directly
from Law firms/ Advocates disregarding the guidelines issued on the subjects.
All RO’s/PD’s must obtain prior approval of the Legal & Arbitration Cell at NHAI, HQ through
concerned Technical Division before engaging any Law Firm/ Advocate for litigation or for taking
any expert Legal opinion etc. The Proposal of RO’s/PD’s shall be put up to the Competent Authority
by Legal & Arbitration Cell for seeking the approval keeping in view the nature of case vis-à-vis
the expertise of the Law Firms/Advocates, on case to case basis. To avoid delay, the
correspondence in this regard may be carried through e-mails. (Circular No. No. Administration/
Finance (152/2014) Dt. 10.10.2014)
Powers To whom delegated Extent of Delegation
Chairman Full Powers

914
Legal Charges relating to Member (Admin) Up to Rs. 1.50 lakh

Court and Arbitration
cases including Fees of CGM (legal) Up to Rs. 50,000/-
Senior
Advocates/ASGs/Techno CGMs/GMs/Project As per prescribed rates.
Legal Experts/Arbitrators Director
etc.
8 Applicability of Article -137 of The Limitation act, 1963:
Provision under section-43 of the Arbitration & conciliation Act, 1996 clarified that the Limitation
provided under Article -137 of the Limitation Act, 1963 would be applicable in the matter of filing
an Arbitration petition/ Application invoking the Arbitration, which is three years from the date of
cause of action, as repeatedly held by the courts of Law and the Hon’ble Supreme court.
All Ro’s/PD’s may refer supra ground for defending cases in Court/ Tribunals, where application
are filed before an Arbitrator under the NH act,1956 after a lapse of several years from the
declaration of an award by CALA. (Circular No. NHAI/11013/DGM(LA&Coord)/2014/FTS-
619,205/52416 dated 21.05.2014)
9 Irregularities in the Award of the Arbitrator:
Arbitrator has no locus standi to revisit his own Arbitral Award, once passed under provision of
section-31 of Arbitration & conciliation Act, 1996. RO’s / PD’s must examine such matters
thoroughly while processing/ approving the cases of enhancements in compensation amount for
Land Acquisition and in case action found ultra vires or any irregularity is found the same may
also be taken up with the State govt. in addition to challenging the Arbitral Award before the District
Court. (Circular No. 7.1.63/2019. Dt. 18.11.2019)
10 Summoning of top level officers for High Court proceedings:
In several High court proceeding, senior level officer of the government are being summoned for
matter which can be explained/ Clarified by RO’s/PD’s who are fully conversant with the case. In
such cases, Advocates should submit application to exempt higher level officers from personal
appearance while also informing the concerned division at NHAI, HQ. If the court agrees, the officer
deputed by NHAI HQ to appear in person should get the reply vetted by the HQ and also apprise
the concerned division from time to time of the development on the case. (Circular No. NHAI / FTS
46562/ DGM (LA & COORD.) Dt 06.12.2013)
11 Instructions to counsels for defending the LA cases:
While examining many court cases relating to Land Acquisition, it has been observed that
Counsel’s for the National Highways Authority of India made Commitment/Statement before the
Hon’ble Courts without taking prior written approval of the Competent Authority. It results in loosing
of Case before the Hon’ble Courts and causing in acceptance of unwanted claims before the
915
Hon’ble Courts. It put the financial burden on the Public Exchequer. In order to defend the NHAI
stand effectively and ensure that no case is lost without any proper defence.
All ROs/PIUs to warn all Advocates that no Commitment/Statement should be made before the
Hon’ble Courts without prior approval in writing from the concerned RO. (Circular No.
NHAI/11013/LA/ Instruction to counsels/ 2021/ E-61121Dt 03.02.2021).
Appendix – I
Format
To
PD, NHAI
Certification of project length (land) available without any encumbrances & Obstructions/
hindrances; and request for declaring the Appointed Date
Name of Project:
~
We, M/s (Name of Concessionaire/ Contractor) have inspected all the sites handed over to
us by NHAI under the subject contract/concession agreement related to the project mentioned
above. We are satisfied that Right of Way (RoW) handed over to us in a total length of km as
given in Table-I below is without any encumbrance and without any obstructions/ hindrances,
and is sufficient to undertake construction of the works as per defined scope in the said contract/
concession agreement.
Table-1
Chainage Length of Reach (in Km)

From To
Thus, out of total project length of km, we have been handed over km length, without
any encumbrance & without any obstructions/ hindrances, which constitutes % of total project
length.
We are willing and ready to start the work and request NHAI to declare the Appointed Date
w.e.f…..
Witness-1 (Authorised Signatory of Contractor/Concessionaire)

(Proof of Identity enclosed) Power of Attorney of Authorised Signatory
enclosed
Witness-1
916
(Proof of Identity enclosed)

Appendix - II
Sub: Value Capture Finance (VCF) in NH development.
Value Capture Finance (VCF) is a tool to capture part of the value enhanced due to
construction of Greenfield Highways including bypasses & Ring Roads and Capacity
Augmentation of Brownfield Highways in the States in the form of increase in land value and
associated additional revenues. These guidelines seek to devise a mechanism to implement VCF,
jointly by the States and NHAI, to part finance the cost of highway construction in order to make
them viable.
2. Bharatmala Parivojana provides for Grand Challenge Mechanism to take up the projects on fast
track where sufficient and timely land is made available by the State Govt. In addition, if the State
Govt. provides atleast 25% of LA Cost for Ring Road/ Bypass Projects, then such projects will be
taken up on priority,
3. In recent times, the cost of construction of highways has gone up primarily due to increase in
cost of land acquisition. In order to make these Greenfield/ Brownfield Projects viable, it is
proposed to share the cost with respective State Governments 01- Union Territories through Value
Capture Finance!
4. The details of Value Capture Finance Policy are as given below. State Government can
contribute through any or all of the following options:
4.1 Project facilitation by State/ UT Government:
(i) Expeditious land acquisition & handing over of encumbrance free land for the projects. To
achieve this, State/ UT Govt. to ensure:
a. Appointment of adequate number of Competent Authority for Land Acquisition (CALA) &
Arbitrator(s) for Land Acquisition under NH Act;
b. Providing land record (preferably digitized) promptly and free of cost; and
c. To set-up a high powered monitoring Committee under Chief Secretary and complete the
Land Acquisition in the minimum possible time;
(ii) Give preferential mining rights to NHAI/Concessionaires/Contractors for incorporating in bidding

documents so that the project costs come down due to mitigated risks in quarrying.
4.2 Contribution through land:
(i) Share Land Acquisition Cost.
(ii) Contribute by either acquiring & giving land to NHAI or giving already acquired land to NHAI.
(iii) Provide Land of State/ UT Government to NHAI having potential to Generate Revenue:
(a) to provide State/ UT Government land abutting the highways to construct wayside
amenities;
917
(b) to provide State/ UT Government lands which are not abutting the highway but which
can be monetized to part finance the road projects to make it viable
4.3 Waiving/ refunding of Royalty / Taxes etc:
(i) Waive Royalty on earth, sand, aggregates/ stones, etc.;
(ii) Agree to refund GST on construction material like cement, steel, bitumen, etc.; and
(iii) Agree to waive/ refund other applicable State/ local taxes.
4.4 State Government may agree to share the enhanced value of land in the project impact area
or 1km on either side of the Greenfield/ Brownfield highway by the following methods and deposit
the proceeds into an Escrow Account to be operated by NHAI:
i. To share upto 20% of the Stamp Duty;

ii. To share minimum 10% of fee for Change in Land Use (CLU) or equivalent fee;
iii. To share minimum 10% of development or equivalent charges:
iv. To share minimum 10% of premium received on allowing additional FSI/FAR; and
v. To share minimum 10% of charges on building rights/land use readjustment like Town
Planning Scheme.
4.5 The State/UT/DA/ULB may explore the possibility of development of residential! Commercial
real estate in the project impact zone for which connectivity to main highway service road may be
given by NHAI.
5. NHAI and State/UT Governments can develop suitable VCF proposal/s out of the options
suggested above or suitably modify the proposal of VCF depending upon the local conditions, as
may be mutually agreed. An MoU (specific to the project) in this regard may be entered between
State Government/ UT and NHAI/ MoRTH.
6. NHAI shall set-up 'VCF Implementation Cell' comprising of Transport Planners, Transport
Economists, Urban Economists and Land Property Valuation Experts for analysing VCF
opportunities in all its projects and coordinate with private sector and State Governments to
leverage VCF mechanism.
7. NHAI may form SPV with State/ UT Governments/ DAs & ULBs delineating responsibilities of
development as mandated by prescribed laws. For example; while NHAI shall focus on
development of highways, the State/ UT Government/ DAs & ULB can develop and capture value
enhanced by the development of real estate projects and share their revenues with NHAI.
8. This issues with the approval of Competent Authority in supersession of Policy Circular No.
7.1.59/2019 dated 24.09.2019.
-sd-
(Sheo Shankar Jha)

CGM (Coord)
918
Appendix – III
Format of Application for transfer of land
1. Name of the organization and address

2. Status of organization
a. Central Government
b. Central Government Undertaking/Enterprise
c. Autonomous body of Central Government
d. State Government
e. State Government Undertaking / Enterprise
f. Autonomous body of State Government
g. Private institution / body
h. Any other to be indicated
3 Extent of land required for transfer
a. Area in acre / hectare

b. Survey number
c. Name of village / Taluka / district
d. Sketch / site plan with boundaries
4 Purpose for which the land is required and its importance

from National / Regional perspective.
5 Details of the public infrastructure/utility projects for which
land is required.
6 Timelines for completion of the public infrastructure/utility
project and the indicative date for transfer of land to
indenting authority.
7 Efforts made to obtain the land from alternative sources
such as State Government / Private parties.
8 Undertaking to provide equal value land suitable to Services
by the Indenting Authority or;
Undertaking that indenting Authority is neither a land owning
authority nor does it have an arrangement with the state/ UT
governments for providing land for the project and is
therefore unable to provide equal value land.
9 Undertaking to pay market value fixed by Ministry of
Defence and right of MoD to reclaim / resume ownership of
the land on payment of suitable compensation.
10 Recommendations of the competent authority of Ministry /
Department of central / State Government.
919
Appendix - IV
Format for submission of proposals regarding handing over of unutilized land

Sl. PIU NH Name of Khasra ***Are *3A *3D Reason **Whe Nam Mode of Wheth
No. No. village/ No./ a of Notific Notific why the ther e of execution er the
Tehsil/ Survey Land ation ation land has the proje EPC/DBFO land
District No. w.r.t No. No. not been land ct for T/DOT etc. menti
which Col.5 and and utilized in whic oned
are notifie date date (change in Col.6 h the in
surplus d vide vide alignment/ is utiliz Col.6
under which which excess mutat ed can
sectio the the land ed in land be
n 3D land land acquired/ the was utilise
of NH mentio mentio mistake in name acqui d in
Act, ned in ned in acquisition of red future
1956 column column , etc, Centr by
but is 6 was 6 was please al NHAI
surplu acquir acquir specify) Govt. for the
s and ed ed public
has purpo
remai se for
ned which
unutili it was
zed acquir
(in ed or
Ha.) for
any
purpo
se
under
sectio
n of
NHAI
Act,
1988
(to be
specifi
ed).
1 2 3 4 5 6 7 8 9 10 11 12
920
Note: *(i) copy of 3A & 3D notifications highliting the survey nos. which are proposed to be
handed over in accordance with the decision conveyed vide Ministry's letter No.NH-llOll/80/2015-
LA dated 09.12.2015, may please be attached
* *(ii) if the land in Col.f is not mutated in the name of Central Govt., the reason thereof may
please be mentioned (like non-payment of compensation to the erstwhile land owner or
procedural delay in mutation of land, etc).
***(iii) if payment of compensation has not been made to the erstwhile land owner for the land
mentioned under Co1.5, the same should be clearly mentioned in the proposal alongwith reason
for non-payment of compensation for the land
ANNEXURE - I
The above stated guidelines supersedes all the following previous circulars/policy
guidelines:
S. No. Policy No. Subject Date Remarks

1. No. 7.1.75/2021 Details to be given for approval of 06.12.2021
revised preconstruction costs (Land
Acquisition, Utility Shifting, etc.) in
the projects- reg.
2. No. 7.1.74/2021 Revision of circular 01.11.2021
No.11041/218/2007-Admn. Dated
05.11.2015 {Policy Matters-
Technical (183/2015) in respect of
remuneration of Retired Revenue
Officer and Surveyor/Amin and
Private Surveyor/Amin
3. No. 7.1.73/2021 Guidelines for processing 12.04.2021
increased preconstruction costs
before appraisal and approval of
project.
4. No. 7.1.72/2021 Value Capture Finance (VCF) in 18.03.2021
NH development.
5. No. 7.1.71/2021 Monitoring the progress of pre- 01.03.2021
construction activities for NH
Projects.
6. No. 7.1.70/2021 Inclusion of Land identification & 01.03.2021
Monetization plan for Development
of Wayside Amenities, Logistic
Parks in all upcoming
Greenfield/Brownfield NH,
Bypasses and Ring Road Project
proposal placed before LAC
through Real Estate Consultants.
921

7. No. 7.1.69/2021 Standard Operating Procedure for 01.02.2021
processing of proposals for
consideration of LA Committee.
8. No. 7.1.68/2021 Payment for Joint Measurement- 05.01.2021
Survey (JMS)
9. No. 7.1.67/2020 Optimization of planning & 07.08.2020

execution of projects-approval of
alignment by the LA Committee
(LAC) in first stage.
10. No. 7.1.66/2020 Mandatory Certification of project 08.07.2020
length (land) available without any
encumbrances &
obstructions/hindrances by
Concessionaires/Contractors
11. No. 7.1.65/2020 Serious delays in land acquisition, 21.05.2020
leading to huge losses to NHAI
12. No. 7.1.64/2019 Optimization of planning an 13.12.2019
execution of projects-approval of
LA cases by “LA Committee”.
13. No. 7.1.63/2019 Delegation of Power for revision of 18.11.2019
the costs of preconstruction
activities (Land Acquisition, Utility
Shifting, etc.) for on-going projects.
14. No. 7.1.62/2019 Irregularities in the award passed 18.11.2019
by the arbitrator for land acquisition
exceeding his jurisdiction and
cancelling his own award passed
earlier
15. No. 7.1.61/2019 Optimization of planning and 23.10.2019
execution of NH projects.
16. No. 7.1.60/2019 Demarcation of acquired land of 18.10.2019
trumped at crossing of Jalandhar-
Amritsar-Padhankot sections,
village, district Amritsar in the State
of Punjab.
17. No. 7.1.59/2019 Alternative Mechanisms to fund 24.09.2019 Became
Acquisition Cost. Obsolete
18. No. 7.1.58/2019 Database of Immovable Assets 17.09.2019 Subsume
(other than Highways) and Surplus d in
Land held with NHAI. policy of
Data
Lake
19. No. 7.1.57/2019 Declaration of award under section 11.06.2019
3G of NH Act, 1956 for structures
922

falling within the RoW of road
projects.
20. No. 7.1.56/2019 Prioritization of Projects to be 11.06.2019 Subsume
implemented by NHAI under d in
Bharatmala Pariyojana & policy of
undertaking Land Acquisition & LAC
Pre-construction activities in
prioritized BFA Projects.
21. No. 7.1.55/2019 Settlement of Arbitral Awards/Court 30.04.2019
order on compensation for land
acquisition
22. No. 7.1.54/2019 Prioritization of Projects to be 15.04.2019 Subsume
implemented by NHAI under d in
Bharatmala Pariyojana & policy of
undertaking Land Acquisition & LAC
Pre-construction Activities in
Prioritized BFA Projects
23. No. 7.1.53/2017 Engagement of Consultants (LA) 31.07.2017
24. No. 7.1.52/2017 Delegation of powers to Regional 14.06.2017

Officer.
25. No. 7.1.51/2017 General Policy Guidelines and 10.04.2017
delegation of powers to Regional
Officer for payment of
compensation for structures falling
within the RoW of road projects-reg
26. No. 7.1.50/2016 Amendment of NHAI circular 06.12.2016
No.11041/21/2002-Admin.III dated
24.12.2002 (policy matter:
Administration/Finance (30/2002)
regarding provisions of support
staff and contingencies to
arbitrators appointed under NH Act,
1956.
27. No. 7.1.49/2016 Delegation of power to CGM(LA) in 04.11.2016
respect of institution of legal
proceedings or defending legal
cases-reg.
28. No. 11014/11/2016-HR-I Revision of payout structure for 28.10.2016
7.1.48/2016 layers for LA related cases.
29. No. 7.1.47/2016 Delegation of powers to Regional 30.03.2016

Officers, NHAI for approval of
resources for removal/ demolition
923

of structure failing within project
ROW
30. No. Provision for Additional Arbitrators 19.09.2016
7.1.46/Administration/Fin in cases where Arbitrators
ance 180/2016 appointed under NH Act, 1956 are
"highly loaded"
31. No. 7.1.45 Strengthening of Regional Offices - 29.07.2016
/Administration/Finance Provision for ROs to engage ex-
(179/2016) revenue department officials for
Land Acquisition
32. No. Provision of additional CALAs in 29.07.2016
7.1.44/Administration/Fin cases where CALAs are highly
ance(178/2016) loaded
33. No. Guidelines regarding fund 01.07.2016 Became
7.1.43/Administration/Fin management and payment of LA Obsolete
ance (177/2016) compensation amount to land d
owners / persons intrusted as per
award of competent authority (Land
acquisition), through centralized LA
compensation amount of NHAI-
transfer of LA compensation by
CALA through NEFT/RTGS from
CALA-PD joint accounts maintain in
the locality where land is being
acquired under NH Act, 1956-reg.
34. No. 7.1.42/2016 The Control of National Highways 19.02.2016 NA
(Land and Traffic Act), 2002 (13 of
2003) - implementation regarding
35. No. 7.1.41 Policy Joint CALA-PD Account 19.09.2014 & Became
Matters: 09.02.2016 Obsolete
Administration/Finance(1 d
68/2016) & (147/2014)
36. No. 7.1.40/FTS-62/71258 Guidelines for submitting cases for 04.09.2015

approval of extension of special
Land Acquisition Units (SLAUs).
37. No. 7.1.39/ Technical Revision of Circular No. 05.11.2015
(183/2015) 11041/218/2007-Admin dated
24.06.2009 (Policy Matters
Technical (32/2019) in respect of
remuneration of Retired Revenue
Officer and Surveyor/Amin and
private Surveyor/ Amin
38. No. Ministry of Rural Development 11.09.2015 Covered
7.1.38/ NHAI/11013/DG order dated 28.08.2015 in respect in Manual
924

M(LA&Coord)/2015/FTS- of applicability of Frist, Second &
3247/71595 Third Schedules of RFCTLARR
Act, 2013 to acquisitions under NH
Act, 1956-reg.
39. No. 7.1.37/ FTS- Procedure for transfer of defence 25.02.2015
232/66709 land
40. No. Applicability of the Right to Fair 29.04.2015 Covered
7.1.36/ 11011/30/2015- Compensation and Transparency in in Manual
LA Land Acquisition, Rehabilitation
“and Resettlement Act, 20136 to
land acquisition under the National
Highways Act, 1956 – reg.
41. No. 7.1.35/ Determination of market value for 24.08.2015 Covered
NHAI/11013/DGM (LA & land acquired under NH Act, 1956, in Manual
Coord.)/2015/FTS- w.e.f. 01.01.2015 – reg.
417/70689
42. No. 7.1.34/ Bunch matter and clubbing of land 04.09.2014
11041/217/2007-Admn. acquisition matters- clarification of
(142/2014) doubts.
43. No. 7.1.33/ Acquisition of missing plots from 22.05.2014 Covered
Administration/Finance bulk acquisition through consent in Manual
139/2014
44. No. 7.1.32/ Periodical review of land acquisition 11.12.2013 Became
NHAI/11013/DGM status with CALA and submission Obsolete
(LA/Coord.) of report to NHAI HQ. d as it is
2013/FTS/762/46770 now
processe
d through
Bhoomira
shi Portal
45. No. Guidelines regarding continuation 11.12.2013
Administration/Finance of land acquisition process for
129/2013 those projects which are foreclosed
46. No. Delegation of Powers pertaining to 30.09.2013
7.1.31/ Administration/Fi land acquisition to Regional
nance (125/2013) Officers
47. No. Guidelines for submitting cases for 30.01.2013
NHAI/11013/DGM/LA(Co approval of extension of Especial
ord)/2013/3 Land Acquisition Units.
48. No. NHAI/11013/DGM Mutation of Land Record and 18.10.2012
(LA/Coord)/2012 submission of monthly progress
report
49. No. 7.1.30/2011 Procedure to be followed for 15.09.2011 Became
issuance of Notifications under Obsolete
d as it is
925

National Highways (NH) now
Act,1956. processe
d through
Bhoomira
shi Portal
50. No. 7.1.29/ Land acquisition under section 3,3A 29.06.2011 Became
NHAI/LA/11013/2009- to 3J of the National Highways Obsolete
Misc. Act,1956. d as now
covered
in Manual
51. No. 7.1.28/2011 Submission of files to Hon'ble Became
Minister of State (RT&H) Obsolete
d
52. No. 7.1.27/ Proposals of notification for Land 02.02.2011 Became
NHAI/LA/11013/2009- Acquisition under NH Act, 1956. Obsolete
Misc.
53. No. 7.1.26/ Procedure for issuance of order for 01.03.2011 Became
NHAI/13/policy/2006 appointment of Arbitrator under Obsolete
section 3G (5) of NH Act, 1956.
54. No. 7.1.25/ Database of acquired land. 21.01.2011 Became
NHAI/LA/Audit/2010 Obsolete
55. No. 7.1.24/ Income Tax on compensation for 04.05.2010
NHAI/13/LA/Policy/2006 land.
56. No. 7.1.23/ Income Tax on compensation for 17.01.2010
NHAI/13/LA/Policy/2006 land.
57. No. 7.1.22/ Delegation of Powers pertaining to 30.04.2010 Became
NHAI/29/LA/Policy land acquisition to Regional Obsolete
Officers.
58. No. 7.1.21/ NHAI/13/LA- Procedure to be followed for 30.11.2009 Became
Policy/2009 issuance of Notification under Obsolete
National Highways (NH) Act, 1956.
59. No. 7.1.20 Office Order – It has been decided 22.10.2009 Became
20NHAI/LA/2009 with the approval of the Competent Obsolete
Authority to decentralize the
following Land Acquisition Activities
to the Regional Offices for ensuring
early completion of Land
Acquisition activities.
60. No. 7.1.19/ NHAI/MC- Proposals pertaining to Land 30.09.2009 Became
II/PHASE Acquisition for various projects. Obsolete
V/LA/Jaipur/3(D)/2009/24
8
61. No. 7.1.18/ Provision of resources for PIUs for 24.06.2009 Became
11041/218/2007-Admin Land Acquisition Obsolete
926

62. No. 7.1.17/ Land Acquisition for projects to be 12.06.2009
11041/218/2007-Admn. implemented on PPP Mode.
Technical (31/2009)
63. No. 7.1.16/ Format for Submission of cases for 17.06.2008 Became
11041/217/2007-Admin release of Compensation Obsolete
64. No. 7.1.15/ Database of acquired land. 28.02.2008 Became
11041/217/2007-Admn. Obsolete
(29/2008)
65. No. 7.1.14/ Delegation of powers to Members 19.02.2008
Administration/Finance of the National Highways Authority
(28/2008) of India
66. No. 7.1.13/ Processing of cases for Land 08.02.2008 Became
11041/217/2007-Admn. acquisition – Management of funds Obsolete
(24/2008) and correction of Records of d as now
Rights. covered
in Manual
and Data
Lake
67. No. 7.1.12/ Procedure for scrutinizing the 29.01.2007 Became
11041/217/2007-Admn. proposals of estimates of land Obsolete
(07/2007) acquisition and utility shifting.
68. No. 7.1.11/2007 Work allocation to Chief General Became
Managers Obsolete
69. No. 7.1.10/ Acquisition of land for NHDP. 03.10.2006
NHAI/13/LA/policy/2006/
10
70. No. 7.1.9/ Land Acquisition. 25.08.2006 Became
NHAI/29/LA&EM/Discrep Obsolete
ancy/2006/119
71. 11041/21/2005-Admn. Guidelines on Implementation of 30.06.2006 Became
(124/2006) the National Policy on Resettlement Obsolete
and Rehabilitation (NPRR) – Reg. d as now
covered
in Manual
72. No. 7.1.8/ Acquisition of missing plots from 30.01.2006 Became
11041/21/2005-Admin bulk acquisition through consent. Obsolete
(113/2006)
73. No. 7.1.7/ NHAI/13/LA & Revised procedure for issuance on 23.01.2006 Became
EM/Policy/2004/69 land acquisition notifications Obsolete
subsequent to amendment of the
Govt of India(allocation of business
rule) 1961-reg
74. No. 7.1.6/ NHAI/13/LA- Submission of relevant information/ 19.12.2005 Became
Policy/2004/64 documents alongwith draft Obsolete
927

notification proposals by PIUs /
Technical Division.
75. No. 7.1.5/ Procedure to be followed for land 29.09.2005 Became
NHAI/13/LA&EM/Policy/2 acquisition subsequent to Obsolete
004-61 amendment of the Govt of India
(allocation of business rules, 1961)-
reg
76. No. 7.1.4/2005 Entrustment of stretches 10.05.2005
77. No. 7.1.3/ Change of records of rights (RoR) 22/23.12.200 Became

11041/21/2002-Amin by the State Govt. through with the 4 Obsolete
(94/2004) national highways are passing to d as now
the Central Govt in revenue covered
records-reg in Manual
78. No. 7.1.2/ Guidelines for processing of cases 13.05.2004 Became
11041/21/2002/Admin-III for land acquisition Obsolete
(83/2004)
79. No. 7.1.1/2004 Entrustment of stretches 03.02.2004
80. No. 18.24/2017 Delegation of Power in 21.08.2017

implementation of the Projects.
81. No. 7.4.5/2017 Delegation of Powers to ROs for 23.10.2017
Green Highways Projects
(Plantation, Transplantation,
Beautification and Maintenance)
82. No. 18.27/2017 Revised Delegation of Powers for 27.09.2017
approval /release of compensation.
83. No.NHAI/13/LA/Policy/ Guidelines for processing Arbitral 06.09.2010
2006 Awards
84. No. Administration/ Detailing Advocates for Court 10.09.2015
Finance (163/2015) Cases at the level of RO/PD
85. No. Administration/ Schedule of fee for Legal Charges 04.06.2014
Finance (140/2014) to Advocates/Techno Legal
Expert/Law Firms
86. No. NHAI/ Policy Empanelment of Law Firms /
guidelines /Empanelment Advocates in ROs / PIUs of NHAI
of Law firms / Advocates 2017 - reg.
in RO’s / PIU’s / 2017
87. No. Administration/ Guidelines for seeking Legal 10.10.2014
Finance (152/2014) Opinion etc from Law
Firms/Advocates and engaging
them for litigation
Finance (151/2014) Opinion from Law Firms/Counsels
928

Finance (110/2013) Opinion from Law
Firms/Counsels/SG/ASGI
90. No. NHAI / FTS 46562/ Guidelines regarding dealing with 06.12.2013
DGM (LA & COORD.) summons of High Courts to the top
management of NHAI
91. No. NHAI/11013/LA/ Instructions to Counsels for 03.02.2021
Instruction to counsels/ defending LA Cases
2021/ E-61121
92. No. 7.1.71/2021 Monitoring the progress of pre- 11.03.2021
construction activities for NH
Projects.
93. No. NHAI/RO/MUM/S- Guidelines for submitting cases for 14.12.2021
B/NH approval of extension of special
13/Infra.Facility/2021- Land Acquisition Units (SLAUs).
22(E-92119)
94. No. Submission of status of Mutation of 07.10.2015

NHAI/11013/NDLS/LA/20 land
15/FTS-80/72702
95. No. Ministry of Road Transport &

NHAI/11031/DGM(LA&C Highways decision regarding
oord.)/2015/FTS- handing over unutilized land to the
640/77058 State Govt.
96. NHAI/11401/ L & A Div. /

EOI /2017
97. NHAI/ Policy guidelines

/Empanelment of Law
firms / Advocates in RO’s
/ PIU’s / 2017
98. NHAI/LA/11013/2009- Circular – Hon’ble Minister of State 04.05.2011 Became

Misc (RT&H) has desired that all LA files Obsolete
put up to him should specify
whether the project is as green field
project or one involving widening of
existing alignment. “Further, if the
project has new green field
bypasses. The same may also be
specified.
929
Section: 7.2. Utility shifting
Sub Subject
section
I. Detailed instructions/guidelines for processing utility

shifting estimates & Delegation of Power to sanction
the estimates of utility shifting
II. Peer Review of Utility Shifting Estimates

930
7.2. Utility shifting

The extant policy circulars as on date related to sub-head “Utility Shifting” under Category -7 of
this master circular are described below:
I. Detailed instructions/guidelines for processing utility shifting estimates &

Delegation of Power to sanction the estimates of utility shifting:
1. It has been observed that the estimates approved ‘in principle’ by the utility owning agencies
are being forwarded by most of the PDs to ROs without proper site verification, scrutiny/due
diligence and compliance of checklist/guidelines issued earlier vide Circular dated 07.11.2017 and
dated 02.05.2019 (copies enclosed). The checks/due diligence at the level of ROs before
sanctioning of such estimates is found to be inadequate in most of the cases, as observed during
scrutiny by Vigilance (Ref. enclosed Circular dt. 22.09.2020 of CVO). In some cases, the total
amount of sanctioned estimates of utility shifting has been found to exceed the corresponding
provision in the sanctioned project cost approved by the Competent Authority and the revised
project sanction has not been taken. In some vigilance cases, the estimates have been found to
be inflated and the payments have been allowed based on the estimates, without any site
verification of the executed works.
1.2 In many cases, checking by Headquarter led to reduction of the estimate to 20% and the
works were successfully executed within this reduced cost (eg., Rs. 10 Cr. in place of earlier
estimate of Rs. 58 Cr.). This has led to vigilance proceedings against many NHAI Officers.
1.3 All the above instances show wastage of public/tax payers’ money. It has also brought a
bad name of NHAI.
2. The above position warrants review of the Delegation of Power (DoP) given to ROs and
issue of detailed guidelines. Accordingly, EC in 452nd meeting revised the DoP as under for
approval of Utility Shifting estimates in partial modification of DoP issued vide Policy Guidelines
No. 18.24/2017 dated 21.08.2017.
Revised DoP
Subject To whom delegated Revised DoP for each concerned
division of utility owning agency
Approval of Utility shifting RO Rs. 5 Crore

estimates, public utilities only
(electrical, water and other Member Concerned More than Rs. 5.0 Crore to Rs. 10.0
public utilities) Crore
Executive Committee Full Powers
3. It was also decided that RO will upload sanction letter and copy of all the estimates
approved by them earlier under DoP vide Policy Guidelines No. 18.24/2017 dated 21.08.2017 on
Data Lake for detailed audit. This should be followed for future estimates as well, sanctioned by
ROs, under the revised DoP, as above.
931
4. The following detailed instructions are reiterated/issued for strict and meticulous
compliance by the field offices, in continuation of earlier instructions/ guidelines mentioned at Para-
1 above.
4.1 Conversion of overhead HT (11 & 33 KV) and LT lines with cables below ground level (GL)
: It has been earlier brought to the notice of field offices that provisioning of underground (U/G)
cables in lieu of existing overhead (O/H) LT/HT lines are to be avoided as far as possible being
very costly. The U/G cable laying is to be restricted only in some urban areas due to
impossibility/high level of difficulty in putting O/H lines, whereas for open areas including greenfield
O/H lines crossings over redefined ROW as per existing arrangement, is required to be followed.
In case of trenchless boring with HDD method for laying U/G cable, the following instructions must
be complied with:
(i) HDD method for laying U/G cable shall not be permitted for cable laying works along
NH and only open trench methodology shall be adopted.
(ii) U/G cable crossings shall not be permitted on green field alignments. However, if
it is inevitable for justifiable reasons, HDD method shall not to be allowed in any
case and only open trench methodology shall be adopted.
4.2 Overhead HT/LT line crossings with M+ type towers: The provision of M+ towers in the
estimates shall be regulated as under:
(i) Crossing across elevated road structure (VUP & Flyover) using M+3/M+6 towers,
only to achieve safe ground clearance as per CEA new guidelines/norms, may be
permitted.
(ii) Crossing across at-grade NH (having no elevated road structure at the crossing)
is to be restricted with 11m/13m high poles as per requirement of utility owning
agency.
(iii) Proposal of M+ (M+3 to M+12) towers for multi circuit HT lines along NH is to be
restricted to urban areas only due to space constraint and not to be allowed in
open areas. Further spacing between two M+ towers for multi circuit HT (11/33
KV) lines in urban areas shall generally be as under:
Description M+3 towers M+6 towers M+9 towers M+12 towers
Minimum 70m 80m 90m 100m

Spacing
(iv) M+ tower is an SOR (2018-19) item with APEDCL(AP State utility owning agency)
and the SOR rates of M+ towers are reproduced below for reference & guidance
while provisioning in the estimates:
Description M+3 towers M+6 towers M+9 towers M+12 towers
Cost as per Rs. 268,290/- Rs. 310,880/- Rs. 353,360/- Rs. 395,340/-
APEDCL SOR
(2018-19)
(v) The above rates are for supply & fixing of such towers (with six arms) complete in
all respects. In case of M+ type towers, where the same is not listed in SOR of the
932
concerned utility owning agency, the rates proposed in the estimate should be
comparable, not much higher, with the above rates of APEDCL SOR.
4.3 Provision of Monopoles instead of Lattice type towers for shifting/realignment of EHT
(66/132/220/400 KV) lines to raise height of bottom most conductor (line) in open areas for safe
ground clearance as per CEA latest guidelines/norms shall not be permitted. Such non-SOR
monopoles, which are much costlier, may only be allowed wherein this proposal is absolutely
necessary. However, for all such cases, the prior approval of NHAI/HQ shall essentially be
obtained by the RO.
4.4 Detailed guidelines/instructions for passing IPC/Final Bill of the Contractor/ Concessionaire
have already been issued vide HQ letter dated 02.05.2019 (copy enclosed) but it has been
observed that these instr5uctions are not being followed by some PDs resulting in excess payment
to the contract agencies, as observed during Advisor (Utility)/Vigilance examination of cases. In
this regard, it is reiterated that:
(i) All IPC/Final Bills will be passed for payment, based on material actually used at
site and quantities of items actually executed as per site verification by a team
consisting of a qualified Electrical Engineer of IE/AE, the representative of utility
owning agency and PD.
(ii) Proper Measurement Book (MB) is to be maintained/uploaded on Data Lake Portal,

chainage wise, for all the works, which will form the basis of payment of Bills.
(iii) It has been found in some cases that dismantled material is reused. Hence in order
to curb this practice, the final bill shall be cleared only after receipt/challan of deposit
of dismantled material issued by the utility owning agency, is produced and placed
on record with final bill. The credit of deposited material may be taken from the
utility owning agency by the PD as per practice of the utility owning agency. It is
reiterated that this may be complied by the PD in letter and spirit.
(iv) Cost of material supply is inclusive of applicable GST. Accordingly, extra GST
@18% is not applicable on cost of material used in works. However, extra GST
@18% will be payable on transportation/labour cost components and departmental
supervision charges.
(v) Provision of centages (contingencies, storages, T&P etc.) will be payable based on
actuals, on proof of having spent on the work and on certification by utility owning
department. Although the responsibility to certify such amounts lies with Utility
Owning Agency, It till not absolve PD from exercising due diligence and ensuring
that the amount was actually spent while releasing the payment. PDs shall also
inform the concerned Utility Owning Agency, who are certifying the
estimates/payments that the responsibility of any undue unintended benefit to the
Contractor rests with them as well.
933
II. Peer Review of Utility Shifting Estimates:
1. The Utility Shifting has been made part of the scope of work of Concessionaire/Contractor in
HAM/EPC projects vide NHAI Policy Circular No. 7.2.8/2020 dated 06.03.2020. It has been
decided that the estimates of Utility Shifting works as submitted by DPR Consultants be reviewed
by Utility Experts independently and the estimated cost vetted by such experts be incorporated in
the appraisal/bid documents of HAM/EPC.
2. The list of retired Government officials empanelled for Peer Review of Utility Shifting
Estimates is enclosed at Annex-A. The Terms of Reference for Peer Reviewers is attached at
Annex-B.
3. Member concerned with DPR Package will decide the reviewer for Utility Shifting Estimates
from the empanelled list of reviewers. Not more than two DPR Packages will be given to one
person at a time for Peer Review. The retired officers settled near the Project reach may be
preferred for the assignment.
4. The utility expert/reviewer shall carry out site visit along with DPR Consultant and PD of
NHAI and the vehicle for such site visit shall be provided by concerned PD.
5. The Utility Shifting Work/Estimate of one package is expected to be reviewed in 15 days’

time (including site inspection with PD and discussion through VC as necessary with concerned
Advisor (Utility) at HQ and CGM/GM at HQ of NHAI.
6. For Peer Review of Utility Shifting Work/Estimate of one package (irrespective of project
length), a consolidated remuneration of Rs.75, 000/- + TA/DA as per entitlement of CGMs of NHAI
(Taxes extra) will be paid by NHAI.
934
Annexure-A
The list of retired Government officials empanelled for Peer Review of Utility Shifting
Estimates:
Sr. Name of Last position held Mobile Nos. E-mail IDs

No. Retired
Government
Officer
1. Sh. A.K. Jain Special DG, CPWD 9810826028 akjain54@yahoo.com
2. Sh. M.C. Purohit CE, Rajasthan Rajya 8005596279/ purohitmc@gmail.com

Vidyut Prasaran Nigam 9414061431
Ltd.
3. Sh. Bhamu MD, DISCOM, Ajmer 8619801075 bmbhamu@gmail.com
4. Sh. V.K. Jain CE, Haryana Vidyut 9357189006 vkjain.dst@gmail.com

Prasaran Nigam Ltd.
5. Sh. A.K. Dixit SE, MP Electricity 7987863729 ashokdixit1954@gmail.com

Board
6. Sh. D.N. Tiwari Retd. Chief Engineer, 9430551500 Dntiwari.pat@gmail.com

North Bihar Power
Distribution Company
Ltd (NBPDCL)
erstwhile BSEB
Note:
(i) More names will be added subsequently.
(ii) A formal consent on the terms will be obtained prior to assigning the review of Utility Shifting
Work to the above reviewers.
(iii) The reviewer shall certify that he was not associated with the DPR Consultant and has no
conflict of interest with the DPR consultancy firm.
(iv) The utility expert/reviewer shall carry out site visit along with DPR Consultant and PD of
NHAI and the vehicle for such site visit shall be provided by concerned PD.
(v) The Utility Shifting Work/Estimate of one package is expected to be reviewed in 15 days
time (including site inspection with PD and discussion through VC as necessary with
concerned Advisor (Utility) at HQ and CGM/GM at HQ of NHAI.
935
(vi) For Peer Review of Utility Shifting Work/Estimate of one package (irrespective of project
length), a consolidated remuneration of Rs.75,000/- + TA/DA as per entitlement of CGMs
of NHAI (Taxes extra) will be paid by NHAI.
936
Annexure-B
Terms of Reference for Utility Expert for Review of Utility Shifting Works/Estimates:
1. To carry out a site visit along with DPR consultant & PD to ascertain the utilities required
to be shifted beyond the toe-line of proposal project highway to facilitate the construction of
highway along the proposed alignment.
2. To review/check whether the following utility network, considered in the DPR Consultant’s
Estimate, actually obstruct/infringe the redefined ROW/toe of project highway.
a) EHT lines (66 KV & above rates voltage lines)
b) 33 KV (HT) Lines
c) 1 KV (HT) Lines
d) LT (440 V) Lines
e) 11/0.4 KV Distribution Transformer (DT)
f) Water Supply Lines
g) OFC/Communication Lines
h) Gas Pipelines/Sewage Lines
3. To review/check the correctness of quantities of EHT, HT/LT lines/crossings taken in DPR

document and to ensure that only those utilities have been proposed for shifting which are
hindrance for road construction along the proposed alignment. The quantities are to be reviewed
from the following angles:
a) Number of O/H lines across NH road.
b) Present clearance of the existing lines crossing the road/ground level as the case may be.
c) Rates considered in the estimate proposals should be strictly as per utility current Schedule
of Rates (SOR).
d) Up-gradation of existing material with new material should not be generally allowed except
for the type of poles and conductor. It will be ensured that proposal of the type of poles
and conductor should be as per current utility practice.
e) Profit on the SOR rates is not allowed, however, contingency @3%, storage and T&P
charges as per utility practice can be agreed.
f) That erection and dismantling charges as per utility practice will be agreed.
g) That salvage value on account of dismantled material if not considered in the estimate can
be agreed as this material shall belong either to Concessionaire/Utility Owning Agency as
per their mutual understanding.
937
Enclosure-1
List of Policy Circulars issued up to date and available in library under Category -7 sub-
head “Utility Shifting” of master circular:
The details of previous policy guidelines issued up to date are given below:
Sr. No Policy guidelines No subject details with date of issuance Remarks

1 Policy Circular No. 7.2.13/2021 To be retained
-Peer Review of Utility Shifting Works/ Estimates proposed by

DPR Consultants.
Dated-30.03.2021

Included in ‘RFP’ of
-Inclusion of Utility Shifting works in the RFPs/Bids as part of Hybrid Annuity and
Civil Construction under Hybrid Annuity and EPC Mode – EPC Mode projects
Amendment in Policy Circular dated 13.10.2020.
-Dated-15.01.2021
- Revision of Delegation of Power to sanction the estimates of

utility shifting and detailed.
-Dated-06.01.2021
4 Policy Circular No. 7.2.10/2020 To be Weeded out
- Inclusion of Utility Shifting works in the RFPs/Bids as part of

Civil Construction under Hybrid Annuity and EPC Mode –
Amendment in Policy Circular dated 06.03.2020.
-Dated-13.10.2020
- Inclusion of Utility Shifting works in the RFPs/Bids of Civil

Work Contracts on Hybrid Annuity and EPC Modes.
-Dated-27.05.2020.
- Inclusion of Utility Shifting works in the RFPs/Bids as part of

Civil Construction under Hybrid Annuity and EPC Mode.
-Dated-06.03.2020
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Sr. No Policy guidelines No subject details with date of issuance Remarks

7 Policy Circular No. Tech-215/216 To be Weeded out
- Procedure for processing of cases of Utility Shifting.
-Dated-19.09.2016
- Delegation of Powers to CGMs regarding shifting of utilities,

extension of time in consultancy contracts and
encashment/release of BGs.
-Dated-30.12.2014
- Policy for sanction and payment of electrical utility shifting

estimates.
-Dated-27.01.2014
- Issues related to Execution of Utility Shifting Work in BOT

contracts.
-Dated-07.03.2013
- Procedure for processing of cases of Utility Shifting.
-Dated-05.10.2012.
- Inclusion of electrical utility shifting work in the BOQ of

future contracts as DPR stage of the Civil Work.
-Dated-27.07.2009
- Shifting of utilities on BOT Projects.
-Dated-10.01.2006
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Section: 7.3. ROBs/RUBs
Sub Subject
section
I. Fast Track Construction of ROBs/RUBs on NHDP

and Expeditious clearances/approval of
ROBs/RUBs GAD/structural Design &
Drawing/TAD/CRS/Speed restriction/Traffic
Block/Signing Agreement/ Depositing of charges etc
II. Grant of permission by NHAI for construction of (i)

ROBs/ RUBs by Railways and (ii) Flyover/Under
Pass/ Foot over Bridge/Canal crossing proposed by
State Govt. Agencies across National Highways
III. Safety of approaches of ROB

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7.3 – ROBs/RUBs
This Master Circular covers all the policy circulars related to ROB/RUB, Memorandum of Understanding
(MoU) signed between MoRTH and MoR related to the construction of ROBs/RUBs circulated on
20.11.2014 & Railways web portal Rail-Road Crossing GAD Approval System (RRCAS).
2. The extant Policy Circulars as on date are listed below in the following 3 categories of this Master
Circular for “ROB/RUB”.
A. Fast Track Construction of ROBs/RUBs on NHDP and Expeditious clearances/approval of

ROBs/RUBs GAD/structural Design & Drawing/TAD/CRS/Speed restriction/Traffic Block/Signing
Agreement/Depositing of charges etc.
B. Grant of permission for construction of (i) ROBs/ RUBs by Railways and (ii) Flyover/Under
Pass/Foot over bridge/Canal crossing proposed by State Govt. Agencies across National
Highways by NHAI.
C. Safety of approaches of ROB.
The details of Quality Master Circular provisions are described below.
I: Fast Track Construction of ROBs/RUBs on NHDP and Expeditious clearances/approval of

ROBs/RUBs GAD/structural Design & Drawing/TAD/CRS/Speed restriction/Traffic
Block/Signing Agreement/Depositing of charges etc.:
1. Recommended Procedure for Fast Track Construction of ROBs/RUBs on NHDP and Expeditious
clearances/approval from Railways.
1.1 GAD approval from Railways:
Uploading GAD proposal on Rail-Road Crossing GAD Approval System (RRACS) portal:
PD, NHAI shall upload the proposal on railway web portal i.e. Rail-Road Crossing GAD Approval
System (RRCAS) portal. The proposal shall consist of profile sketch plan showing the location, length,
width, type, abstract cost of approach and Railway Portion span arrangement of columns, detail of
deck slab etc. along with details plan for shifting of utilities like electric lines; signalling cables, OHE
conductors & masts; gate lodges; pipelines etc. With clear statement of responsibility and time frame
for such shifting at GAD stage itself. PD NHAI shall obtain the estimate for the utilities from the Rlys
for ensuring early payment of necessary charges to the Railways & the shifting of utility works shall
be executed by the Railway. Railway shall approve the GAD after utility shifting plan in acceptable.
GAD should specifically contain a “note” reg. status of existing Level crossing whether it would be
closed during construction of ROB or after commissioning of ROB or it would not be closed at all. In
such cases, where proposed ROB is to be constructed at the location of existing Level crossing, GAD
should necessarily incorporate the diversion plan for shifting of Level crossing including diversion
road as Integral part of ROB and necessary prior undertaking of the District Magistrate to be submitted
well in advance by NHAI so as to ensure closure of Level crossing simultaneously with the
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commissioning of the ROB. In case the Level crossing falls in municipal limits/habitations, all possible
attempts should be made before the closure of Level crossing to provide LHS (Limited Height
Subway) along with provisions of stairs having up to 3.6mtr vertical clearance for passage of
pedestrians, 2/3 wheelers and LMVs outside the Railway land at both ends. GAD should contain note
for provision of LHS and stairs and indicated in the GAD as integral part of the ROB.
Steps for GAD approval system as per RRCAS:
S. No. Item/Activity Time Coordinating official

Period
(Working
Days)
1 P&E charges to be deposited (to enable to

submit proposal).
2  Proposal/Request from Authorized Officer of D to D+5 RO/PD of MORTH/NHAI.

NHAI/MoRTH with location details, etc. to Sr.
DEN/DEN, DRM & CBE. Sr. DEN/DEN
 Authorized officer of NHAI/MoRTH suggests
date of joint site inspection. Sr. DEN/DEN in
consultation with other related branch officer
of division fixes the date with information to
DRM/ADRM.
3 CBE view the proposal and monitors the Parallel CBE
progress of joint feasibility report. activity
4 Sr. DEN/DEN to do “Joint Site Inspection”, as per 10 Sr. DEN/DEN

the check list & guidelines circulated, with
NHAI/MoRTH and if required associating other +
officers of division (Sr. DEE/TRD, Sr. DSTE, if PD/RO of MoRTH/NHAI
required Sr. DOM etc.).
5  Sr. DEN/DEM, all concerned officers and 5 Sr. DEN/DEN

NHAI/MoRTH to jointly prepare and sign
“Joint Feasibility Report & Conceptual Plan” +
and suggest spans in Railway portion also. PD/RO of MoRTH/NHAI
Submit to CBE duly approved by ADRM.
 Reminder to MORTH/NHAI, if conceptual
sketch not signed by them.
6  CBE finalizes “Conceptual Profile 10 CBE
Sketch/Plan”, span arrangement for railway
portion and send to RO/PD of MoRTH/NHAI.
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7  SMS alert by RRCAS system, to higher ADRM, CBE of Rlys

officials of MoRTH/NHAI & Railways, if time
taken >D+30 days
 Sr. DEN/DEN may forward the “JRF & ADG/S&R/MoRTH,
Conceptual Plan” to CBE without joint PD/RO of MoRTH/NHAI
signature in hard and soft copy, if time taken
>D+35 days.
 CBE may return (drop) the proposal to
MoRTH/NHAI.
8 NHAI/MoRTH will submit GAD in soft copy to 15 PD/RO
CBE:
a) Overall GAD using the span arrangement

for railway portion as per the concept plan
approved by CBE.
b) Compliance of check list.
c) Deviation if any from check list and
justification thereof.
9 GAD submitted is visible to Division & CBE 10 CBE
office.
CBE office & Divisional office should

simultaneously scrutinize the GAD for in-
principle agreement, compliance of checklist
and completion of various documents.
a) Any comment of Division should be sent to

CBE office within 8 days so that CBE may
send consolidated observations to
NHAI/MoRTH.
b) If satisfied that all documents are submitted,
CBE will send it for signature at divisional
level.
10 Signature of divisional offices & ADRM. (No new 10 CBE, ADRM
observation to be raised by Division)
11 CBE will approve the GAD at HQ level. 5 CBE
Total time period 70
* D is the day on which GAD uploaded on web portal.
Note: (i) SMS alert to higher officials of MoRTH/NHAI (ADG, S&R, MoRTH/Member, Project,
NHAI/Director, Technical, NHIDCL) & Railways (CBE & AGM) if time taken>100 days.
(ii) The case will automatically get closed after approval of each GAD.
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1.2 Depositions of P&E charges and way leave charges.
1.2.1 P&E charges
As per MoU signed between MoRTH and MoR on dated 10.11.2014, NHAI shall deposit token Plan
and Estimation charges @ Rs. 5 Lakhs per ROB/RUB, in advance, at one location i.e. in Northern
Railway in favour of FA&CAO, Northern Railway, New Delhi for all identified ROBs/RUBs to be
constructed by MoRTH/NHAI in a financial year. This arrangement will be on reciprocal basis.
1.2.2 Way leave charges
NHAI shall deposit way-leave charges to Railway at the rate of Rs. 6,000/- per annum upto two lane
road crossing and two railway tracks and Rs. 12,000/- per annum in case the Bridge is wider than two
lanes and/or crossing more than two railway tracks. Way leave charges shall be payable in advance
in block of 10 years. This arrangement will be on reciprocal basis.
1.3 Approval of Design and Drawing from Railways:
Based on the approved GAD, PD NHAI shall submit to CBE, Railways for approval within stipulated
45 days, the Detailed design and working drawing (soft & hard) of ROB/RUB incorporating the
inspections ladder from road to pier top, inspection steps from track level to road level & inspection
platforms on the piers, for ensuring inspection accessibility; appropriate jacking points with adequate
space for girder lifting, duly proof checked by independent agency like IIT/NIT/Reputed Govt.
Organization in addition to the following pre-requisites;
(i) All steel structures should have anti-corrosive protection of long durability
(ii) The bearing should be site location specific and least services maintenance based
Based on the approved GAD, PD NHAI will submit design and drawings in 3 steps viz. Foundation
of ROBs, Sub-structure design and Super structure design.
(a) Foundation of ROBs:
The foundation shall normally be adopted in consideration of bare minimum requirement of speed
restriction and traffic block and maximum possible space availability by the side of railway track in
ensuring safety and least adverse effect on train operations. However the open foundation may
suitably be adopted as case specific. In conformity to the observations of Railways depending upon
the foundation strata and fulfilment of aforesaid safety parameter. The type and bottom level of
foundation shall explicitly be indicated in the GAD.
(b) Sub structure design:
RCC Substructures shall be provided.
(c) Superstructure of ROBs:
(i) In conformity to the Railways’ Policy Circular dated 15.04.2010, for span upto 36m only composite
steel girder cum RCC slab superstructure shall be adopted in view of the advantages like fast
construction so as to minimize speed restrictions and traffic block; facilitation of fabrication at
944
workshop; no requirement of temporary staging; light weight & hence easy, fast and safer for
launching besides easy to dismantle and re-use the steel girder as and when required.
(ii) For span larger than 36m i.e. station yards/multiple lines: Composite (Steel girder cum RCC
slab)/Cable stayed bridges (preferred mode) shall be provided to avoid erection of piers in between
Rly tracks.
(iii) Launching operation for construction of superstructure of ROB shall be carried out, mandatorily,
with heavy duty high capacity cranes with standby crane.
(iv) Wherever Railway track is on high embankment, RUB with min. 5.5m vertical clearance having
robust anti-theft water proof pre-cast box segmental PSC roofing arrangement with water proof
ramps and well advance planned temporary road diversion is the preferred option for grade
separation. In view of the safety of traffic, the Box pushing/segmental launching In situ under traffic
block shall be preferred mode in place of cut and cover in situ.
(v) The standard horizontal and vertical clearances as applicable to electrified territory (25 KV AC)
shall be adopted. For special routes like Dedicated Freight Corridor (s) the horizontal and vertical
clearances shall be decided by the Railways as per requirement.
(vi) Steep skew crossing cause serious design, construction and maintenance problems hence must
be avoided. As far possible, angle of crossing shall be kept low from normal wherever additional
land acquisition is not the constraint.
(vii) ROB girders shall be designed as square by increasing the span length preferably.
1.4 Approval of Temporary Arrangement of Drawing (TAD)/Launching scheme:
PD NHAI shall submit the launching scheme including methodology of working, clearly mentioning the
activities to be taken up during the traffic block/speed restriction) duly authenticated by PD & Rep. of
Consultant along with the Detailed Project Report (DPR) of ROB/RUB within Railway Land.
1.5 Approval of traffic –cum power block, speed restriction from the Railways:
PD NHAI shall submit the request for Traffic-cum-Power Block, Speed Restriction program to
CBE/DRM/Chief Operations Manager (Div. Rly.) for approval before erection of staging and taking up
superstructure work.
1.6 Approval of Commissioner of Railway Safety:
PD, NHAI shall submit to Sr. DEN Rly, the relevant credentials of PMC (Project Management
Consultant) to be appointed for the Supervision for Execution ROB/RUB. The Sr. DEN Rly. Accordingly
shall prepare the CRS application for prior sanction of CRS for construction of superstructure and
submit to CBE/CRS for approval within stipulated 30 days. The validity of CRS sanction is one year.
1.7 Issue of safety certificate & permission for Commissioning of ROB/RUB by Railways:
PD NHAI shall submit completion certificate issued by NHAI’s Supervision Consultant along with the
completion drawings and records of quality check to CBE for issue of safety certificate and
commissioning of the ROB/RUB.
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Policy Guidelines incorporating technical parameters and Schedule of activities have been finalized
and enclosed herewith at Annexure-I for compliance scrupulously.
1.8 Delegation to RO for deposition of various charges to the Railways:
The charges such as Plan & Estimates (P&E) and Way Leave charges are payable in accordance to
MoU signed between MoRTH and MoR dated 10 Oct. 2014. (Annexure-II) with the approval of
Regional Officer.
1.9. Coordination and Monitoring of Approvals/Clearances of ROBs:
In conformity to the Inter-Ministerial and COS decisions besides NHAI circular dated 22.10.2009, there
shall be regular active persuasion by PD/Consultants/Concessionaire, NHAI with Railway Divisional
(Sr. DEN) & Zonal Office (CBE) to sort out the pending issues for expeditious approval of the Railways.
Monthly meeting shall be conducted at the Railway Zonal HQ with CBE and other concerned officers
of the Railway and to be attended by RO, PDs, Consultants, and Concessionaire etc. invariably in this
regard. CGM (ROB)/his representative at HQ will attend the Coordination Meetings to be held at various
Zonal Railway level between Nodal Officers of NHAI and Zonal Railways. There should be an annual
apex level review meeting to be taken by Chairman, Railway Board, and NHAI.
II: Grant of permission by NHAI for construction of (i) ROBs/ RUBs by Railways and
(ii) Flyover/Under Pass/ Foot over Bridge/Canal crossing proposed by State Govt.
Agencies across National Highways.
2. Way Leave Facility or Crossing Structures:
2.1 The policy regarding grant of Permission for the construction of either ROB/RUB, by Railways OR
Flyovers/underpasses/canal crossing etc. proposed by State Central Govt. Agencies/Public
sectors across existing National Highways-Toll Roads or otherwise (hereinafter called the "way
leave facilities" or "crossing structures") needs to be laid down by NHAI, so as to have uniform
approach for processing of such requests received from time to time involving NH Land. During
the operation and maintenance of a given NH Link (Toll road or otherwise) the need for such
requests may arise due to following circumstances:
(a) Provision of a new rail corridor requiring ROB/RUB across the existing NH.
(b) Provision of new State Road link crossing the existing NH Link;
(c) Remodelling of State Irrigation/ water supply System involving construction of new canal/ pipe
crossing across the existing NH Link:
(d) Severance caused due to provision of a new bypass/ Ring road alignment by State Govt.
agencies:
(e) For any other public cause (s) concerning to State Govt. agencies/Rlys/ Ministry of
Communication/Public sector.
The following policy guidelines are laid down to be followed for granting of permission for such
Way leave facility(WLF) or Crossing structures(CS):
946
2.2 The concerned project CGM shall ensure that at the time of preparation of DPR/ FSR for capacity
augmentation of NH project by the Technical Consultants engaged by the NHAI, provision of such
necessary Crossings (ROB/RUB/ Flyover/canal crossing etc.) are included in the scope of work
keeping in view the safety of public at large during post-construction phase. The Scope of work of
such "Crossings are generally considered as part of the upgradation project and therefore cost of
the same is borne by NHAI.
2.3 Since Railway authorities are separately allocated 12% of Cess Revenue out of CRF towards
Railway safety works which primarily is utilized by Railways for the replacement of existing Railway
Level crossing all possible efforts therefore shall be made for inclusion in the Railway programme
of such replacement of existing Railway Level crossing which fall on the alignment finalized during
upgradation of a given NH link else NHAI shall bear the cost of replacement of such existing Level
Crossing.
2.4 In case a new rail corridor is introduced which requires construction of few crossing over/under the
existing NH Link, the cost of all such crossings (ROBS/RUBs) shall be borne by the Railway
authorities. This include relocation of any utilities affected by the new rail corridor.
2.5 In case of any new Flyover/underpass meant for the crossing of State Road link/canal etc.
over/under the existing NH Link, the grant of permission for way leave facility to be accorded by
NHAI provided the concerned State/ Central Govt. Agencies / Public sectors foot the bill for entire
scope of work involved and to be carried out as deposit work preferably.
2.6 By its very definition, way leave facilities on NH land involves occasional or limited use of NH land
by a party for a specified purpose like crossings structures without conferring upon the party any
right of possession or occupation of the land and without, in any way, affecting the NH Land title,
possession, control and use of NH land.
2.7 No NH Land shall be sold or transferred by NHAI to any agency seeking way leave facility.
2.8 In genuine and unavoidable cases involving public cause (s), way leave facility may be allowed
after execution of agreement with provision for revision of charges time to time. It may be noted
that the land is not licensed, but only permission granted for a limited use which is to be specified
in detail in the agreement. To avoid any misunderstanding on this score, the agreement should
not use terms like "license' and 'license fee', but only "permission' and 'way leave charges. The
agreement should also clearly stipulate that the NHAI administration retains full rights to enter
upon, to pass through or use the land, at any time, without any prior notice to the party.2.9
In the event of the way leave facilities being discontinued with, the Highway Authority will
neither be liable to pay any compensation or reimburse any amount to the party, nor to provide
any alternative arrangement for access etc. In such a case, any installation like underground
pipelines etc. put up by the party are liable to be removed/shifted by the party at its own cost.
2.10 Way leave permission should be accorded only after ensuring that NHAI's financial interests are
NOT affected in any manner i.e. by way of loss of traffic, loss of Toll Revenue etc. by granting such
permission. A suitable clause securing NHAI's financial Interests may be provided in the
Agreement to be executed with the party.
2.11 The following rates shall be levied for way leave facilities/easement rights on NH land while
according 'in-principle approval for grant of permission.
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I. In case of ROBs/RUBs falling on a Rs.6, 000/- p.a upto two lane road
new rail corridor crossing over/under crossing two tracks and Rs. 12,000/- p.a
the existing NH Link as the case may in case the Bridge is wider that two lane
be and crossing more than two tracks.
II. Public Road by local bodies/State To be waived off on reciprocal basis

Govt/Govt. & Autonomous bodies,
III. Any water crossing belonging of State To be waived off on reciprocal basis
Irrigation/Water Supply Deptt.
Sr.
Charges to be levied Rate
No.
I Plan & Estimate (P&E) charges 2% (To be charges in advance at the

time of submission of GAD/proposal
and shall be adjusted finally against
Departmental (Charges.)
II. D&G Charges (Supervision) 3.125%
(To be charged before start of execution

of work)
III. Levying charges towards Maintenance 3% p.a capitalized to 30% (To be

of the Crossing Structure within NH charges before
Lane in Perpetuity (Considering 30 completing/operationalizing the facility)
Year Period).
2.12 In all the above cases of way leave facilities, no other construction except the permitted expressly
be allowed on NH land. If any construction comes up subsequently the same should be
immediately removed.
2.13 The work related to way leave facility should be preferably "Deposit work" to be executed by NHAI
falling within the ROW of NH. The entire cost of the Project to be borne by the Applicant in advance.
In case the civil work is executed by the Applicant; NHAI shall carryout construction supervision
by engaging competent construction supervision consultants at the prescribed cost (@ 3.125%)
payable by the Applicant in advance.
2.14 The applicant need to indemnify NHAI/BOT operator for any damages caused due to the proposed
X-ing.
2.15 Each proposal received from the Railway/State / Central Govt. Agencies / Public sectors is to be
examined and wherever deemed fit, the Competent Authority shall accord in-principle approval for
grant of permission following which the stage-wise processing shall commence after levying
948
requisite processing fee. While conveying NHAI's decision of "in-principle" approval for grant of
permission a demand note seeking charges for the use of NII landed the stages involved should
also be notified to the Applicant.
2.16 All proposals for grant of way leave permission shall be processed by Regional Officer and
forwarded to the concerned Member at the Head Quarter for final approval of Competent Authority.
The way leave facilities shall not be granted as a matter of routine but only after consideration of
each case on merits clearly brought out based on a site inspection by Regional Officer. Special
care shall be taken to see that the way leave facility does not, in any way, impeach the safety and
smoothness of road transport operations and NH property. For expeditious disposal of the cases,
the Competent Authority for each stage of proposal processing shall be as under:
a. Proposal scrutiny stage Chairman, NHAI
b. Place of Estimate stage Concerned Member
c. D&G Charges Concerned Regional CGM
d. Levying Charges toward Maintenance

of the way leave facility/Crossing Structure -do-
across NH right of way
2.17 A standardized format for Agreement to be executed for each case with the Railways/State/Central
Govt. Agencies/ Public sectors is placed at Annexure-III. On behalf of NHAI, the concerned
Regional CGM is authorized to execute such standard Agreement with the involved party.
III: Safety of approaches of ROB.
3. Safety of approaches of ROB.
3.1 There are several Rail Over Bridges (ROBs) being constructed on the NHDP either through the
Ministry of Railways or the contractors of specific packages. It has been seen that sufficient
preventive measures are not being taken to ensure safety of the passengers on the approaches
of these ROBs. Certain incidents have come to notice where the users of the road have gone up
on the finished or semi-finished approach roads of the ROBs to discover suddenly that the structure
has not been completed. These incidents could have resulted in very serious accidents. It is only
by chance that some of these potentially serious have been averted.
3.2 The matter cannot be left to chance, All PDs must immediately ensure that the approach roads to
the ROBs, which are under construction, are properly blocked and suitable signboards are
provided to warn the traffic. These signboards should be of reflective type so that these are visible
in the night also.
3.3 In cases where are construction is being done by the contractor of the packages, the consultants
and the PDs should immediately ensure that suitable precautions have been taken. In case such
construction is being done by the Railways, steps should be taken to ensure that the authorities of
the Railways take full precautions so that nothing untoward happens. If Railways fall to take
949
suitable precautions, the matter should be brought immediately to the attention of the concerned
Member/CGM.
3.4 Similar precautions should be taken in case of flyovers, underpasses and other structures.
4. List of Annexures/Enclosures for Master Circular of ROB/RUB.
S.No. Sub Category of ROB/RUB Annexure No. Page No.

Master Circular (from- to)
1 Fast Track Construction of Annexure-I 10 -12

ROBs/RUBs on NHDP and
Expeditious clearances/approval (a) Check list for GAD and (b)
of ROBs/RUBs GAD/structural Essential Railway Safety
Design & Parameters to be incorporated in
Drawing/TAD/CRS/Speed GAD thereof.
restriction/Traffic Block/Signing
Agreement/Depositing of charges
etc.
2 Memorandum of Understanding Annexure-II 13-15
MoU between MoRTH and Ministry

of Railways signed on 10.11.2014
3 Grant of permission for Annexure-III 16-18

construction of either ROBs/
RUBs by Railways or by Standard Agreement Format for
Flyover/underpasses/ Canal etc. execution with The Railway
proposed by State/ Center Govt. Authorities/State/Central Govt.
agencies/ Public sector across agencies/Public Sector
existing National Highways
950
Annexure-I
(a) Check list for GAD and (b) Essential Railway Safety Parameters to be incorporated in GAD thereof.
Check list for GAD
1. Site Plan:
(i) North direction
(ii) Railway TP or OHE Mast on either side of ROB
(iii) Level Crossing gate number and class.
(iv) Exact location of level crossing gate with respect to Railways TPs or OHE Mast.
(v) Name of stations on either side of site of ROB.
(vi) Nomenclature of road and name of villages/towns on either side of crossing.
(vii) Width of existing road.
(viii) Overall width of proposed ROB.
(ix) Railway land boundary on both sides of track over a length of 50 meters on either side of
proposed ROB.
(x) Location of propose abutment and piers.
(xi) Location and approximate size of all structures, installations and signalling gears etc. which
will need to be dismantled and resisted.
(xii) Marking of existing and future tracks.
(xiii) Layout plan of temporary diversion of road traffic with details of temporary level crossing if
necessary for execution of the work.
2. Trial Pit details:
(i) Type of strata met at different levels upto 3 meters.
(ii) Trial pit shall be taken within the plan area at the proposed location of abutments and piers
at the rate of 2 pits for each structure.
(iii) Approximate bearing capacity of strata at different levels
3. Longitudinal section (elevation)
(i) Clear spans and overall spans.
(ii) Tentative section of abutment and piers.
(iii) Type and depth of girder to be provided in super structure.
(iv) Thickness of slab and wearing coat.
(v) Type & size of bearings.
(vi) Ground levels at the location of abutments and piers.
(vii) Formation levels.
(viii) Existing tracks and future tracks.
(ix) Rail levels of tracks indicating higher rail level.
(x) Vertical clearance from the highest rail level to the underside of girder shall not be show
less then 5.87 meters for ROB and 6.25 meters for ROB (Foot pat portion). This clearance
of ROB will be increased by 275mm if the track is not laid on PSC sleepers and by another
150mm if any points and crossing are failing within 40 meters of proposed ROB site.
(xi) Clear horizontal distance at rail level of abutment and piers from the nearest track should
be shown as minimum 4.35 meters and 3.55 meters respectively
(xii) Tentative foundation details The excavation for the foundation shall not cut into the base of
tracks structure.
951
(xiii) In case of proposals for widening of existing bridges, the foundation details of existing
ROBs/RUBs to be shown.
(xiv) Approach spans and their slopes.
(xv) Part length of road approach indicating whether made of solid or raised on stills/columns.
4. Cross Section:
(i) The tentative length and height of abutments and piers.
(ii) Width of carriageway, median and foot paths.
(iii) Type and section of cross girders.
(iv) Side batter of abutments and piers.
(v) Details of thickness of return walls.
(vi) Type and size of bearing.
(vii) Size of bed block.
(viii) Antic crash barriers and railings.
5. Plans:
(i) The plans will be show and half bottom and half top.
(ii) Location of abutments and piers.
(iii) Overall width of ROB, carriageway; foot path and separators.
(iv) Layout of wing walls and returns.
(v) Angle of crossing and skew angle.
(vi) Batter dimension in piers and abutments.
6. Details Design”
(i) Provision of the soft copies of the design.
(ii) Proof checking by the IITs and other institutions of reputes.
(iii) List of the codes/specifications used in the design.
7. Enlarge Details: For any items which cannot be lucidly shown in the plane will be enlarges and
show in this portion.
Checklist for Design Aspects
Various components of a Road over/under bridges shall be designed and checked in accordance with
relevant provision contained in following Codes/Manuals etc.
1. IRC:6-2000 for loading standards
2. IRC: 21-2000 for concrete bridge design
3. IRC: 18-2000-Certeria for PSC Road Bridges (post tensioned)
4. IRC:22-2008- Composite construction for road bridges
5. IRC:78-2000 (Sec. 7)- Foundation & sub-STRUCTURE
6. IRC:83-1999 (Pt.I)- Metallic bearings
7. IRC:83-1987 (Pt.ii)- Elastomeric bearing
8. IRC:-2002 (Pt.III)- POT-cum-PTFE, PIN& Metallic guide bearings
9. IS:456-200- Indian Standard Code of practice for plain and reinforced concrete
10. IS: 2911-1979 (Part I (Section 2) code of practice for design and construction of pile foundation.
11. IS:2911 Part IV -1985-Codes of practice for design and construction of Pile foundations; Part IV –
Load Test on Piles
12. IS: 1786-1985 is specification for HYSD bars
13. IS:5525-1969 “ Recommendation for detailing of reinforcement in reinforced concrete works
952
14. IS: 1343-1980 code of practice for pre-stressed concrete.

15. IS :383-1970 Coarse and fine aggregates from natural sources for concrete
16. IS: 1199-1959 methods of sampling and analysis of concrete.
17. IS: 2386 (Part I to VIII)- 1963- method of tests for aggregates from concrete.
18. IS: 269-1989 ordinary and low heat Portland cement.
19. Anti-crash barriers to be provided as per approved drawing of MOST.
20. For superstructure, railings on railway spans as well as on approaches should be provide of
international highway standards. Also deck slab should be minimum in 4-40 grade concrete and it
should be finished with vacuum dewatering.
953
Essential Railway Safety Parameters to be incorporated in the GAD
1. All Dimensions are in MM and Levels are in meter unless specified otherwise.
2. Dimensions are not be scaled. Only writer dimensions are to be followed:
3. Maximum Safe Bearing Capacity (Gross) at the founding level considered as per Geo- technical
report.
4. Drainage Spout, Expansion Joint & Wearing Coat should be as per Most Standard Drawings.
5. The approaches are in reinforced cement retaining wall.
6. Fixtures in the Deck for supporting Ac traction wire will be show in the detailed drawing based
on standard typical drawing.
7. For details of substructure and superstructure refer separate drawing duly approved by Railway.
8. Work should be carried out by the party under the supervision of Rly. Engineers within Railway
land limit.
9. Sanction of CRS should be obtain for proposed work
10. RCC crash barrier of 1.5m height will be provide as per approved Railway Drawing.
11. Design shall be as per latest relevant code of IRC and other codes as approved by MOST.
12. NHAI should ensure during execution of the work, safety of running rail. Traffic should not be
affected.
13. Temp. Signaling arrangement will be done as per Gr. 15.9 (i) d& S.R. 1509 (2) or Gr. 1509 (2)
band S.R. whichever is adoptable, if required.
14. Loading-Bridge shall be designed for on lane of class 70R Wheel Load + one lane class (A) or
three lane of Class (A) whichever produces the maximum stresses.
15. Concrete Mix P.S.C. superstructure- M40, R.C.C. substructure-M35, R.C.C. Foundation/
piles/pilecap-M35.
16. Any change in the GAD for Railway portion should be done with prior approval of Railway.
17. Manned levelled crossing does not exist at this location
18. Street used shall be H.Y.S.D Bards conforming I.S. 1786 or Fe 416.
19. Provision of clams in the superstructure for supporting the A.C.T. action wire to be made in
consultation with the concerned authorities.
20. All R.C.C. work should be confirm to relevant IRC codes &M.O.S.T. Specification.
21. Design criteria relevant IRC codes including SP33.
22. The depth of foundation show in this drawing is tentative & should be decided by NHAI. As per
actual soil strata met with.
23. Representative of Telecom & Signaling Deptt. Should be made available before commencement
of prop. Work in the vicinity of signal & telecom cable.
24. Bent-up bars (U-Shaped) 32 at 150 c/c shall be embedded in abutment for approaching
abutment cap & bearing for routine inspection & maintenance.
25. Temporary arrangement drawing or methodology TC launching of girder over railway track
should be get approved from railway authority before start the work.
26. Name of officers nominated by NHAI with their mobile number should be provided to the
nominated railway officers before start the work.
27. Dimensions given in this drawing must be checked at site before start the work of feasibility.
954
Annexure-II
955
956
957
Annexure-III
Sub: Grant of Permission for construction of:
(i) ROBs/RUBs by Railways and

(ii) Flyover/Under Pass/Foot over Bridge/canal crossing proposed by State Govt.
Agencies across National Highways by NHAI.
Standard Agreement Format for execution with

The Railway Authorities/State/Central Govt. agencies/Public Sector
Construction of ROBs/RUBs over existing NH Link.
This agreement entered on …….. Day of……… (month & year) between the National Highways
Authority of India (NHAI), a statutory body formed under an act of Parliament acting through the
General Manager……… of the first Part and,
President of India acting through the Divisional Railway Manager……… Railways#, on the Second
part.
Whereas there exists N.H link in operation for road transport and The Railway authorities…….
Railway …….. Proposed to construct ROBs/RUBs* for laying new rail corridor across the NH
No……@ Km……….. And therefore, requires way leave facility involving NH Land for providing a
safe passage to Railway # traffic.
And whereas the National Highways Authority of India (NHAI) has agreed to provide all possible
assistance for construction such ROBs/RUBs*
It has now been agreed between parties as follows:
A. The party in the first part shall
(1) On payment of the amounts mentioned here under provide all facilities and assistance for
early completion of the Project involving construction of ROBs/RUBS and their completion.
B. The Party in the second part agree:-
(1) To execute regular agreement and to pay the charges for preparation thereof on an
established reciprocal basis or Rs. 10/- whichever is more, and stamping charges subject to
recovery being as per Stamp Act, as may be in force at the time of execution.
(2) To submit drawings/designs and specification, including temporary arrangement, if any, by

Railway# Authority for approval of the NHAI prior to inclusion in the bid document for
entrepreneur appointed for execution. No addition/alteration/modification in the approved plans
drawings, etc., shall be made without prior approval of NHAI.
(3) To supervision/Construction by NHAI of all construction work of bridge proper across

existing National Highways (within Right-of-way of the NH Link) and payment of plan and
958
estimate charges, supervision charges as approved by NHAI in advance so that necessary work
charged organization can be created in time for supervision of actual construction.
(3a) The plan and estimate charges shall be 2% and D&G(Direction and General) Charges shall
be 3.125% of the estimated cost of bridges, if the bridge is constructed by State Govt.
Authorities.The charges shall be applicable as per MoU signed between MoRTH and MoR on
dated 10.11.2014 , if the bridges is constructed Railway Authority.
(3b) If the bridge is constructed by NHAI on behalf of Railway Authority, the various charges
shall be applicable as per MoU signed between MoRTH and MoR on dated 10.11.2014 .The
plan and estimate charges shall be 2% and D&G(Direction and General) Charges shall be
3.125% of the estimated cost of bridges proper, if the bridge is constructed by NHAI on behalf
State Govt. Authorities.
(3c) Cost of bridge* as estimated by NHAI itself or as approved by NHAI if estimated by

concerned Railway# Authority shall not be a matter of dispute. The D & G shall be subsequently
applicable on final cost of construction of bridge* proper. A suitable clause in this context for
the purpose of depositing various charges as per the MoU signed between MoRTH & MoR on
10.11.2014, with NHAI shall be included in the Agreement to be executed between Railway#
Authority.
(3d) No work shall be allowed to be started in NH land unless the necessary payment, as
indicated above, are deposited with NHAI.
(4) To ensure advance payment of the entire cost for preliminary and incidental woks that may
require to be executed by NHAI for the purpose of clearing the site for construction of
ROBs/RUBs*. These may include shifting of installation or any other structures which the NHAI
may consider necessary either in the beginning or subsequently during the construction of
ROBs/RUBs*. The charges would include cost of such works, as approved by NHAI. Necessary
would include cost of such works, as approved by NHAI. The various charges shall be payable
as per para 3 above.
(5) To award work of ROBs/RUBs* bridges to only such contractors, as are technically capable
of carrying out bridge works under road traffic running conditions. In case, where the contractor
has not carried out the bridge work under road traffic running conditions. He will be asked to
employ an engineer having adequate experience to supervise the bridge work under such
conditions.
(6) To carry out the work under road traffic running condition with or without speed restrictions.
NHAI will make efforts to arrange speed restriction of road traffic as per requirements as far as
possible.
(7) To ensure compliance, during the construction of the ROBs/RUBs*, of all safety norms that
may be specified by NHAI from time to time for safe plying of road traffic.
(8) To pay on demand the cost of all such works including various charges as per para 3 above,
in case the work need to be executed by NHAI from safety consideration.
(9) That Lease/license period shall be years and will not be changed by Railway Authorities
without prior consultation and the approval of the NHAI.
959
(10) That during the lease/licence period, bridge proper (over/under the road) shall be
maintained by the concerned Railway Authorities at their cost under the supervision and
inspection of the NHAI. The Railway shall pay the various charges as per MoU dated
10.11.2014 and State Govt. Authorities shall pay the NHAI 3.125% of the Maintenance cost as
supervision and inspection charges p.a., for the purpose of levy of these charges, the annual
maintenance cost shall be taken as not less than 3% of the completion cost of the bridge proper
which may be revised by NHAI as per laid down norms. These charges shall be deposited by
the concerned State Govt. Authorities every year in advance. By maintenance it will be
understood that it involves ordinary day-to-day maintenance. However, in case any major
repairs are required, the cost of the same, and the supervision charges, shall be borne by the
concerned State Govt. Authorities. Decision of the NHAI regarding maintenance works required
shall be final and will not be a matter of dispute.
(11) To follow Ministry of Transport, Railways specifications, Indian Roads Congress (IRC)
codes, and other NHAI Instructions, etc., for preparation of drawings and designs of the bridge
proper as well as for temporary works. These designs shall be prepared either in-house by the
concerned Railway Authority. In case the designs are got prepared from Consultants, the same
shall be checked by reputed Consultant/Engg. Institution before same are submitted to NHAI
for approval. NHAI decision regarding modifications to the design/drawings, etc., shall be final
and binding on the Railway Authority Consultant and shall not be a matter of dispute.
(12) To indemnify and hold the NHAI harmless against all damages, losses, costs and charges
suffered or incurred by the NHAI on account of any injury to the person or property to any person
using the road over/under bridge, however occasioned, unless it is solely due to negligence and
misconduct of NHAI or its employees.
(13) To pay interest at the rate of 10% per annum on all sums payable to the NHAI under any
of the terms & conditions of these present, if not paid within a month from the date of demand
in writing by the NHAI.
(14) That in metropolitan/urban areas/or other location, where land is scarce and costly, bridge
approaches shall be normally on stilts in NH land. All other areas where land is not a problem,
NHAI may consider solid earth fill approaches in NH land. Decision will be taken by the NHAI
on case to case basis as per the prevailing site conditions and requirement of the NHAI and
shall be binding upon concerned Railway Authorities.
(15) To have way leave facilities as an acknowledgement of the ownership of the NHAI of the
land on which the ROBs/RUBs* proper is constructed, the Railway Authorities shall pay a total
of Rs. 6,000/- per year up to two lane road crossing two tracks and Rs. 12,000/- per year in
case the bridge is wider than two land and/or crossing more than two tracks. NHAI may demand
payment of these charges on capitalized basis taking interest @ 7% per annum. These charges
will vary from time to time as per NHAI Guidelines in this regard.
(16) To ensure that Railway # Authorities shall carry out and maintain all relevant record
including test record required for quality control carried out in the laboratories of I.I.T. or
Engineering College at his own cost and such record shall be made available for inspection
whenever demanded by NHAI.
960
(17) To ensure that concerned Railway# Authorities shall carry out load test of PSC girder/girder
in NH portion at his own cost and under NHAI’s supervision.
(18) In case of doubt or difference or disputes that may arise between the concerned Railway#
Authorities and the NHAI, the decision of the Chairman, NHAI shall be final and conclusive and
binding.
(Regional CGM)
Signed by Signed by
For and on behalf of
NHAI
For and on behalf of concerned
Railway# Authorities
Witnesses
1. 1.
2. 2.
* Flyover/Underpass/Foot over Bridge/Canal crossing (as the case may be)

# state/central govt. /public sector (as the case may be)
961
Subject:- List of Policy Circular issued upto date and available in library website under Category
“Pre-construction Activities”
S.No. Policy Circular No. /Subject/Date of issuance
1 Policy Matters: Technical(44/2004)
Safety of approaches of ROB
dated 16 Sept.2004
Execution of ROBs – Design of superstructure
Dated 23 Nov. 2008
D. Grant permission for construction of either

E. (i)ROBs/ RUBs by Railways and
F. (ii) by Flyover/underpasses/ Canal etc. proposed by State/ Center Govt. agencies/
Public sector across existing National Highways
Dated 4 Jan.2011
Comprehensive Policy Circular of recommended Procedure for Fast Track

Construction of ROBs/RUBs on NHDP and Expeditious clearances/approval of
ROBs/RUBs GAD/structural Design & Drawing/TAD/CRS/Speed restriction/Traffic
Block/Signing Agreement/Depositing of charges etc.
Dated. 20 June 2011
5. NHAI Policy Guidelines No. 14.20/2020
Grant permission for construction of Flyover/underpasses/ Canal etc. proposed by

State/ Center Govt. agencies across existing National Highways
Dated 3rd Nov. 2020
962
Section: 7.4. Environment
Sub Subject
section
I. Standard Operating Procedure for implementation of

Green Highways (Plantations, Transplantation,
Beautification and Landscaping) Policy, 2015
II. Memorandum of Understanding (MoU) between NHAI
and Central/State Government Department/Organization
for plantation on NHAI lands
III. Memorandum of Understanding (MoU) between NHAI
and CSR agency for adopting plantations on National
Highways
IV. RFP for inviting bids for Plantation Works along National
Highways stretch of length not more than 100 Kms or of
10 Cr estimated cost at RO level
V. MoU for promotion of Plantation on NHAI lands between
NHAI and DAY-NRLM, Ministry of Rural Development
VI. Annexures
963
7.4 - Environment
I. Standard Operating Procedure for implementation of Green Highways

(Plantations, Transplantation, Beautification and Landscaping) Policy, 2015
Pursuant to the decision taken in the 419th Executive Committee meeting held on
29.04.2020, the Competent Authority of NHAI has approved the amendment of existing
Standard Operating Procedure (SOP)-2019 for Green Highways Project for inviting bids of
plantation projects on large NH stretches and Approved New Request for Proposal (RFP)
for tender process to award plantation projects to private agencies on larger NH Stretches.
Accordingly following documents are being circulated for compliance and further
dissemination.
1. Updated Standard Operating Procedure (SOP) for Green Highways Projects for
inviting bids of plantation projects on large NH Stretches.
2. New Request for Proposal (RFP) for tender process to award plantation projects to
private agencies on larger NH Stretches.
The above mentioned OM No. 11013/1/2k/Env./37 dated 05.05.2020 is enclosed as

Annexure-A.
II . Memorandum Of Understanding (MOU) between NHAI and

Central/State Government Department/ Organization for plantation
on NHAI lands
Sub: Standard Operating Procedure for implementation of Green Highways

(Plantation, Transplantation, Beautification and Maintenance) Policy.
Pursuant to the decision taken in the 396th Executive Committee Meeting held on
22.07.2019, the Competent Authority of NHAI has approved the Standard Operating
Procedure (SOP), Request for Proposal (RFP), Expression of Interest (EOI) and
Memorandum of Understanding for Government Agencies (MoU) for implementation of
Green Highways (Plantation, Transplantation, Beautification and Maintenance) Policy.
Accordingly, the following documents are being circulated for necessary
compliance and further dissemination.
1. Standard Operating Procedure (SOP) for implementation of Green Highways
Policy;
2. Memorandum of Understanding (MoU) for implementation of plantation projects
through State Forest Departments and other State Government Agencies;
3. Request for Proposal (RFP) for least cost selection based tender process from
Private Agencies for Implantation of Green Highways Projects;
4. Expression of Interest (EOI) for Empanelment of Private Agencies for Green
Highways Projects;
The MoU between NHAI and State Government Department/Organization for Plantation
is enclosed as Annexure B. It can also be accessed through the link provided below:
964
https://nhai.org/NGHMe/nationalgreenhighway.org/pdf/MOU.pdf
III. Memorandum of Understanding for CSR funded Plantation Projects
Sub: Memorandum of Understanding for CSR funded Plantation Projects
Kindly refer our OM dated 26.08.2019 regarding approved Standard Operating Procedure
(SOP), Request for Proposal(RFP), Expression of Interest(EOI) and Memorandum of
Understanding for Government Agencies (MoU) for implementation of Green Highways
(Plantation, transplantation, Beautification and Maintenance) Policy.
The competent authority has accorded approval on Memorandum of Understanding (MOU)

for implementation of plantation and landscaping with CSR fund. Copy of MoU is enclosed
for necessary action at your end.
The MoU for CSR funded Plantation Projects is enclosed as Annexure C. It can also be
accessed through the link provided below:
https://nhai.org/NGHMe/nationalgreenhighway.org/downloads/circulars/677.pdf
IV. RFP for inviting bids for Plantation Works along National Highways stretch of
length not more than 100 Kms or of 10 Cr estimated cost at RO level
Sub: Approval of Request of Proposal (RFP) for Plantation Projects on large NH

Stretches & Delegation to RO to invite Bid of NH length maximum 100 km or Rs. 10
Cr. estimated cost for one plantation project.
Pursuant to the decision taken in the 464th Executive Committee Meeting held on
24.03.2021, the Competent Authority of NHAI approved the request for Proposal (RFP) for
Plantation Projects on large NH Stretches & Delegation to RO to invite Bid of NH length
maximum 100 Km or Rs. 10 Cr. estimated cost for one plantation project for implementation
of Green Highways (Plantation, Transplantation, Beautification and Maintenance) Policy-
2015. The same is being circulated for necessary compliance and further necessary action.
This issues with the approval of the Competent Authority.
The RFP for tender process is enclosed as Annexure D.

965
V. MoU for promotion of Plantation on NHAI lands between NHAI and DAY-
NRLM, Ministry of Rural Development through Self-Help Groups (SHGs)
Memorandum of Understanding
For promotion of Plantation on NHAI lands
BETWEEN
National Highways Authority of India (NHAI), Ministry of Road Transport and Highways,
Government of India
And
Deen Dayal Antyodaya - National Rural Livelihoods Mission (DAY - NRLM),
Ministry of Rural Development,
Government of India
966
March --- 2022
PART- I
This Memorandum of Understanding (MoU) is made on this ------ DAY of 2022 (“EFFECTIVE
DATE”) at New Delhi:
BETWEEN
National Highways Authority of India (NHAI), G -5 & 6, Dabri - Gurgaon Road, Dwarka Sector 10,
New Delhi hereafter referred as ONE PART
AND
National Rural Livelihoods Mission (NRLM), NDCC building-II, Jaisingh marg, New Delhi hereafter
referred as OTHER PART
National Highways Authority of India (NHAI), New Delhi and Deen Dayal Antyodaya Yojana -
National Rural Livelihoods Mission (DAY NRLM) are hereinafter referred to individually as “Party”
and collectively as “Parties”.
Where as
BACK GROUND:
National Highways Authority of India (NHAI) was constituted by an Act of Parliament in 1998
under the administrative control of the Ministry of Road Transport and Highways. NHAI has
been set up as a Central Authority to develop, maintain and manage the National Highways
entrusted to it by the Government of India. The authority is responsible for management of a
network of over 50,000 km of National Highways out of 1,32,499 km in India.
Deendayal Antyodaya Yojana-National Rural Livelihoods Mission (DAY-NRLM), was launched by

the Ministry of Rural Development (MoRD), Government of India in June 2011. The Mission aims
at creating efficient and effective institutional platforms of the rural poor, enabling them to increase
household income through sustainable livelihood enhancements and improved access to financial
services. DAY-NRLM set out with an agenda to cover all rural poor households, across all rural
areas through Self-Help Groups (SHGs) and their federations to support them for sustainable
livelihoods.
NOW THEREFORE the parties enter into this Memorandum of Understanding reflecting the broad
contours of the partnership:
1. OBJECTIVES:
i. To facilitate promotion of plantation work along the road side of national highways for
enabling higher income among SHGs and its members.
ii. To cooperate and collaborate with each other in creating sustainable income source
for SHG members and its federations through plantation activities alongside the
highways and lands of NHAI, as an integral part of national highways construction to
create green highways.
967
2. THE PARTNERSHIP:
In the pursuance of the above objective, NHAI and DAY – NRLM would collaborate in the
following key area:
Capacity building of SHGs and their federations on plantations along the road sides and
development of nurseries for the purpose.
PART- II
ROLES AND RESPONSBILITIES OF THE PARTIES
The Parties within the context of their respective mandates, objectives and procedures, will share
the following roles and responsibilities:
DAY - NRLM:
1. Coordination, support and guidance to the State Missions for the purpose;
2. Facilitating for preparation of advisories for implementation of the plantation along the road
sides of National Highways.
3. Coordination with MGNREGS for development of nurseries for taking up plantation along
the roadsides of national highways.
4. Facilitate State Missions of DAY-NRLM State units of NHAI to enter in to specific MoUs
with respective State units of NHAI
NHAI:
1. Release of guidelines / advisories for implementation of plantation activities along the

roadside of National Highways
2. Timely release of funds directly to the concerned State Mission. Develop monitoring
mechanism for plants survival per established SoPs of NHAI.
3. Providing requisite permissions for usage of land for plantation by the SHGs and their
federations.
4. Facilitate State units of NHAI to enter in to specific MoUs with respective State Missions of
DAY-NRLM.
PART III
INSTITUTIONAL MECHANISM
DAY-NRLM and NHAI will jointly constitute a steering committee both at national and state level
for reviewing the progress and guiding the collaboration.
NRLM and NHAI will also constitute a four-member monitoring committee (two senior staff
members from NRLM and two senior staff from NHAI) for regular coordination and review the
progress
968
The monitoring committee may meet bi annually or as per need to review the progress and resolve
emerging issues in implementation.
PART IV
CONFIDENTIALITY
The parties to this MoU have expressly agreed to hold the entire information and documents
shared pursuant to this MoU as strictly confidential and not to use the confidential information for
any purpose other than the purpose for which they are intended.
PART V
DISPUTE RESOLUTION
Any dispute arising out of this shall be resolved by negotiations between the authorized
representatives of both the parties. Any dispute arising in connection with the interpretation or
application of the MoU shall be settled amicably through consultation and mutual discussions.
PART VI
FORCE MAEJURE
Neither party will be liable for performance delays or for non-performance due to causes beyond
its reasonable control, except for payment obligations.
PART VII
DURATION AND TERMINATION OF MoU
This MoU shall enter into effect on the day that is signed and remain active until and unless
mutually agreed on and amended by any of the Party in writing only. Any extension or significant
modification of this MoU shall be by agreement of the Parties.
This Specific Memorandum of Understanding between, NHAI, and DAY - NRLM is signed on this
day -------2022 in two copies and each party shall receive a copy of the fully executed
Memorandum of Understanding which is deemed as original.
969
For DAY - NRLM For NHAI
(Name and Designation of the officer) (Name and Designation of the

officer)
Place: Place:
Date: Date:
Witness
1.
2.
970
VI: Anexure A
Standard Operating Procedure for implementation of Green Highways

(Plantations, Transplantation, Beautification and Landscaping) Policy, 2015
971
Section: 7.5. Highway Administration
Sub Subject
section
I. Introduction
II. Integration of greening of highways into project design
III. Planting operations
IV. Plantation Project Award Process
V. Performance Security and Retention Moneys
VI. Financing Pattern
VII. Delegation of powers
VIII. Role of DPR Consultant
IX Role of PIUs / ROs
X Role of Technical Divisions of NHAI HQs
XI Role of the Green Highways Division at NHAI HQs
XII Monitoring and Evaluation
XIII Sharing of usufructs
XIV Compliance to Forest Conservation Act and local laws
XIV Annexures
972
I. Introduction
1.1. Removal of trees is one of the necessary evils in the process of development
of highways. It is obligatory to offset this loss by way of planting trees at all feasible
locations along the highways. Highways should not be looked upon merely as a
means of transportation, but an integral part and parcel of the physical environment
and Socio-economic milieu. In the same manner, roadside plantations and median
plantations should not be considered as externalities, but an integral part of
the highway project.
1.2. Plantation is not a one-time activity. More than planting saplings, it is important to
ensure survival and vigor of the plantations through regular maintenance and
tending. Plantation activities, therefore, coincide with the full project life cycle and
beyond that.
1.3. With the above background, the Standard Operating Procedures (SOPs) has been
prepared for implementation of Green Highways (Plantations, Transplantation,
Beautification and Landscaping) Policy 2015 to ensure greening of highways.
II. Integration of greening of highways into project design
2.1. Plantations works are highly site-specific activities and depend on various factors
like choice of species, terrain, availability of area (Right of Way), soil type, climatic
conditions, etc. IRC: SP-21-2009 provides for detailed guidelines on landscaping
and tree plantations. The DPR consultants must prescribe the greening program on
the basis of these guidelines.
2.2. The costing of proposed plantation / transplantation works should be done

as precisely as possible by assessing number of rows of trees that can be planted
in the land available, duly following the guidelines on spacing of rows and trees. A
strip map should be prepared, km wise, depicting the land available, number of rows
of trees and number of trees in each row. The costs must include protection to
Plantations (through cheapest and effective means), watering and maintenance of
plants for at least 5 years after planting. Such cost of greening must be included in
the project cost.
2.3. The responsibilities of undertaking landscaping and plantation works must be

specified in the DPR. Avenue and Median plantations may be included within the
scope of the Contractor / Concessionaire to the extent possible.
2.4. Plantation works should start only after substantial completion of civil construction
works. Avenue plantations should be undertaken only in available land within the
ROW which is surplus after taking into account the requirements of future widening,
utilities, service roads, structures etc.
973
III. Planting operations
3.1. The process for undertaking Avenue plantations and Median plantation may vary
as per the following different scenarios:
1. Plantation in Ongoing and completed projects:
1. The work of plantations included in the Contract / Concession Agreement

should continue as provided. Monitoring of such plantation works will be
done by the concerned Supervision Consultant / Independent Engineer /
Authority Engineer. No plantation project should be undertaken in the
reaches where the Contractor/Concessionaire are fulfilling their plantation
obligations given in the Contract/Concession Agreement and it is as per IRC
SP 21 2009 Guidelines.
2. In case the Contractor / Concessionaire do not fulfill their obligations despite

all attempts, the work of plantations may be de-scoped from the relevant
Contract / Concession Agreement, and NHAI may make alternate
arrangements for ensuring plantations.
3. Wherever the plantation is found inadequate, NHAI will take up the plantation
works with its own funds in case the plantation cost is not included in
the project Concession / Contract Agreement.
2. Plantation in the projects which are yet to be awarded:
1. Plantation works may be awarded to Forest Department / Forest

Development Corporations (FDCs) or other similar State Government
agencies if not included in the scope of work of Contractor /
Concessionaire. However, to promote healthy competition, plantation works
may also be awarded to empanelled plantations agencies / NGOs through
competitive bidding process.
IV. Plantation Project Award Process:
1. In case of Government agencies, plantation work may be allotted on the basis of

relevant Schedule of Rates (SOR) of the State Forest Department. For works
not included in the SOR of Forest Department, approved rates of other agencies
may be adopted.
2. In case of Private agencies, the Schedule of Rates (SOR) for plantation projects
shall be scheduled rates for plantations of State Forest Department applicable for
the state. Actual cost of such works will, however, depend on the outcome of
competitive bidding.
974
3. In both cases, whether plantation is undertaken through government agency

or private agency, RO will issue necessary administrative and financial approval of
the projects within annual budget allocation for each RO.
4. Deleted
5. The bidding process for private agencies will be in two stages. In the first stage
Regional Officers of NHAI will empanel private plantation agencies / NGOs
for developing a pool of qualified agencies following technical criteria as
enclosed (Annexure – 1). Any private agency interested to participate in the
competitive bidding process for plantation works will be required to be first
empanelled.
6. In the second stage, project specific RFP will be published / circulated based on
Least Cost Selection methodology by concerned Regional Office. In this
competitive bidding process only financial bids submitted by empanelled agencies
will be opened for lowest price discovery.
4.6 (a) The bidding process for large projects of NH stretches will be in one stage
without prior empanelment of agencies. The project specific RFP will be published /
circulated by concerned Regional Officer (RO). The competitive bidding process will
be based on two covers of technical and financial bids. The bidders will be evaluated
on appropriate weightage of technical and financial bid parameters according to
terms and procedure defined in RFP document.
7. The model documents will be periodically reviewed and modified as required,

conforming to NHAI Policy and relevant guidelines.
8. Plantation works will be awarded to Government agencies as a deposit work under

an MoU and to private agencies / NGOs etc. under a Contract Agreement.
9. The plantation agency will be advised to involve local Joint Forest Management
Committees / Self Help Groups / NGOs / or any other recognized community based
organizations to ensure people’s participation.
10. The plantation agency including the Forest Department, will have no right
whatsoever on the land under plantation. Such agency will not be authorized to
undertake any other form of plantation or any other activity on such land other than
that approved by NHAI.
11. For projects undertaken through Govt. Agencies, being deposit works, a provision
for mobilization advance may be made. Subsequent amount may be released
as per following payment schedule issued vide NHAI OM no 464 dated
19.07.2017, subject to submission of Utilization Certificate and verification of plants

survival as captured through monitoring mechanism defined in clause 12 of
monitoring and evaluation.
975
S. No. Stage of Implementation Payment Schedule
(% of Project Cost)
1. Zero Year (Mobilization of advance 50%

after Signing of Agreement)
2. First Year (After planting work) 10%
3. Second Year (post plantation 10%

management Maintenance, Casualty
Replacement etc.)
4. Third Year (Maintenance, Casualty 10%

Replacement etc.)
5. Fourth Year (plantation Maintenance) 10%
6. Fifth Year (plantation Maintenance) 10%
TOTAL 100%
12. For projects undertaken through Private Agencies, provision for expenses after
site verification by PIUs / ROs may be made. The payments will be reimbursed
according to following schedule of payments issued vide NHAI OM no 361 dated
14.09.2017 after verification of plants survival as captured through
monitoring mechanism defined in clause 12 of monitoring and evaluation.
S.no Stage Payment

(in percentage of project
cost)
1 Signing of Agreement 0%
2 First Year – 30%

(Reimbursement for field
preparation, planting
material, site / tree
protection as per project
details)
3 First Year – 15%

(Reimbursement for
Planting, insecticide,
watering and manure
976
procurement and
application etc as per
project details)
4 Second Year 15%

(Reimbursement for soil
working, weeding,
watering and Casualty
Replacement,
maintenance and
protection etc as per
project details)
5 Third Year 10%

working, weeding,
watering and Casualty
Replacement,
maintenance and
protection etc as per
project details)
6 Fourth Year 10%

working, weeding,
watering, maintenance
and protection etc as per
project details)
7 Fifth Year 10%

working, weeding,
watering, maintenance
and protection etc as per
project details)
8 Project Completion 10%

(Successful completion of
project
deliverables as per project

and agreement)
TOTAL 100%
977
13. The project implementation agencies should complete planting in year – 1

or as specified in Memorandum of Understanding (MoU) / Contact Agreement and
should maintain sufficient planting stock for casualty replacement to maintain
survival rate of 90% with all plants of same age and growth every year in the project
period. Survival of Plants will be monitored through Web/Satellite/Mobile GIS Based
Survival Mapping of Plantation sites. Each site will be GIS enabled as polygon before
plantation and these polygons will be monitored from time-to-time by drone
photography/videography/satellite.
V. Performance Security and Retention Moneys
In the projects awarded to private agency on the basis of competitive bidding process,
there shall be a provision of performance security and retention money to be deposited
by the implementing agency in a manner as specified in RFP and Contract Agreement.
This amount will be refundable to the agency at successful completion of the project
after the Defect Liability Period of Six Months in Normal Plantation and One Year in case
of Transplantation Projects
VI. Financing Pattern
6.1. For NH projects (BOT/EPC) under approval/ appraisal stage, cost for undertaking
works related to plantations, landscaping, etc., will be included in the DPR of the
projects.
6.2. For ongoing BOT/EPC projects, wherein plantations work are undertaken by
the Concessionaire/ Contractor as per the scope of work of Concession /
Contract Agreement, plantations may be supervised by the concerned Supervision
Consultant
/ Independent Engineer / Authority Engineer; and where the plantation is not found
satisfactory or the Concessionaire is not willing to do the plantation, plantation
would be taken up at the risk and cost of the Contractor / Concessionaire.
6.3. For completed projects or projects currently under O&M, funds for maintenance of
plantations and plantation of new trees may be taken up from the funds available
under maintenance of highways.
6.4. Apart from project specific funds, efforts may be made by Green Highways Division
for convergence of funds from various government schemes such as CAMPA,
MNREGA etc.
6.5. Any project specific funds received will only be utilized for the purpose it has been
sanctioned. The standard guidelines and the process defined by GoI will be followed
for receipt of funds from external aided agencies.
6.6. The PSUs / Corporates and other institutions which are interested in either adopting
or funding plantations along national Highways under CSR or any other
philanthropic grant based scheme, may be allowed to do so. The CSR funding
978
agencies (PSUs / Corporates) may invest their CSR funds taking responsibility of
direct implementation of the projects for plantation / transplantation / landscaping /
beautification and maintenance on National Highways / Land Parcels following IRC–
SP – 21 – 2009 guidelines.
VII. Delegation of powers
7.1. The Standard delegation of powers of NHAI shall be applicable for implementation of
Green Highways Projects of Plantation / Transplantation / Beautification /
Landscaping and maintenance along National Highways. The Regional Officer shall
issue necessary administrative and financial approval of plantation projects within
annual budget allocation for each RO and will conduct the ensure process
of empanelment, tender process, project award, implementation and monitoring
of plantation work plan.
VIII. Role of DPR Consultant
8.1. Project-specific greening programme, including landscaping, turfing, median

plantations, and avenue plantations will be included in the DPR as per the
existing IRC:SP-21-2009 norms and other prevailing guidelines. As far as feasible, the
proposal for greening should be based on site specific conditions such as space
availability in the ROW, requirement of future widening, space required for services and
utilities, number of rows to be planted, climatic factors etc. Further, the general scheme
of plantation would involve provision of hedges along the outer edge of the ROW so as
to safeguard the RoW from any encroachments as well as creating greening boundary
for RoW, single row of crown trees in the area available for the service roads in non –
inhabited areas and a mix of bush type of plantations in the medians.
8.2. The costing of proposed plantations / transplantations should be done as precisely as

possible based on the state specific government schedule of rates preferably
forest schedule rates. The costs must include protection to plantations (through
cheapest and effective means), watering and maintenance of plants for at least 5 years
after planting.
8.3. The DPR consultant will also ensure that the conditions stipulated by statutory
authorities with respect to greening of highways are reflected in the project report with
matching specifications for carrying out the mandated works and costs.
IX. Role of PIUs / ROs

979
9.1. The concerned PIU and RO should recommend the DPR only after ensuring that the
greening of highways is integrated into the Project Design, IRC specifications have
been followed and relevant cost norms have been used to arrive at the cost of greening.
9.2. PIU/RO will ensure that the concessionaire / contractor fulfill the contractual obligations
pertaining to greening of highways as provided in the relevant Concession / Contract
Agreement for the ongoing projects. Any violation must be reported in time and
corrective measures must be taken as provided in the Concession / Contract
Agreement. In such cases plantation may be taken up at the risk and cost of the
concessionaire / contractor.
9.3. In projects where plantation is not covered under the scope of work of Concession /
Contract Agreement, RO will tie up plantation works with State Government Agencies
having a good track record of such works and will obtain estimates prepared according
to IRC SP 21 – 2009 guidelines to undertake plantations well in advance of the
recommended time of start of planting operations. For project implementation State
Forest Department and other Government Agencies may be given preference, In case
State Agencies are not forthcoming with timely response, RO will initiate the process of
bidding as per the standard RFP. In both the cases, whether plantation is undertaken
through State Government Agencies or Private Agencies, RO will first seek prior
administrative and financial sanction from competent authority of NHAI. The proposals
will be submitted to Green Highways Division for seeking administrative and financial
sanction.
9.4. A strip map of areas available for plantations will be prepared and will be authenticated
by the concerned Independent Engineer, PD and RO.
9.5. The cost estimates must be based on the Schedule of Rates of Govt.
Departments, preferably the Forest Department. For works not included in the SOR of
Forest Department, approved rates of other agencies may be adopted. PD will ensure
that the proposals received from Government Agencies carry the Technical and
Administrative sanction of the concerned Government Department as per the State
Policy. A certificate to this effect must accompany the proposal forwarded by PD to RO.
For private agencies the actual cost of works will, however, depend on the outcome of
competitive bidding. For plantation protection, the cheaper material/option should be
considered. In case of irrigation plan, drip irrigation may be used for median plantation
as plantation through tankers would pose safety hazard. For avenue plantation the
cheaper option of irrigation should be considered.
9.6. The PIU will recommend release of payment to the project implementation agency as
and when due, as per the approved payment schedule in the MOU / Contract
Agreement.
X. Role of Technical Divisions of NHAI HQs
10.1. Before sending the project for appraisal and approval, it must be ensured that
all relevant norms as defined under this SOP have been complied with.
980
10.2. In case of BOT (Toll)/HAM or EPC projects, the median and avenue plantations may
be included within the scope of work of the Concessionaire/ Contractor as per IRC: SP:
21:2009 guidelines of tree plantation and landscaping. The scope of plantation for EPC
contracts shall include maintenance and casualty replacement during entire DLP. The
works of plantations, transplantation, beautification & landscaping will be subject to
strict enforcement.
10.3. Before transfer on completion of DLP in any EPC project to next O&M agency,
inventory of existing plantations shall be made. If the quantity and quality of plantation
is not found commensurate and satisfactory, then action must be taken as per the
contract agreement.
XI. Role of the Green Highways Division at NHAI HQs
11.1. Green Highways Division will scrutinize the proposals received from the RO for
conformity to existing guidelines and Procedures and also process administrative and
financial sanction.
11.2. The Green Highways Division will examine proposal with respect to the suitability of
species and proposed planting operations and recommend the proposal for approval
of the Competent Authority.
11.3. The Green Highways Division will compile database of plantations and will monitor
and evaluate the progress of plantations. Discrepancies found during the course of
monitoring will be communicated to the concerned Technical Division and RO with
suggestions on corrective measures.
11.4. Preparing a perspective plan for greening of highways and finalizing Annual
Plantation Programmes.
11.5. Examining the plantation proposals with respect to environment related parameters
and recommending the proposals from environmental angle.
11.6. Developing and maintaining a dynamic data base for monitoring and evaluation of
greening of highways.
XII. Monitoring and Evaluation
12.1. Green Highways Division in consultation with the Technical Division will ensure that
the provisions of the Concession / Contract Agreement are being followed in case of
ongoing projects and corrective measures are taken in timely manner so that greening
of highways is achieved as envisaged.
12.2. Concurrent monitoring and evaluation of greening of Highways will be ensured with
the help of integrated project monitoring IT Tools of NHAI and support of technical
persons working at ROs and PIUs of NHAI.
981
12.3. The Green Highways Division may work for Institutional arrangement of third party
participation in monitoring and evaluation of Greening Program in the light of Green
Highways Policy Directives, IRC - SP – 21- 2009 guidelines and NHAI’s Instructions.
12.4. Plantation area is to be e-tagged and GPS enabled for entire life cycle of plantation
since site preparation. Survival of Plants will be monitored through
Web/Satellite/Mobile GIS Based Survival Mapping of Plantation sites. Each site will
be GIS enabled as polygon before plantation and these polygons will be monitored
from time-to-time by drone photography/videography/satellite.
XIII. Sharing of usufructs:
The usufruct sharing from plantations raised on NHAI land will be determined and
approved by competent authority as per Green Highways Policy 2015.
XIV. Compliance to Forest Conservation Act and local laws:
Before starting any plantation, the local forest department will be consulted for ensuring
compliance to any regulation in force that may affect raising, maintenance, and harvesting
of the raised plantation. Necessary modifications will be made in the plantation scheme
in consultation with the forest department to ensure compliance to law and to
avoid complications at the time of harvesting and transportation of forest produce. In case
the State Government has any provision for registration of such plantations, the same will
be ensured under the relevant scheme.
982
Annexure - 1
(Empanelment of Private Agencies for Plantation)
1. Empanelment of Agencies will be done at RO Level.
2. Empanelment of Agencies will be valid for 2 years from the date of empanelment.
3. All Private Agencies i.e. Private Limited Company, Proprietorship Firm, Cooperative,
NGOs, Registered Societies, SHGs, Gram Panchayats, JFMCs, Watershed Committees
etc having required experience and expertise in plantation and allied activities can apply
for empanelment.
4. Agencies will be empanelled in two categories
4.1. Category A: The agencies having plantation experience of implementing minimum

one plantation project of Rs 5 lakh – 20 lakh project cost. These agencies will qualify
to bid for National Highways Plantation project of 2 kms length and 2000 plants.
4.2. Category B: The agencies having plantation experience of implementing two or

more plantation projects of project cost Rs 5 lakhs each or one or more projects of
project cost minimum Rs 20 lakh. These agencies will qualify to bid for National
Highways Plantation project of about 10 kms length and 5000 – 10000 plants.
4.3. Agencies once empanelled under category A, can be upgraded to higher category B
once they acquire requisite work experience and apply for upgradation to NHAI.
4.4. Although empanelment was proposed in 2 categories (Cat. A for 2 Km/2000 plants;
& Cat. B for 10 Km/10000 plants), but largely bigger size works only should be awarded
and smaller category should be used only if it is inevitable;
5. Eligibility Criteria for Empanelment
5.1. Technical Resource Persons:
5.1.1. Team Leader – Minimum 3 years work experience in Plantation and allied
activities and Graduation in Forestry, Agriculture and allied subjects
5.1.2. Team Supervisor - Minimum 2 years work experience in Plantation and

allied activities and Graduation in Forestry, Agriculture and allied subjects
983
5.1.3. Team Member - Minimum 1 years work experience in Plantation and allied
activities
5.2. Documents required from the agency for empanelment
5.2.1. Certificate of registration from competent authority
5.2.2. NGOs/ Trusts are required to be registered under NGO Darpan (Niti Aayog
portal) of Govt. of India.
5.2.3. MSME/ Start-ups are required to be registered under Udyog Adhaar portal
of Govt. of India
5.2.4. PAN Card of Agency / ITR of Previous year
5.2.5. Work order and work completion certificates for work experience
consideration
984
ANNEXURE-B
Memorandum of Understanding (MoU) between NHAI and Central/State Government

Department/Organization for plantation on NHAI lands
Link: https://nhai.org/NGHMe/nationalgreenhighway.org/pdf/MOU.pdf
985
Memorandum of Understanding (MoU) between

NHAI and Central/State Government Department/Organization for plantation on NHAI
lands
1) This Agreement made this ............ day of month………….& year ....... between the President
of Union of India acting through (name of the authorized officer with designation)
………………………… of the (HQ/Regional Office/ PIU) .................. National Highways
Authority of India having its registered office at G-5 & 6 Sector 10, Dwarka New Delhi110075
(hereinafter called the NHAI which term shall include the successors and Regional Offices)
of the one part.
And
………………………………………………………. (Name of the Authorized officer of

Central/State Government Department/Organization, State) having its
registered office at (complete address of the Department/Organization)
………………………………… (hereinafter called Central/State Agency which term shall include
his successors of the other part).
(The agreement to be signed between the concerned Authorized Officer of NHAI

HQ/Regional Officer/PIU for general MoU with the Authorized Officer of Central/State
Agency)
OR
2) Project Director, Project Implementation Unit of NHAI or any officer authorized by Regional
Officer concerned (not below the rank of Project Director)
And
Authorized officer of concerned Central/State Agency (not below the rank of District level Officer)
having jurisdiction over the project site for MoU of the individual project proposed for
implementation.
(The agreement to be signed between the concerned Project Director/any Officer authorized
by Regional Officer, NHAI for MoU with the Authorized Officer of Central/State Agency for
specific projects)
Whereas
1. NHAI has been established under the National Highways Authority of India Act, 1998 with
the main objective of developing, maintaining and managing highways in the country as
986
entrusted/vested by Government of India.

2. NHAI undertakes projects related to the development of National Highways at various
locations all over India. These projects are formulated and implemented according to policy
guidelines of the Govt. for meeting the growing needs of the road transport in the country.
3. Central/State Agency (Name of Agency)…..…………… is the Government Agency for
carrying out the plantation activity in the State directly as implementation agency
(Forests/Agriculture/Horticulture/NRLM/ SRLM/ Central Silk Board etc.) through Self Help
Groups (SHGs) as project implementation unit and has sufficient expertise and infrastructure
to take up the plantations.
4. The NHAI proposes to the Central/State Agency (name of the Central/State Government
Department/Organizations)…………………………. ................. to take up the
implementation of plantation project.
(Project site details: State, Regional Office, PIU, NH No., chainage and coordinates should be
given for MoU of the individual project proposed for implementation
987
Now this agreement witnesses and the parties hereby agree for the conditions as follows:
1. Central/State Agency shall from the ….......day of month ............& year ....................... take over
the management of the said lands for the purpose of plantations of best performing local native
species in different agro-climatic zones according to IRC: SP:21-2009 guidelines. The said lands
shall not be deemed to be or declared as ''Protected Forest" or "Reserved Forest" or any other
'Forest' category under Indian Forest Act 1927. However, the said land will be managed in
accordance with this agreement as per terms and conditions agreed upon by both the
Central/State Agency and NHAI.
2. Central/State Agency through their local authorities and workers will be responsible for plantation
of tree and shrub species and maintain spacing between ROW to ROW and Plant to Plant for
implementation of approved Green Highways Projects (GHPs) as enclosed (A copy of the
project proposal to be annexed for the specific project) following the Green Highways Policy
2015 and IRC:SP:21-2009 Guidelines and other guidelines as agreed upon in project formulation
and implementation during project period. Central/State Agency will also take care for protection
of the plantations and trees, fencing, boundary pillars etc.
3. NHAI will release funds to Central/State Agency according to NHAI OM No 464 dated 19.07.17
with a provision of mobilization advance and subsequent payment schedule of project period
subject to submission of Utilization Certificate and verification of plants survival as captured through
monitoring mechanism defined in SOP of Green Highways.
S. No. Stage of Implementation Payment Schedule

(% of Project Cost)
1 Zero Year (Mobilization of advance after Signing 50%
of Agreement )
2 First Year ( After planting work ) 10%
3 Second Year (post plantation management 10%
Maintenance, Casualty Replacement etc.)
4 Third Year (Maintenance, Casualty Replacement etc. 10%
5 Fourth Year (plantation Maintenance) 10%
6 Fifth Year (plantation Maintenance) 10%
Total 100%
988
4. NHAI will bear the cost escalation, if not included in project, due to increase in minimum
daily wages notified from time to time by Competent Authorities of the State Government.
5. Central/State Agency will ensure that the survival of plants should be nearly 90% at the
time of handing over the plantation to NHAI. Average growth and height of the plants
should not be less than the growth and height achieved by the plant species of the same
age growing naturally in that area, except for the reasons beyond human control.
6. The Schedule of Rates (SOR) of the State Forest Department or any other State
Government Department related to the project site will be applicable for project preparation and
budgeting purpose. Amount unutilized in one item maybe utilized for another item within
overall budget limit.
7. The certificate of utilization of funds along with number of trees/plants surviving will be
provided to NHAI after every six month.
8. All instructions issued by the NHAI and advisories issued in this matter by the authorities
of the NHAI regarding road visibility, planting along inside of curves, minimum distance of
planting line from the road, measure for the safety of road shall be strictly followed by the
Central/State Agency while planning the plantation program. The choice of species of
plant, models of plantation, cultural operations employed in management and protection
of plantation and imposition of reasonable restriction of inter cropping in plantation,
grazing, burning of grass etc. will be determined according to IRC:SP:21-2009
guidelines, National Green Highways Policy 2015 and applicable rules of the state.
9. NHAI shall hand over the said land to Central/State Agency free from all encumbrances
and encroachments. An inventory of already planted and naturally growing trees on said
land shall be jointly taken by NHAI and Central/State Agency at the time of handing over
land to Central/State Agency and these trees will continue to be of NHAI. Felling of such
trees can be done by NHAI in accordance with relevant Rules/Acts applicable if any, in
respect of that area. Revenue fromthese trees will accrue to NHAI if the projects are
implemented by Central/State Government Department/Organizations directly.
100% usufructs shall be shared if the project implementation is executed
through SHGs.
10. Central/State Agency /SRLM/Central Silk Board/ or any other such agency shall use the
said land only for plantation or for a purpose ancillary there to. However plant nurseries
may be developed for raising seedlings for plantations on said land undertaken by the
Central/State Agency/SRLM/Central Silk Board/ or any other such agency. In case of
SRLM, these nurseries may be developed through NREGS funds. No permanent
structure shall, however, be built on such land. NHAI reserves the right to site inspection
from time to time.
11. The ownership of the land shall remain vested in the NHAI as here to, and only
management thereof will be handed over to the Central/State Agency for plantation
purpose.
12. After raising the plantation, the Central/State Agency shall maintain an inventory of all
trees on the said land. The abstract of the enumerated trees will be shared with NHAI for
information and record.
989
13. The NHAI shall be entitled and permitted to utilize earth for repairs and formations, to cut
branches of trees and also to execute works required for normal functioning of the
National Highways in consultation with the concerned Central/State
Agency/SRLM/Central Silk Board on the said land. The NHAI shall decide the nature of
such works and no compensation shall be paid by the NHAI.
14. The NHAI may resume the said lands or any part thereof at any time, without payment
of any compensation to the Central/State Agency. The Central/State Agency will remove
trees fromsuch land or part of land on NHAI's request, or will give permission to NHAI to
remove trees.
15. The NHAI staff would be free to carry out their normal work in connection with maintenance
of National Highways, they shall not be prevented while moving in the performance of their
duties on such lands.
16. Central/State Agency will be competent to deal any damage or loss of plantation/trees by
otherthan NHAI officials, according to the provisions of the applicable Acts and Rules of
the State.
17. Central/State Agency will be given possession of land free from all encumbrances. In
case of encroachment on such land, the NHAI authorities shall get it vacated and fix
boundary pillarsbefore handing over.
18. This MOU shall be applicable with effect from the date it is signed by both parties.
The essence of this MoU is to implement the plantation activity in the most effective manner
using the expertise, knowledge and resources of both the organizations in furtherance of their
common objectives.
The agreement to be signed between the concerned Authorized Officer of NHAI

HQ/Regional Officer/PIU for general MoU with the Authorized Officer of Central/State
Agency
AND/OR
Project Director, Project Implementation Unit of NHAI or any Officer authorized by Regional
Officer concerned (not below the rank of Project Director) & the Authorized Officer of concerned
Central/State Agency (not below the rank of District level Officer) having jurisdiction over the
project site for MoU of the individual project proposed for implementation.
…………….…………., NHAI on the ……….day of month ……….. & year..........
Name and Designation of the Officer) (Name and Designation of the Officer)
Central/State Agency NHAI
Place: Place:
Date: Date:
990
ANNEXURE-C
Memorandum of Understanding for CSR funded Plantation Projects

Link: https://nhai.org/NGHMe/nationalgreenhighway.org/downloads/circulars/677.pdf
991
Memorandum Of Understanding (MoU)

between
NHAI and CSR Agency
for adopting plantation on National Highways
1. This Memorandum of Understanding (MoU) (hereinafter, called the ‘Agreement”),

is made at …………….. on this Xth day of month, 20XX (hereinafter called the “Effective
Date”)
BETWEEN
National Highways Authority of India (NHAI), constituted by an act of Parliament, the

National Highways Authority of India Act, 1988 having its registered office at National
Highways Authority of India, G 5&6, Sector-10, Dwarka, new Delhi – 110075
represented by Regional officer, …………. – NHAI (hereinafter referred to as the
“NHAI”, which expression shall, unless excluded by or repugnant to the context, be
deemed to include its successors, administrators and permitted assignees) of the one
part
And
CSR AGENCY, ...(about company)…. and having its registered office at (Address of
the Company), and (herein after referred to as “CSR AGENCY” which expression shall
unless it be repugnant to the context or meaning thereof shall mean and include its
successors and assignees) of the other part.
NHAI and CSR AGENCY shall hereinafter collectively be called “the Parties” and
individually as “the Party”
WHEREAS,
Ministry of Road Transport & Highways (MoRTH), Government of India has

promulgated Green Highways (Plantation, Transplantation, Beautification and
Maintenance) Policy 2015 in September 2015, to develop green corridors along
National Highways for sustainable environment with participation of the community,
farmers, NGOs, private sector, institutions, government agencies and the Forest
Department.
To enhance the scalability of Green Highways Program, NHAI under the ‘Adopt a
Green Highways Program’ (hereinafter referred to as the “project”) intends /envisions
to collaborate with government, corporates and PSUs under their Corporate Social
Responsibility & (CSR) program for developing Green Highways for Sustainable
Environment & Inclusive Growth in which the Organizations can also adopt/fund
roadside Avenue, Median and Land Parcel Plantations and allied activities along the
national highways.
2. Adoption under CSR:

2.1 Under the Adopt a Green Highways Program of NHAI, Corporates and
PSUs can adopt a particular National Highways stretch under their CSR
program by undertaking plantation on their own or through suitable experienced
992
plantation agency following IRC: SP-21-2009 guidelines and Green Highways

(Plantation, Transplantation, Beautification and Maintenance) policy -2015.
2.2 The project aims to develop large carbon sink and thus help in mitigating
global warming and climate change effects.
2.3 The project would also target to help in improving soil fertility, enhance
water conservation and will check surface runoff and hence improve productivity
of the soils in the activity areas.
2.4 The Parties are interested in collaborating to undertake initiatives under

CSR AGENCY’S core CSR focus areas – Livelihood Security and
Enhancement, Education, Skills/Employability training and Environment
Sustainability and partner with one another in their ongoing and proposed new
initiative.
2.5 CSR AGENCY has express their commitment to support the ‘Adopt a
Green Highways Program’ by adopting a mutually agreed stretch along (details
of NH Stretch)
Under their CSR program.
2.6 CSR AGENCY based on their survey has submitted their Plan and
financials to undertake plantation activates on NH Stretch.
2.7 CSR AGENCY and NHAI are desirous of executing a Memorandum of

Understanding (MoU) with a view to record the broad terms and conditions
mutually agreed to, by and between them subject to working out the modalities
in detail and terms of implementation in due course as may be agreed between
the Parties in writing.
3. DEFINITIONS
3.1 CSR- Corporate Social responsibility means and includes projects or
programs relating to activities undertaken by CSR AGENCY in pursuance of
recommendations of the CSR Committee of the Board as per CSR AGENCY’S
CSR Policy complying to Companies (Corporate Social Responsibility Policy)
Rules, 2014.
3.2 Project: Project with details of the mutually agreed stretch of a Highways,
cost of plantations, insurance, baseline study, impact assessment and
other ancillary activities along with project implementation schedule.
4. Details of the Activity
4.1 CSR AGENCY intends to adopt a mutually agreed length of stretch …

(details of NH Stretch)… for undertaking plantations under NHAI’S ‘Adopt a
Green Highways Program’, as a part of its CSR initiative complying to
Companies (Corporate Social responsibility Policy) Rules, 2014.
993
a. CSR AGENCY will be responsible for overseeing the project and its
implementation through the implementation agency identified and appointed
by them.
b. Plantations & Maintenance activities will be taken up as per the IRC: SP:
21-2009 and the Green Highways (Plantation, Transplantation,
Beautification and Maintenance) Policy – 2015.
5. Roles and Responsibilities
5.1 NHAI will ensure that the mutually agreed stretch……..(details of NH

Stretch)… is free from all disputes and litigations.
5.2 CSR AGENCY will regularly monitor the progress of project in

accordance with this MoU, IRC: SP: 21: 2009 and Green Highways Policy
and submit quarterly progress report to NHAI.
5.3 CSR AGENCY will ensure that each project site has a baseline study
at the start of the project and an impact assessment at the end of the project.
5.4 CSR AGENCY will finalize the agency for the baseline study before the
project and impact assessment at the end of the project and will submit the
baseline study report and impact assessment report to NHAI.
5.5 CSR AGENCY will submit annual, bi-annual & quarterly narrative and
financial report to NHAI sharing the progress made in the project (regarding
the plantations, maintenance activities, baseline, impact assessment)
during the year.
5.6 CSR AGENCY will ensure successful implementation of project

abiding by the guidelines especially survival rate of 90% trees for 5 years.
5.7 NHAI will permit CSR AGENCY to place exclusive signages as per the
existing NHAI, IRC rules, policy and guidelines for roadside signages. For
this CSR agencies will take approval from concerned Project Director.
5.8 NHAI will permit CSR AGENCY, at each adopted site, to display a
“recognition panel” with CSR AGENCY name and/ or logo attached to the
signage. No Commercial advertisement will be allowed on the highways and
ROW areas.
5.9 CSR AGENCY to allocate funds under their CSR budget as per this
MoU to undertake plantation on its behalf including insurance, five years
awareness programs and other ancillary activities of such plantations as
mentioned in the MoU. CSR AGENCY shall communicate such allocated
budget to NHAI by letter/ E-mail.
5.10 NHAI would be conducting periodic visits / third party audits/ online
monitoring to study and analyze the progress made by CSR AGENCY on
994
the designated deliverables as per the MoU.
5.11 CSR AGENCY may utilize tree guards, fencing and other similar areas
to display its name and/ or logo at its cost following NHAI guidelines of road
safety.
5.12 CSR AGENCY will take necessary steps to manage the traffic in the
area during plantation activity and will be responsible for safety of all man
and machinery deployed for plantation.
5.13 Any damage to the property of NHAI by CSR agency/ Plantation Agency
during plantation will be the responsibility of the CSR agency and the
rectification of the same will be carried out accordingly.
6 Agreement Period
6.1 This agreement is valid for five years from the date of signing of the
MoU till the end of the five year project implementation period. The
Agreement may be extended further for a specified period on the basis of
mutually signed agreement for the same.
7 Title of activity land and related provisions
7.1 Ownership of activity land would remain with NHAI/MoRTH. The CSR
AGENCY will not claim any right on the land/ plantations/ trees after
completion of MoU Period.
7.2 NHAI and CSR AGENCY would have exclusive rights to place their
signages as per the existing rules, policy and guidelines of NHAI, IRC for
roadside signages at the mutually agreed stretch along……(details of NH
Stretch)……
7.3 NHAI shall be empowered to cut/ fell/ prune/ any tree/ branch on the
activity land perceived to be threat to safety of highway traffic, utilize earth
for repairs and execute works required for safe restoration & running of
vehicular traffic.
8 Expected Activity Deliverables

8.1 Plantations and management of activity area as per the provisions of
this MoU, IRC: SP: 21: 2009, Green Highways (Plantation, Transplantation,
Beautification and Maintenance) Policy – 2015 and its subsequent
guidelines for its implementation.
9 Confidentiality
9.1 The parties agree that they shall not, at any time or under any
circumstances, without the prior written consent of the other Party, directly
or indirectly communicate or disclose to any person confidential information
of the other Party or the existence and terms of this MoU ( other than to their
employees, agents, auditors and representatives). However such obligation
shall not apply in the following eventualities:
 Information already in the possession of the other Party
995
 Information which is or become generally available to the public

 Information that is independently developed by the other Party or
which comes into its possession through a third party
 Information that is required to be disclosed by law or under a court
order or by the applicable regulations or policies of any regulatory/
statutory agency of competent jurisdiction
The provisions of this Clause herein above pertaining to the said
confidential information shall survive the termination of this MoU for a
period of two years from the date of such termination.
10. Coordination Disputes Resolution and Termination
a. Coordination meeting between NHAI and CSR AGENCY officials shall

be held regularly and preferably at least twice in a year
b. If any dispute controversy or claim arises between the parties out of or

relating to this Agreement or the breach, termination or validity thereof,
(a “Dispute”), senior management personnel from each party shall meet
and attempt to resolve the dispute within a period of twenty (20) days
following one party’s written request to the other party to hold such a
meeting.
c. In case of deficiency/ non-adherence to provisions of MoU by any of the

party, the other party may serve a notice of 21 days period to rectify the
deficiency/ non-adherence to the provisions of the MoU. In case of
continuing unsatisfactory performance or noncompliance beyond 21
days, the party shall have the right to terminate the MoU without any
further notice. In this eventually, both the parties shall not be liable to
pay any compensation and CSR AGENCY shall not be liable to release
any further payments towards the implementation of Project. NHAI shall
have a right to terminate this MoU with immediate effect if it comes to it
knowledge that the allocated budget/ funds are used for any other
purpose other than the agreed project
d. The MoU shall be governed and construed in accordance with the

Indian Laws and Regulations and all matters arising out of this
Agreement will be settled subject to the exclusive Jurisdiction of Courts
in……..
10.5 In case of any conflicts, terms mentioned under this MoU will supersede
other Rules/ Policy/ Laws/ other related provisions made. Any new changes that
would be made in the Policy/ DPR/ Rules/ Laws/ other Related provisions will
be informed 30 days before implementation in writing. These changes/
modifications will not apply retrospectively.
996
11. Notices
11.1 Any notice or other communication under or in connection with this

Agreement shall be in writing in the English language and shall be delivered
personally or sent by the registered post or courier, to the party due to receive
the notice or communication at its address set out in this Agreement or any other
address as either party may specify by notice in writing to the other.
12. Amendments
12.1 Any addition/ amendments including extension of agreement period (if

any) of this Agreement shall be in writing to the signed by both parties and
shall, thereafter form and become an integral part of this Agreement.
13. Risk Coverage
13.1 The risk of failure in these Plantations would be in case of natural

calamity viz., severe drought/ flood/ heavy storm/ post and diseases etc. Risk
Mitigation Plan to be put in place by CSR AGENCY to ensure safety and
security of trees planted post plantation phase. In case of such natural
calamities or force majeure circumstances, NHAI/ CSR AGENCY shall not be
liable to compensate such loss or make any further payments for replantation
over and above the allocated budget.
13.2 The plantation activity will be undertaken by CSR Agency considering

the Agro-Climatic zone and the weather pattern of the region as prescribed in
IRC: SP: 21: 2009 and the guidelines for implementation of Green Highways
Policy-2015.Remedial measures will be taken on priority basis as prescribed
in the aforesaid guidelines.
13.3 Efforts will be made by NHAI and CSR AGENCY to sensitize the local
community and key stake holders on importance and benefits of plantations
and maintenance during the post implementation phase.
14. Force Majeure
14.1 Both parties shall not be liable for any delay, interruption or failure in
performance of this MoU due to the occurrence of any event of force majeure
(hereinafter referred to as the “Force Majeure”) including but not limited to fire ,
explosion, flood, earthquake , landslide, other natural disasters, epidemics,
quarantine, riot, civil commotion, act of God, labour disputes, strikes, sabotage, war,
war like condition, terrorism, insurrection, mobilization, direct act or intervention of any
Government or subdivision thereof.
15. Waiver
15.1 The failure of any party at any time to invoke any of the conditions of this
MoU shall not be construed as a waiver by such party and shall not prevent such party
from invoking or insisting compliance of the same at a later date.
16. Applicability
16.1 This MoU will be applicable with effect from the date it is signed by both
parties this agreement signed on by (Name of person, Designation of the person), on
997
behalf of CSR AGENCY and Regional Officer, NHAI,…….. on behalf of the NHAI on
this day of Xth (Month) 20XX.
17. Use of Intellectual Property
17.1 Each party shall retain all rights, title and interest in their respective
trademarks and logos and no party shall use the other Party’s trademarks and logos
without the prior consent of the other party
18. Assignment
18.1 Neither Party may assign or otherwise transfer any of their respective
obligations under this MoU, in whole or in part, without the prior written consent of
other Party. This MoU will be binding upon the Parties’ respective successors and
permitted assigns.
19. Independent Parties
19.1 This MoU is on a “Principal to Principal” basis and the Parties are
independent of each other and nothing contained herein is intended to or shall
deemed to create any partnership, joint venture, employment or relationship of
principal and agent between the Parties hereto or between their respective
representatives and employees or between one Party and the representatives
and employees of the other Party or to provide either of the Parties with any right,
power or authority, whether express or implied to create any such duty or
obligation on behalf of the other Party.
20. Counterparts
20.1 This MoU may be executed in two counterparts, each of which is an
original but together shall constitute a single instrument
21. ANNEXURE
21.1 IRC: SP: 21: 2009
21.2 Guidelines for implementation of Green Highways Policy-2015
21.3 Project submitted by CSR AGENCY to NHAI before the start of the project
with detailed breakup of implementation guidelines and financials and
performance standards, which would form a part of this MoU.
998
Signed by authorized representatives of the parties, in presence of Witnesses:
NHAI CSR AGENCY
Name: Name:
Designation: Designation
Address: Address:
Witness 1: Witness 2:
Name: Name:
Address: Address:
Place:
Date:
999
ANNEXURE-D
RFP for inviting bids for Plantation Works along National Highways stretch of
length not more than 100 Kms or of 10 Cr estimated cost at RO level
1000
1001
1002
Checklist of Documents to be submitted for tender with page no.
S. No. Clause Signed Documents Required to be Submission Volume No

No Submitted Status / Page No
Yes / No / Not
Applicable
1. 2.2.1 (i) Tender fee deposit receipt with

Unique Transaction Reference (UTR)
number.
2. 2.2.1 (ii) Complete RFP document, all pages

duly signed by Authorized signatory of
agency with seal of the agency.
3. 2.2.1 (iii) All Corrigendum & Addendum issued

by Authority before last date of bid
submission to be submitted with
signature & seal of the agency.
4. 2.2.1. iv Annexure I – Application Duly filled

(a) and certified.
5. 2.2.1. iv Annexure - II – Undertaking Duly filled

(b) and certified.
6. 2.2.1. iv Annexure - III - affidavit duly filled and

(c) certified.
7. 2.2.1.v (a) Company registration certificates. (as

applicable)
8. 2.2.1. v For Company financial capacity

(b) Company’s Turnover Certificate
issued and certified by Chartered
accountant.
9. 2.2.1. v Udyog Aadhar / NGO Darpan

(c) Certificate as applicable
10. 2.2.1. v GST Registration Certificate

(d)
11. 2.2.1. v IT PAN Card

(e)
12. 2.2.1 (vi) Structure & Organisation in Section B

Annexure IV.
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S. No. Clause Signed Documents Required to be Submission Volume No

No Submitted Status / Page No
Yes / No / Not
Applicable
13. 2.2.1. vii CV of Team Leader (with photograph

(a) & signature of person) as per
Annexure IV.
14. 2.2.1. vii CV of 2 Team Members (with

(b) photograph & signature of person) as
per Annexure IV.
15. 2.2.1 (viii) List of all plantation related work

executed by agency in last 7 years as
per Annexure VI.
16. 2.2.1 (x) Site specific project proposal with site

specific details as per Annexure VII.
17. 2.2.1 (xi) EPF & ESIC registration certificate.

Undertaking that agency fulfils all the
criteria to acquire labour license
certificate as per Annexure IX.
1004

Ministry of Road, Transport & Highways
Regional Officer ……………………,
…………………………………………………
e-Tender for Selection of NGOs/agencies/companies, including consortium and

partnership firms to undertake various works of Avenue Plantation / Median Plantation
on …………………. section of NH - .... under PIU – ………., Regional Office, ………..,
NHAI in the State of ………………..
[Draft RFP for inviting bids for Plantation Works along National Highways stretch of
length not more than 100 Kms or of 10 Cr estimated cost at RO level]
1005

Regional Office………………..
Ref: No ................................. Date:

dd.mm.yyyy
NIT/RFP No. ...........................................
TENDER FOR AVENUE PLANTATION / MEDIAN PLANTATION WORK IN

……………………….. section of NH - … UNDER, PIU – ……….., REGIONAL OFFFICE,
…………, NHAI in the State of ………….
The Regional Officer,....................., NHAI, NHAI on behalf of the NHAI, invites e-tenders for
the following work(s) from the eligible Contractors as detailed in the table below. [Collection
(downloading) and Submission (uploading) of Tender can be made online through the website
https://etenders.gov.in only].
A. List of Work(s):
Sl.No Name of work No of Plants Estimated Cost of Period of
. (Avenue Amount Put tender Completio
Plants + to tender documents n of the
Median (Rs.) (Tender work
Plantation) Fees, in
Rs.)
(1) (2) (3) (4) (5) (6)
1. Avenue Plantation 5 yrs
/ Median Plantation
(Advance field
preparation,
planting and
maintenance)
works along
…………. section
of NH - ……. under
PIU – …….,
Regional Office
………….. in the
state of ………….
 Tender Fee – Rs 500/-
** Tender Fees shall be paid electronically through payment link on e-tender website or
electronic transfer to account details given below and payment acknowledgement receipt
may be submitted / uploaded along with other documents. If bidder fails to upload the
payment acknowledgement receipt then his / her tender won’t be evaluated and any
communication in this regards won’t be entertained.
1006
S No. Particulars Details
1. Name of Beneficiary
2. Name of Bank
3. Account Number
4. IFSC Code
5. Account Type
***Agency have to give the undertaking as per Annexure 2 that If the bid is withdrawn or
modified during the period of validity or if work is awarded and they failed to sign the
contract or submit the performance security before the deadline defined in the RFP, they
will be suspended for participation in the tendering process for the works of MoRTH / NHAI
/ NHIDCL and works under other centrally sponsored schemes for a period of one year
from the bid due date of this work.
B. Schedule of Dates:
Sl. Particulars Date & Time

No.
1 Date of uploading NIT/RFP Documents—Online
( Publishing Date)
2 Documents download start date ( Online)
3 Documents download end date (Online)
4 Bid submission start date (Online)
5 Bid submission closing date ( Online)
6 Submission of Pre – bid query by email for pre-bid
meeting
7 Date of Pre-Bid meeting
8 Bid opening date for Technical Proposal ( Online)
9 Date of uploading technically qualified bidders To be notified in due course
( Online)
10 Date of opening Financial Bids ( Online) To be notified
11 Date of uploading of list of bidders along with final To be notified in due
rate, after negotiation with all tenderers if course.
necessary
(Offline)
Last date & time of submission of bids online is: dd/mm/yy at ………AM/PM
Note:
1. In case of any unscheduled holiday or on days of natural calamity on the aforesaid
dates, the next working day will be treated as scheduled / prescribed date for the same
purpose.
2. The Tender Inviting Authority may change the venue of opening the Technical or
Financial Bids in case of exigent circumstances like breakdown of communications link
or conditions of force majeure.
3. The Tender Inviting Authority reserves the right to defer the date of opening of either
Technical or Financial Proposal or both, if required.
1007

Office of the Regional Officer, ………….
Ref …………………………………. Date:....................
TENDER FOR AVENUE PLANTATION / MEDIAN PLANTATION WORK IN

.............................. section of NH - .....) under PIU – .............., REGIONAL OFFICE, ...........
INSTRUCTION TO BIDDERS (ITB)

Section – A
1. General Guidance for e-Tendering
1.1. Instructions / Guidelines for tenderers for electronic submission of the tenders online
have been shown in Web site https://etenders.gov.in.
1.2. Registration of Contractors
Any contractor willing to take part in the process of e-tendering will have to be enrolled
and registered with the Government e-Procurement System.
1.3. Digital Signature Certificate (DSC)
Each contractor is required to obtain appropriate Digital Signature Certificate (DSC)

for submission of tenders.
1.4. Collection of Tender Documents
The contractor can search and download NIT/RFP and tender documents
electronically from computer once he logs on to the website mentioned in Clause 1.1
using the Digital Signature Certificate. This is the only mode of collection of tender
documents.
1.5. Participation in more than one work
A prospective bidder shall be allowed to participate in the job either in the capacity of
individual as a partner of a firm or registered company. If found to have applied
severally in a single job, all his applications will be rejected for that job.
2. Submission of Tenders:
2.1. General process of submission:
Tenders are to be submitted online through the website stated in Clause 1.1 in two
folders, at a time for each work, one is Technical Proposal and the other is Financial
Proposal, before the prescribed date and time mentioned in the list attached. Using
the Digital Signature Certificate (DSC), the documents are to be uploaded, virus
scanned and digitally signed.
Tenderers should specially take note of all the addendum/corrigendum related to the
tender and upload the latest documents as part of the tender.
2.2. Technical Proposal
The Technical Proposal should contain scanned copies and/or a declaration in

standardized formats of the followings.
2.2.1. Technical Folder
i. Tender fee deposit receipt with Unique Transaction Reference (UTR) number.
1008
ii. Complete RFP Document each page duly signed by Authorized signatory with
seal of the agency.
iii. All Corrigendum & Addendum issued by Authority before last date of bid
submission to be submitted with signature & seal of the agency on each page.
iv. a) Annexure I – Application duly filled and signed,
b) Annexure II – Undertaking duly filled and signed,
c) Annexure III – Affidavit duly filled and signed
v. COMPANY DETAILS
a) Company registration certificates (as applicable)
b) For Company financial capacity, Company’s Turnover Certificate issued
and certified by Chartered Accountant
c) Udyog Aadhar / NGO Darpan Certificate as applicable
d) GST Registration Certificate
e) IT PAN Card
vi. STRUCTURE & ORGANISATION in Section B Annexure IV
vii. a) CV of Team Leader (with photography, signature of person & agency’s

representative) as per format in Annexure (V) subject to qualification as per
clause 3 (e).
b) CV of 2 Team Members (with photography, signature of person & agency’s

representative) as per format in Annexure (V) subject to qualification as per
clause 3 (e).
viii. a) List of all Plantation related work (Completed & Partially completed) executed
by agency in last 7 years in Annexure (VII).
b) Bidders who have worked with NHAI previously should compulsorily submit
the past experience certificate from concerned competent authority specifying
clearly that the work has been executed and completed by them in stipulated
time with date of award and scheduled date of completion along with valid
extension of time (EOT) granted if any. If the bidder has not completed above
mentioned work in scheduled stipulated time frame, they will not be eligible for
bidding and their bids will not be considered.
ix. Site specific project proposal with site specific details and photographs of site
as per Annexure (VII).
x. EPF & ESIC registration certificate of bidder/s with a undertaking that agency
fulfils all the criteria to acquire labour license certificate as per Annexure (VIII).
Note: Technical Bid & Financial bid both will be submitted concurrently duly digitally
signed in the Website https://etenders.gov.in Tender document may be
downloaded from website &submission of Technical Bid/Financial Bid as per
Tender Schedule
2.2.2. Important Instructions for submission of Technical Documents
i. Authority may decide to seek clarification on the documents submitted by the

agency. Authority may ask agency to re-submit or submit any additional /
supporting document if authority feels that it’s essential in order to evaluate the
tender submitted. Agency have to comply with Authority’s correspondence
within the time frame provided by the authority. No request regarding extension
of time will be entertained. If agency fails to respond with the time frame
1009
provided by authority, their documents will be evaluated as per the documents

submitted during bid submission.
ii. All documents submitted by the agency and the claims made by the agency will
be verified with original documents within 30 days after issuance of LOA and
before signing of Contract Agreement after Issuance of LOA. If agency fails to
produce documents in original, the LOA will be cancelled and agency will be
barred from participating in future bids of NHAI for a period of one year.
iii. If one agency is awarded more than one work of plantation with same set of
technical persons, then in that case agency has to replace/re-engage new
technical persons with same or more technical qualifications as claimed in the
tender document submitted before signing of Contract Agreement. If in future it
is found that same technical person is employed in any other plantation project,
agency will be penalised @50,000 per month for first Team Leader and an
additional @25,000 per month for each Team members thereafter for each
default of employing same technical person on different projects.
iv. Before the Signing of Contract Agreement, Agency has to produce Degree
Certificates and Proof of Work experience of Technical persons whose CV has
been submitted in the Technical folder of Bid Submission, Failing which Work
award will be cancelled. Replacement of CV with new technical persons with
same or more technical qualifications as claimed in the tender document
submitted will be allowed.
v. For Company financial capacity, Agency has to submit Company’s Financial

Turnover Certificate of last 3 years issued and certified by Chartered
Accountant.
vi. Plantation related work means the plantation component of works is the major
component of work. If authority desires, authority may ask agency to produce
the proof of financial transaction against any work claimed in work experience.
vii. If agency fails to submit labour license before signing of Contract Agreement
within 30 days of issue of LOA, award of work will be cancelled.
2.3. Financial Proposal
2.3.1. The financial proposal should contain the financial bid in one cover (folder). The
contractor is to quote the rate in the space marked for quoting rate in the
financial bid.
2.3.2. Only downloaded copy of the financial bid are to be uploaded quoting the rate,
virus scanned & digitally signed by the contractor.
2.4. Pre – Bid Meeting
2.4.1. The Bidder or his authorized representative is invited to attend a pre-Bid

meeting which will take place at …………………………… as mentioned in the
Schedule of Events.
2.4.2. The purpose of the meeting will be to clarify issues and to answer questions on
any matter pertaining to this RFP document. All Bidders are requested to go
through the RFP document carefully and submit any queries/ clarifications
1010
addressed to the Regional Officer, ................................ The Bidder is requested

to submit any questions / queries by email in editable doc. (………………) so as
to reach NHAI well before the scheduled date as mentioned in schedule of dates
(B). Any query related to tender will be entertained in pre bid meeting only. Any
query related to tender will not be entertained after pre bid meeting.
2.4.3. Clarifications to the queries will be hosted on NHAI’s website/ e-tender portal
only.
2.4.4. Any modification in the RFP document which may become necessary as a result
of the deliberations in the pre-Bid meeting shall be made by NHAI separately
through issue of an Addendum/ Amendment will also be hosted on NHAI’s
website/ e-tender portal.
3. Eligibility Criteria for participation in tender:

a. Neither prospective Tenderer nor any of the constituent partners had been debarred to
participate in any Tender by any State or Central Government Agency, during the last
5 (five) years prior to the date of this NIT/RFP. Such debarring will be considered as
disqualification towards eligibility. (A declaration in this respect has to be furnished by
the prospective bidders as per prescribed format Annexure III.)
b. Joint venture will not be allowed.
c. A prospective Tenderer shall be allowed to participate in the job in the capacity of

individual as a partner of a firm. If the prospective Tenderer is found to have applied
severally in a single job, all his applications will be rejected for that job.
d. No conditional / Incomplete Tender will be accepted under any circumstances.
e. The Tenderer should have at-least three staff (1 Team leader + 2 Team members) on
the roll with a qualification in Forestry/ Botany/ Agriculture/ Horticulture or a person
having experience in forest plantation activities as following.
S. Resources Technical Eligibility Criteria

No.
1 Team Leader 1. Minimum 3 years of Work Experience in Plantation and
its allied Activities (Documentary Evidence to be
submitted)
1. 2. Educational Qualification: Post Graduation / Graduation
in Forestry / Agriculture / Horticulture or other relevant
stream. (Degree Certificate to be submitted)
2 Team Member 1. Minimum 2 years of Experience in Plantation and its

(2 Nos) allied Activities (Documentary Evidence to be submitted)
2. Educational Qualification: Intermediate in Science
2. (Degree Certificate to be submitted)
4. Opening and Evaluation of Technical Proposal

1011
4.1 Opening of Technical Proposal

 Technical proposals will be opened by the authorized representatives electronically
from the website stated in Clause 1, using their Digital Signature Certificate.
 Intending tenderers may remain present, if they so desire.
 Technical folder/Proposal will be opened first, if found in order. If there is any
deficiency in the Documents, the tender will summarily be rejected.
4.2 Eluation of Technical Proposal
The project folder documents of all the responsive bids (documents submitted as per
requirements mentioned in Clause 2.2.1) will be evaluated by Tender Evaluation
Committee as per the following scoring parameters.
S. No Criteria Score
A Work Experience of Technical Persons with Agency 40
B Annual Financial Turnover 40
C Previous work experience for plantation/ landscaping/ 10
transplantation
D Site Specific Project proposal 10
Total Marks 100
A. Work Experience of Technical Persons with Agency – 40 Marks
Team Personnel / Relevant

Above 10 years 5 to 10 years 3 to 5 years
Work Experience
A1 Team Leader 20 16 12
Team Personnel / Relevant

Above 6 years 4 to 6 years 2 to 4 years
Work Experience
A2 Team Member – 1 10 8 6
Team Member – 2 10 8 6
1012
B. Annual Financial turnover – 40 Marks

More than or More than or More than or
Below 15 %
Cumulative Work equal to 75 % equal to 40 % equal to 15 %
of the
Experience of the project to 75% of the to 40% of the
project cost
cost project cost project cost
Average Annual
Financial Turnover
40 32 24 0
of last 3 financial
year*
*For Annual Financial Turnover, Average of last 3 years turnover will be

considered.
C. Previous work experience for plantation/ landscaping/ transplantation – 10

Marks
More than or More than or More than or More than or
Cumulative Work equal to 75 % equal to 40 % equal to 15 % equal to 5 % to
Experience of the project to 75% of the to 40% of the 15% of the
cost * project cost project cost project cost
Plantation Work
10 8.5 7 6
Experience
*Project cost is estimated cost of project under tender process.

D. Site Specific Project proposal: Feasibility Study of site, (Level of Compliance
with IRC SP 21:2009 and Green Highways Policy – 2015), Plantation
Management (Plan for five year maintenance)– 10 Marks
Plantation Layout & Species
Level of Survey & site
Selection as per Agro Maintenance Plan
Compliance specific details
Climatic Zone
75 – 100 % 4 4 2
50 – 75 % 2 2 1
 The bidder will be considered qualified for evaluation of financial bid if he scores
minimum 60 marks in the technical proposal submitted.
5. Final publication of summary list of technically qualified tenderers
Date of opening of financial bid will to be intimated through email to all technically qualified
agencies.
6. Opening and Evaluation of Financial Proposal
Financial proposals of the tenderers declared technically eligible by the Tender Evaluation
Committee will be opened electronically from the web portal stated on the prescribed date.
1013
The encrypted copies will be decrypted and the rates will be read out to the contractors
remaining present at that time.
After evaluation of Financial Proposal, by the appropriate Authority of NHAI, may upload
the final summary result containing inter-alia, name of contractors and the rates quoted by
them against each work.
7. Pcedures to be followed when one technically qalified tenderers participated in

any tender:
Financial bid of technically qualified single tender may not be opened and fresh tender shall
be invited.
8. Final evaluation & Award of work.
Financial bids of technically qualified agencies will be opened and the bidders with Lowest
Financial Quote will be declared as L1 Bidder and will be awarded the work.
9. Bief details on the nature of work:
a) Name of the project : ……………. Section on NH-....

Avenue Plantation (Advance field
preparation, planting and maintenance)
b) Nature of Work : works along .............................. section of NH
- .....) under PIU – .............., Regional Office,
.............. in the state of ..............................
10. Tnder Document costs (Tender Fees):
a) The cost of Tender Documents (Tender Fees) is to be submitted electronically through

payment link provided on e-tender website.
b) Intending Tenderers should download the Tender Documents from the website
https://etenders.gov.in directly with the help of Digital Signature Certificate.
c) The payment acknowledgement receipt of payment the cost of Tender fee should be
submitted / uploaded along with other documents. If bidder fails to be submit / upload
the payment acknowledgement receipt then his / her tender won’t be evaluated and any
communication in this regards won’t be entertained.
d) Both Technical Bid and Financial Bid should be submitted duly digitally signed by the
Tenderer through the website https://etenders.gov.in as per the 'Date & Time Schedule'
stated in the NIT/RFP.
11. Opening of Tender:
a) The Technical Bid shall be publicly opened by the authority receiving tender or by his
authorized representative, as per the Date & time Schedule mentioned in NIT/RFP.
b) Prospective Tenderers or their authorized representatives may be present during the
opening process.
c) Financial Bids of only those tenderers who would qualify in the Technical Bid evaluation
will be opened.
d) The intending Tenderers shall clearly understand that whatever may be the outcome of
the present Invitation of Tender, no cost of Tendering shall be reimbursable by NHAI.
Regional Officer,....................., NHAI reserves the right to reject any tender or all
1014
Tenders without assigning any reason whatsoever and is not liable for any cost that
might have incurred by any Tenderer at any stage of Tendering.
e) The acceptance of the tender rests with the Regional Officer,....................., NHAI who
does not bind himself to accept the lowest tender and reserves to himself the authority
to reject any or all the tenders received without assigning any reason thereof.
f) Intending Tenderers at their own cost and risk are encouraged to inspect the site of
work and get themselves thoroughly acquainted with the local condition and all factors
which may affect their rates. Prior to the site visit the intending Tenderers must inform
the PD, PIU- .............., NHAI about the time and date of the visit.
12. The selected Contractor must arrange to procure all materials required for the proper
completion of the work (as per the Technical Specifications of the tender document).
The Employer will not on any account be responsible for procuring the same.
13. The selected contractor shall apply to the PD, PIU- .............., NHAI for seeking
permission for utilization of land at the close proximity of the site for arranging required
plant & machineries, store of materials, labour shed, laboratory etc. at his own cost and
responsibility. All such temporary shed etc. shall have to dismantled and all debris etc.
cleared from site post completion of the work or as directed by the PD, PIU- ..............,
NHAI Once an order to the effect is issued from the PD, PIU- .............., NHAI in this
regard, it shall be brought to effect by the contractor without contest.
14. Validity of Bids:

Bid shall remain valid for a period not less than 120 (One Hundred Twenty) Days after
the dead line date for Financial Bid/Sealed Bid Submission. Bid validity for a shorter period
shall be rejected by Tender Accepting Authority as non-responsive.
If any Tenderer withdraws his offer before Bid validity period without giving any satisfactory
explanation for such withdrawals, he may be disqualified for submitted tender to this
Regional Officer,....................., NHAI for a minimum period of 1 (one) year and legal action
will be taken against him.
15. Verification of credentials:
Before issuance of the work order, the Tender Accepting Authority may verify the credential
and other documents of the L1 Bidder if found necessary. After verification, if it is found
that such documents submitted by the L1 Bidder is either manufactured or false in that
case, work order will not be issued in favour of the Tenderer under any circumstances and
legal action will be taken against him.
16. Cancellation of Tender:

The Regional Officer,....................., NHAI reserves the right to cancel this NIT/RFP due to
unavoidable circumstances at any stage of tender and no claim in this respect will be
entertained.
formance Security:
1015
The successful Tenderer to whom a Letter of Acceptance has been issued shall submit
within 10(ten) days from the date of Letter of Acceptance, Performance Security which
is 3% (Three Percent) of the contracted value of work. Failure in depositing this amount
and / or non-submission within the specified time shall render the contract liable for
termination without reference to the contractor and in such case; the deposited earnest
money shall stand forfeited to the Government.
17 (a) Retention Money:
From every payment for Works due to the successful Tenderer in accordance with the
provisions of Clause 23 of General terms and conditions of Contract (Section C), the
Authority shall deduct 5% (five per cent) thereof as guarantee money for performance of
the obligations of successful Tenderer during the Plantation and Maintenance Period
subject to the condition that the maximum amount of Retention Money shall not exceed 5%
(five per cent) of the Contract Price.
17 (b) Performance Security and Retention Money will be refunded to the agency
within 30 days of successful handover.
17. Technical Specification and Quality of Works:

Unless otherwise stipulated, all the works are to be done as per the Technical
Specifications of the tender document, Green Highways Policy-2015; IRC: SP :21-2009.
18. Deduction of Taxes etc:
Deduction of Income Tax from the Contractor's Bill will be made as per Govt. rules. GST &
all other statutory levy/ Cess will have to be borne by the contractor as per Govt. Rules and
the rate in the B.O.Q. is inclusive of all the taxes & cess stated above. Deduction of Tax
shall be made as per provision of the NHAI.
19. Maintenance Period:

The Contractor will be liable to maintain the work at the appropriate service level to the
satisfaction of the PD, PIU- .............., NHAI at his own cost for the project period, as
stipulated in the BOQ. If any defect/damage is found during the period as mentioned above,
the agency shall replace the plant with same age & height of good healthy plant within 15
days of casualty of plant and make good at his own cost. Failure to do so, penal action
against the Agency will be imposed by the NHAI as deem fit. The Agency will have to quote
his rate considering the above aspect. Also the Prospective Tenderers shall have to
execute the work in such a manner so that appropriate service level of the work is kept
during progress of work and the period of maintenance.
20. Removal of Discrepancy:
If any discrepancy arises between two similar clauses on different notification, the clause
as stated in later notification will supersede former one in following sequence :-
a. Form of Agreement
b. Tender Form
1016
c. Technical Specifications
d. General Terms and Conditions
e. Schedule of Rates (SoR) of State Forest Department
f. Instructions to Bidders
21. Mobilisation advance/ cost over run:
i. The Authority shall make an interest-bearing advance payment (the "Advance

Payment") @ "Bank Rate +3%", equal to 10% (ten per cent) of the Contract
Price, exclusively for mobilisation expenses against Bank Guarantee. The
Advance Payment for mobilisation expenses shall be made in two instalments
each equal to 5% (five per cent) of the Contract Price. The second 5% (five per
cent) mobilisation advance would be released after submission of utilization
certificate by the Contractor for the first 5% (five per cent) advance already
released earlier.
ii. Time / cost overrun and consequent cost of escalation for any materials, labour,
P.O.L. etc. will not be allowed.
iii. The Advance Payment shall be repaid through percentage deductions from the
stage payments as follows:
a. deductions shall commence in the first Stage Payment Statement;
b. deductions shall be made at the rate of 25% (twenty five percent) of each
Stage Payment Statement until such time as the advance payment has
been repaid; provided that the advance payment shall be completely
repaid within 4th year payment of the project.
iv. If the Advance Payment has not been fully repaid prior to Termination, as the
case may be, the whole of the balance then outstanding shall immediately
become due and payable by the Contractor to the Authority. Without prejudice
to the provisions, in the event of Termination for Contractor Default, the Advance
Payment shall be deemed to carry interest @ “Bank Rate+5%” per annum from
the date of Advance Payment to the date of recovery by encashment of the
Bank Guarantee for the Advance Payment. For the avoidance of doubt, the
aforesaid interest shall be payable on the unrecovered balance.
22. Canvassing in connection with the tender is strictly prohibited.
23. Site of work and necessary drawings may be handed over to the successful Tenderer
along with the work order or in a phase wise manner as deemed fit by the PD, PIU-
.............., NHAI, No claim in this regard will be entertained.
24. The successful Tenderer will have to start the work as per the work order to commence
the work.
25. The Successful Tenderer will be required to obtain valid registration certificate & labour
licence from respective offices (if required) where plantation work by them are
proposed.
26. The successful tenderer shall have to comply with the provision of the Minimum Wages
Act, 1948 and the Notifications thereof or other laws relating thereto and the rules made
and orders issued there under from time to time, failure to do so will be treated as
breach of contract and the Regional Officer,....................., NHAI may in his discretion
1017
cancel the contract. The contactor shall also be liable for any liability arising on account
of any violation by him of the provisions of the Act and Rules made there under time to
time.
27. The contractor shall not be entitled for any compensation for any loss suffered by him
due to delay arising out for modification of the work, due to non-delivery of the
possession of site and / or modification of plantation map & planting pattern etc.
28. Prevailing safety norms has to be followed by the successful Tenderer during execution
of the work so that LTI (Loss of time due to injury) is zero.
29. Guidelines for plantation works should be followed as per IRC SP 21 2009 and Green
Highways Policy 2015.
30. No tender shall be deemed to be fit for consideration unless the tender documents are
fully and completely filled in. All information that may be asked from the Tenderer must
be unequivocally furnished. The eligibility of a Tenderer will be ascertained on the basis
of the documents submitted by a Tenderer in support of eligibility criteria. If any
document submitted by a Tenderer is found to be incomplete/incorrect/ manufactured /
fabricated or false, his Tender will be out rightly rejected at any stage and legal action
will be taken against him.
31. A Tenderer is to quote in figures as well as in words, his rates in the following forms as
applicable in his cases against the estimated value put to tender of the tender form
(BOQ).
32. In the event of a tender being submitted by a firm, it must be signed by a member or
members of the firm having legal authority to do so and if called for, legal
documentations in support thereon must be produced for inspection and in the case of
a firm carried out by one member or a joint family it must disclose that the firm is duly
registered under the Indian Partnership Act.
33. The Tenderer must sign at the bottom of each page of the tender documents as a proof
of acceptance of terms and conditions of the Tender. Overwriting shall not be allowed.
All corrections, alternations etc. must be duly signed.
34. It must be clearly understood that the quantities of the various items indicated in the
schedule or probable items are approximate only and may be appreciably increased or
decreased during actual execution. The contractor shall remain effected by alteration.
RATES ARE FIRM FOR THE PERIOD OF THE PROJECT.

1018
Section – B
Annexure – I: APPLICATION
To,
Regional Officer,....................., NHAI
Subject: Name of the Work with Tender reference no. ______________________________.
Reference : (N.I.T No.)_______________________
Dear Sir,
Having examined the Clauses of this RFP document; I/We hereby submit all the necessary
information and relevant documents for evaluation.
The necessary evidence admissible by law in respect of authority assigned to us on behalf of

the firm for application and for completion of the contract documents is attached herewith.
I/We are interested in bidding for the work mentioned above.
I/We understand that

(a) Tender Inviting Authority and Accepting Authority can amend the scope and value
of the contract bid under this project
(b) Tender Inviting Authority and Accepting Authority reserve the right to reject any
tender without assigning any reason.
The application is made by me/us on behalf of ________________________in the capacity of

__________________duly authorized to submit the tender.
Enclosure:
(1) Technical Proposal (Envelop-1/Folder)
(2) Financial Proposal (Envelop-2/Folder)
Date:_______________
Signature of authorized officer of the firm:______________________________
Title & Capacity of the officer:________________________________________
Name of the Firm with Seal:__________________________________________

1019
Annexure – II: Undertaking

To,
Dear Sir/ Madam,
Ref:- Avenue Plantation (Advance field preparation, planting and maintenance) works along
NH .......…. under Regional Office, .............. in the state of .............................
Tender Reference No. ......................................
1. I/We refer to the tender notice issued by you for the Avenue and Median Plantation
(Advance field preparation, planting and maintenance) works along NH …. under
Regional Office ……. in the state of …….. in ____________ vide tender reference no.
_______________mentioned above.
2. I hereby submit a declaration that the bid submitted by the undersigned, on behalf of
bidder,…………………….. shall not be withdrawn or modified during the period of
validity i.e. not less than 120 (One hundred twenty) days from the bid due date.
3. I / we hereby agree that If the bid is withdrawn or modified during the period of validity
or if work is awarded and we failed to sign the contract or submit the performance
security before the deadline defined in the RFP, we will be suspended for participation
in the tendering process for the works of MoRTH / NHAI / NHIDCL and works under
other centrally sponsored schemes for a period of one year from the bid due date of
this work.
Yours faithfully,
Signature........................................................
Designation : ....................................................
Address : ...................................................
Name of Partners of our Firm:
1) _______________________.
2) _______________________.
1020
Section B:
Annexure III: AFFIDAVIT
(To be furnished in Non-judicial stamp paper of appropriate value duly
notarized)
(I) I, the undersigned do certify that all the statements made in the attached documents
are true and correct. In case of any information submitted, proved to be false or
concealed, the application may be rejected and no objection/claim will be raised by the
undersigned.
(II) The undersigned also hereby certifies that neither our firm
M/S___________________________________ nor any of constituent partners had
been debarred to participate in tender by the State and Central Government Agency or
any of the Statutory Bodies or Government Organizations in favour of whom credentials
are preferred by the undersigned towards eligibility criteria claim; during the last 5 (five)
years prior to the date of this NIT/RFP
(III) The undersigned would authorize and request any Bank, person, Firm, or Corporation
to furnish pertinent information as deemed necessary and/or as requested by the
Regional Officer,....................., NHAI, NHAI ……………………. herein referred to as the
Tender Inviting & Accepting Authority, to verify this statement.
(IV) The undersigned understands that further qualifying information may be requested and
agrees to furnish any such information at the request of the Tender Inviting & Accepting
Authority.
(V) Certified that I have applied in the tender in the capacity of individual/as partner of a
firm & I have not applied severally for the same job.
Date:_________________
Signature of authorized officer of the firm:_______________________
Title & Capacity of the officer:_________________________________
Name of the Firm with Seal:___________________________________

1021
Section – B
Annexure – IV: Structure And Organisation
A.1. Name of the applicant (Tenderer):
A.2. Office Address:
Telephone No.:
Mobile No.:
Fax No.: e-mail :
A.3. Attach an organization chart showing the structure of the company with names of key
personnel and technical staff with Bio-data
Date:______________
Signature of authorized officer of the firm:____________________________
Title & Capacity of the officer:______________________________________
Name of the Firm with Seal:________________________________________

1022
Annexure -V: Curriculum Vitae (CV) of Resource Persons
(CV of Team Leader / Team Member -1 / Team Member – 2)

(Please tick whichever applicable)
1. Name of Personnel:
2. Date of Birth: Passport Size
Colour Photo
3. Nationality:
4. Educational Qualifications:
5. Employment Record:
(Starting with present position, list in reverse order every employment held.)
6. List of projects on which the Personnel has worked

Name of project Description of responsibilities
7. Details of the current assignment and the time duration for which services are required
for the current assignment.
CERTIFICATION:
I am willing to work on the Project and I will be available for entire duration of the
Project assignment when required.
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 Personnel)

Place.........................................
Date……………………………………….
(Signature and name of the authorised signatory of the Applicant)
Notes:
i. Use separate form for each Resource Personnel.
ii. Each page of the CV shall be signed and dated by both the Personnel concerned and by
the Authorised Representative of the Applicant firm along with the seal of the firm.
1023
Annexure - VI: Work Experience of Plantation / Landscaping / Transplantation projects
Work performed as prime contractor, work performed in the past as a

nominated/approved subcontractor provided further that all other qualification criteria are
satisfied (in the same name) of a similar nature during the last seven years
S.N Project Name Nam Descripti Contract Value of Actual date Status If status in
o. e of on of No. / Contract of (Comple Ongoing,
the work order no (Rs. in completion ted value of
Empl and date crore) /Ongoin work
oyer g). complete
d.
Total Projects Completed (in INR): ……………………… (as on release date of tender)
Total Projects Ongoing (in INR): ……………………… (as on release date of tender)
Note:-
1) Agency should mention only projects which is completed as on date of release of

tender under Completed, For Ongoing projects agency the agency should have part
completion certificate from the authority (Part completion will be considered with
respect to proportionate payments received by agency against the total cost of work).
2) For Work experience consideration, component of civil works will not be considered.
3) Arrange the Supporting documents in the same order as mentioned above.
4) Bidders who have worked with NHAI previously should compulsorily submit the past
experience certificate from concerned competent authority specifying clearly that the
work has been executed and completed by them in stipulated time with date of award
and scheduled date of completion along with valid extension of time (EOT) granted if
any. If the bidder has not completed above mentioned work in scheduled stipulated
time frame, they will not be eligible for bidding and their bids will not be considered.
1024
Section-B
Annexure - VII: Guidelines Avenue / Median Plantation Projects preparation
1. Project Details:
1.1. Name and Type of the Agency:
(Private Agency / NGO / Proprietorship firms with their Address and Contact Details)
1.2. Brief description of the project zone

(A brief of agro climate, soil types, rainfall, geographic features, forest composition,
people’s livelihoods etc)
1.3. Objective of the project:

(A brief about the proposed plantation to indicate its importance and utilities in terms
esthetic, Financial, soil/water conservation, employment generation values.)
1.4. Name of RO and PIU of NHAI
1.5. National Highway No.
1.6. Length of highway (Kms to Kms) –
1.7. Expected Employment to be generated (in Mandays)
2. Site Specific Detail Project Report (DPR):

2.1. Average width available for Avenue Plantation:
2.2. Average width available for Median Plantation:
2.3. Approximate Area for Plantation (Hectares):
2.4. Name of existing plant species along National Highways.
2.5. Type of Soil (If possible, please attach soil health report as annexure). This
information must be used for selection of chemical fertilizers)
2.6. Species Planned for Median Plantation: (Multiple Species can be planted, specify
species name & km planned)
2.7. Species Planned for 1st Row of Avenue Plantation: (Multiple Species can be
planted, specify species name & km planned)
2.8. Species Planned for 2nd Row of Avenue Plantation: (Multiple Species can be
planted, specify species name & km planned)
2.9. Species Planned for 3rd Row (if any) of Avenue Plantation: (Multiple Species can
be planted, specify species name& km as planned for the project)
2.10. Total number of plants in Project and average per km:

(The available trees (Planted earlier or naturally growing) and naturally growing
saplings should be accounted for to decide spacing for new pits and for species
selection. The naturally growing saplings may be proposed to incur maintenance
expenses. The total number of plants in the project should be calculated on the basis
of tree species and spacing design as provided in IRC SP 21 2009 guidelines)
1025
2.11. Planting Materials:

(Identification of species with study and observations of best growing species in the
area; The saplings raised in nursery with various techniques – simple nursery, tissue
culture, mist chambers etc; age, health, height and girth plants etc)
2.12. Insecticide/pesticide/fungicide
2.13. Manure/compost/fertilizers
2.14. Irrigation Plan

(Availability and source of water; The mechanism of watering- drip/sprinkler/flood etc
according to site specific condition)
2.15. Plantation Protection Plan

(Study of protection mechanisms; mode of plants protection- live fencing/fencing with
barbed wire/chain link of steel or synthetic material; tree guards of
steel/bamboo/synthetic materials/other local resource etc according to local condition
and biotic pressure)
2.16. Involvement of NGO/SHG/Gram Panchayat etc
2.17. Availability and source of Labour to be engaged
3. Innovation or Salient feature of project proposal:

(Brief of innovative approach in Nursery and planting material, planting, protection plan,
irrigation plan, fire protection and maintenance plan)
General instructions-
III. The GHP should be prepared following broad guidelines of IRC-SP-21-2009. The design
and number of plants in project land must be strictly according to IRC guidelines. The
plants planted during implementation more than required under the guidelines may not
qualify for extra payment and may be rejected by PIU administration.
IV. The Project should be site specific and the items of field preparation (pits size, soil change,
manure/compost etc), planting stock, appropriate irrigation system, soil-water
conservation, mechanism of plants protection should be justified as per site specific
requirements.
V. The inventory of existing trees and naturally growing plants must be prepared and they
should be accounted for to decide the species, spacing and number of plants for the
project site following IRC guidelines.
VI. The species selected for various rows should be clearly defined in the project. The best
performing local species should be preferred.
VII. The Agency may adopt some innovative technique with regard to nursery practices,
planting practices, mode of irrigation, plant protection mechanism, local beneficiary
involvement, usufruct sharing with local people, convergence of funds etc with proper
background and justification.
VIII. The suggestions for sustainability and maintenance of plantation after 5 years project
period may also be included.
IX. The Plantation Project prepared on the basis of above guidelines will be part of RFP.
X. The Format and the general instructions are the guidelines to be followed for preparation
of a detailed project report (DPR). The agency may elaborate the DPR further based on
site specific conditions, best performing species in that climatic zone, biotic pressure on
1026
the site, availability of water, soil type and other geological conditions and requirement for
the protection of plantation to ensure a successfully established avenue and median
plantation at the end of project period.
1027
Annexure – VIII: Undertaking

To,
Dear Sir/ Madam,
Ref:- Avenue Plantation / Median Plantation (Advance field preparation, planting and
maintenance) works along NH .......…. under Regional Office, .............. in the state of
.............................
1. I/We fulfil all the criteria to acquire Labour License Certificate. We will submit the same
within 30 days of Award of work.
Yours faithfully,
Signature: .......................................................
Designation : ....................................................
Address: ……...................................................
Name of Partners of our Firm:
1) _______________________.
2) _______________________.
1028
FORM OF BANK GUARANTEE FOR PERFORMANCE SECURITY
To,
Dear Sir/ Madam,
Ref:- Avenue Plantation / Median Plantation (Advance field preparation, planting and
maintenance) works along NH .......…. under Regional Office, .............. in the state of
.............................
WHEREAS……………………………… (name and address of contractor) hereinafter

called “the contractor” has undertaken, in pursuance of Tender Reference No.
…………….
Dated ……………….. to execute Avenue Plantation / Median Plantation
(Advance field preparation, planting and maintenance) works along NH .......…. under
Regional Office, .............. in the state of ..............................
AND WHEREAS it has been stipulated by you in the said contract that the Contractor
shall furnish you with a Bank Guarantee for the sum specified therein as security for
compliance with his obligations in accordance with the Contract;
AND WHEREAS we have agreed to give the Contractor such a Bank Guarantee:
NOW THEREOF we hereby affirm that we are the guarantor and responsible to you on
behalf of the Contractor, up to a total of Rs……………… (amount of guarantee)
(Rupees……………………………………. (in words), , and we undertake to pay you,
upon your first written demand and without cavil or argument, any sum or sums within
the limits of
……………….. (amount of guarantee) as aforesaid without your needing to prove or to
show grounds or reasons for your demand for the sum specified therein.
We hereby waive the necessity of your demanding the said debt from the Contractor
before presenting us with the demand.
We further agree that no change or addition to or other modification of the terms of the
contract or of the works to be performed there under or of any of the contract
documents which may be made between you and the Contractor shall in any way
release us from any liability under this guarantee, and we hereby waive notice of any
such change, addition or modification.
This guarantee shall be valid until 28 days from the date of expiry of the Defects
Liability Period.
This guarantee shall also be operatable at our …………..….. branch at………………,

from whom, confirmation regarding the issue of this guarantee or extension/ renewal
thereof shall be made available on demand. In the contingency of this guarantee being
invoked and payment thereunder claimed, the said branch shall accept such invocation
1029
letter and make payment of amounts so demanded under the said invocation
Notwithstanding anything contained herein before, our liability under this guarantee is
restricted to Rs. (Rs. in words) and the guarantee
shall remain valid till _. Unless a claim or a
demand in writing is served upon us on or before all our liability under this
guarantee shall cease.
The Bank Guarantee confirms that it is on the SFMS (Structural Financial messaging
system platform. The details are as under:
Sl. Particulars Details

No.
01 Name of Beneficiary National Highways Authority of India
02 Name of Bank
03 Beneficiary Bank Account

No.
04 IFSC Code
Signature and seal of the Guarantor with Name, Designation, Employee Code Number
& Telephone Number………………………………………………………
Name of the Issuing Bank/ Branch ………………………Name of the

Controlling Branch/Bank…..
Address & Telephone Number……………………………Address &
Telephone Number………….
Date…………………………..
In the presence of (if this is to be witnessed as

per bank‟s policy)…………………………………
1………………………………………………………………………………………
… (Name, Address & Occupation)
2………………………………………………………………………………………
… (Name, Address & Occupation)
An amount shall be inserted by the Guarantor, representing the percentage of the

Contract Price specified in the Contract including additional security for unbalance
bids, if any and denominated in Indian Rupees.
1030
FORM OF AGREEMENT
This agreement is made on the ……… day of ………. between the National Highways
Authority of India, having its registered office at G-5 & 6, Sector-10, Dwarka, New Delhi-110075
(hereinafter called “the Employer” of the one part and ……………….. having its registered office
at ………………………………….. (here in after called “the Contractor”) of the other part.
AND WHEREAS the Employer invited bids from eligible bidders for the execution of
median/avenue plantation and five year maintenance works, viz. RFP dated ……………
AND WHEREAS pursuant to the bid submitted by the Contractor, vide …… (here in after
referred to as the “BID” or “OFFER”) for the execution of works, the Employer by his letter of
acceptance dated …………… accepted the offer submitted by the Contractor for the execution
and completion of such works for “ ………………………………………………………” and
remedying of any defects thereon, on terms and conditions in accordance with the documents
listed in para 2 below.
AND WHEREAS the contractor has agreed to undertake such works as mentioned in the
agreement.
NOW THIS AGREEMENT WITNESSETH as follows:
1. In this agreement words and expressions shall have the same meaning as are
respectively assigned to them in the conditions of contract hereinafter referred to;
2. The following documents shall be deemed to form and be read and construed as part
of this agreement viz.
a. Agreement,
b. Letter of Acceptance
c. Contractor's Bid including Financial Bid Form,
d. Contract Data,
e. Conditions of Contract
f. Technical Specifications,
g. Drawings, if any
h. Scope of Work
i. Bill of Quantities, and
j. Any other document listed in the Contract Data.
3. The foregoing documents shall be construed as complementary and mutually

explanatory one with another. Should any ambiguity or discrepancy be noted then the
order of precedence of these documents shall be subject to the order as listed above
and interpreted in the above order of priority.
1031
4. In consideration of the payments to be made by the Employer to the Contractor as

hereinafter mentioned, the Contractor hereby covenants with the Employer to execute
and complete the works and remedy any defects therein in conformity in all respects
with the provisions of the contract.
5. The employer hereby covenants to pay the contractor in consideration of the execution
and completion of the works and remedying of defects therein, the contract price or
such other sum as may become payable under the provisions of the contract at the
times and in the manner prescribed by the contract.
IN WITNESS WHEREOF the parties here to have caused this agreement to be executed the
day and year above written. Signed, sealed and delivered by the said Employer through his
Authorized Representative and the said Contractor through his Power of Attorney holder.
Binding Signature of Employer ___________________________________
For and on behalf of National Highways Authority of India, New Delhi – 110 075
Binding Signature of Contractor __________________________________
For and on behalf of M/s. _________________________________________
In the presence of In the Presence of
1. Name : 1. Name:
Address: Address:
2. Name : 2. Name:
Address: Address:
1032
Section C
GENERAL TERMS & CONDITIONS OF CONTRACT
1. Drawing / Map / Project Details:
The work is to be carried out in accordance with drawings / maps / Project Details related
to these contract and specification, the priced scheduled of probable items with
approximate quantities and directions or instructions which may be issued by the Employer
or his Representative from time to time during the execution of the contract.
2. Interpretations:
In constructing these conditions, the specifications, the schedule of quantities, tender and
Agreement, the following words shall have the meaning herein assigned to them except
where the subject of context otherwise requires:
i. The term EMPLOYER/AUTHORITY shall mean Regional Officer,....................., NHAI
and include its successor and assigns or the Officers authorized to deal with any
matters which those presents are concerned on its behalf.
ii. The term REPRESENTATIVE shall mean Authorized Official of PD, PIU-..............,
NHAI.
iii. CONTRACTOR shall mean the firm or company or person whose tender has been
accepted by the employer and includes his (their) heirs, legal representative assigns
and successors.
iv. SITE shall mean the site of the contract work including any other land adjoining
thereto (inclusively as aforesaid allotted by the Employer for the contractor’s
use).
v. This CONTRACT shall mean Articles of Agreement, these conditions, the schedule of
quantities, the general instructions to the Contractor, the specifications, the drawings /
maps / project details and correspondences by which the contract is added, amended,
valued of modified in any way by mutual consent.
vi. ACT OF INSOLVENCY shall mean any act of insolvency as desired by the Act or any
amending statutes.
vii. THE WORKS shall mean the work or works to be executed or done under this contract.
viii. The DRAWINGS / MAPS/ Project Details shall mean the drawing/map / Project Details
or drawings/maps/Project Details mentioned in NIT/RFP and any modifications of them
approved by the Employer or any further Working drawings/maps/Project Details or
sketches by the Employer or any further working drawings/maps/Project Details or
sketches which may be furnished or approved in writing by the Employer.
ix. The SPECIFICATION shall include the plantation specification and general
specifications forming part of this contract.
x. The SCHEDULE OF QUANTITIES, BILL OF QUANTITIES shall mean the Schedule
or Quantities as specified and forming part of contract.
xi. The PRICED SCHEDULE OR QUANTITIES shall mean the schedule duly priced.
xii. NOTICE IN WRITING or WRITTEN NOTICE shall mean a notice in writing typed or
printed characters sent (by post of email) or otherwise proved to have been received
by Registered Post to the last known private or business address as registered office
of the addressee and shall be deemed to have been received when in the ordinary
course of post it would have been delivered. The work progress should be in the
proportionate of the time frame set forth for the completion of the works.
1033
xiii. The term APPROVED, DIRECTED or SELECTED mean the approval direction or
selection of the Employer and where ever the words ALLOW, INCLUDE, and PROVIDE
occurs the cost of the items is as the risk of the contractor. COMPLETION shall mean
that the plantation in the opinion of the Tender Inviting Authority; completed in all
respect.
xiv. WORDS imputing persons include Firms and Corporation, words imputing the singular
only also the plural and vice/versa where the context so requires.
3. Scope of works:
The work to be done is covered in this tender. The same has been detailed in the
drawings/maps/ Project Details and schedules of probable items with approximate
quantities. It includes furnishing all materials, labour, tools, machinery and equipment and
management necessary for and incidental to the Avenue and Median Plantation (Advance
field preparation, planting and maintenance) works and completion of Work. Mechanisation
as approved by the Employer is preferred. All work during its progress and upon completion
shall conform to lines as shown on the drawing/map furnished by the employer. Should any
details essential for efficient completion of the work be omitted from the drawings/maps /
Project Details and specifications it shall be the responsibility of the Contractor to inform
the Employer and to furnish and install such details with their concurrence, so that upon
completion of the proposed work the same will be acceptable and ready for use. The
Tenderers are to note that the scope of work as mentioned may be reduced to any extent
which is absolutely at the discretion of the Employer. This reduction of the extent of work
should not be a criterion for extra claim in respect of materials stored, establishment and
cost incurred or any other losses occurring out of these causes. The Contractor shall carry
out and complete the works in every respect in accordance with this contract and in
accordance with the directions and to the satisfaction of Employer who shall be the final
authority. The Employer may in their absolute discretion issue further area drawings/maps
/ Project Details and /or written instructions, details, direction and explanations which are
hereafter collectively referred to as the Employer’s instructions in regard to:
a) The variation or modification of the design, quality or quantity of works or the
addition or omission or substitution of any work.
b) Any discrepancy in the drawings/maps/ Project Details or between the schedule of
Quantities and /or Drawings/Maps/ Project Details and/or Specifications.
c) The removal from the site of any materials brought thereon by the Contractor and
the substitution of any other materials thereof.
d) The demolition, removal and/or re-execution of any work executed by the
Contractor.
e) The dismissal from the work of any person employed thereupon.
f) The opening up for inspection of any work covered up.
g) The rectification and making goods of any defects under Clause hereinafter and
those arising during the maintenance period / defect liability period.
The Contractor shall forthwith comply with and duly execute any work comprised in such
Employer’s instructions provided always that verbal instructions, directions and
explanations given to the Contractor or his representative upon the works by the Employer
shall, if involving a variation, be confirmed in writing by the contractor within seven days.
No work, for which rates are not specifically mentioned in the priced schedule of quantities,
shall be taken up without written permission of the Employer. Rates of items not mentioned
in the Priced Schedule of Quantities shall be fixed by the Employer, as provided in Clause
1034
VARIATION. If complete with the Employer’s instructions as aforesaid involves work and/or
loss beyond that contemplated by the Contract then, unless the same were issued owing
to some breach of this contract by The Contractor, the Employer shall pay to the Contractor
the price of the said work an extra to be valued as hereinafter provided and /or loss.
4. Variations:
The Contractor may when authorized and shall when directed, in writing by the Employer
or one or mo
re representative of Employer whom the Employer may for that purpose appoint, shall be
bound to add or omit from or vary the works shown upon the Drawings/Maps/Project Details
or described in specification or included in the Schedule of Quantities but the Contractor
shall make no addition, omission or variation without such authorization or direction.
No claim for an extra shall be allowed unless it shall have been executed by the Contractor
on specific direction on the Authority of Employer as herein mentioned any variation i.e.
additions, omissions or substitutions shall vitiate the Contract. The employer may order to
plant one species instead of another species (mentioned in specification), wherever
necessary, the contractor will be bound to do such work(s) on same schedule rates. If the
employer feels that the whole or part of works of any item of estimate is to be done
departmentally, or nature of work is changed such conditions shall be acceptable for the
contractor. The rates of items not included in the Schedule or Quantities shall be settled by
the Employer in accordance with the following rules:
a) For the rates for the additional, altered or substituted work for items mentioned in
the tender, the tender at quoted rates will be applicable.
b) For the rates for the additional, altered or substituted work for items not mentioned
in the tender, the Contractor shall, within 7days of the date of receipt of the order to
carry out the work, inform the Employer of the rates which it is his intention to charge
for such class of work, supported by required documents, vouchers etc. and
analysis of rates claimed and the Employer shall determine the rates on the basis
of the prevalent market rates and certify for the payment accordingly. The analysis
shall be prepared on the basis of actual cost of materials and labour plus 10 (ten)
per-cent to cover overhead supervision and profit etc. However, the Employer, by
notice in writing, will be at liberty to cancel their order to carry out such work and
arrange to carry out as they may consider advisable. But under no circumstances,
the Contractor shall suspend the work on the plea of non-settlement of the rates of
item falling under this clause.
c) As regards determination of the rates, the decision of the Employer shall be

accepted as final. No supplementary items shall be taken up for execution except
with prior written approval of the employer. The Employer is not bound to recognize
the cost of materials furnished in vouchers and in case the market value of such
materials are found to be lower than the depicted in the vouchers the Employer at
their discretion will fix the price of such materials based upon market value. The
contractor may be asked to produce original bills and /or Cash Memos in respect of
purchases of such materials from market. Bills and Cash Memos in this regards
shall not be entertained unless purchases are affected from registered regular
merchants engaged in the trade of such items.
1035
5. Deviations:
No deviation from the contract will on any account be allowed unless an order in
writing is obtained from the Employer.
6. Site Conditions:
The contractor shall inspect the work site where the work under this contract are to be
carried out, and note carefully the area restrictions and obtain for themselves at their
own responsibility all the information which may be necessary for the purpose of the
successful execution of the contracted work. They must also make themselves
conversion with all the local conditions, means of access to the site of work, transport
facilities and character of the work, the supply of materials, conditions affecting labour
and other matter that may affect their tender. Employer does not undertake any
responsibility, to obtain any concessions, permission from the owner of the adjoining
plot or from other party in respect of any allowance, access, encroachments etc.
whether for the facility of the works or otherwise. No claim therefore will be entertained
should be Contractors have failed to comply with this condition. All equipment required
to be maintained are to be kept free from damages due to operation connection with
the work. The site shall be made available to the Contractors in the present condition.
Site organization within this site boundary shall be the responsibility of the Contractors.
7. Persons Tendering shall visit SITE Etc.

Persons tendering shall visit the site and make themselves thoroughly acquainted with
the Nature and requirements of the case, facilities of transport, conditions affecting
labour and materials and removal of rubbish, cost of carriage freight and other charges
and shall allow for in their tenders for any special difficulty in carrying out the work.
8. Contractor to provide everything necessary:
The Contractor shall provide everything necessary (all inclusive and fixed rates for the
proper execution of the work according to the intent and meaning of the drawings/maps,
schedule of probable items with approximate quantities, specifications taken together
whether the same may or may not be particularly shown or described there in provided
that the same can reasonably be inferred therefore and if the Contractor finds any
discrepancy therein, he will immediately refer the case in writing to the Employer whose
decision shall be final and binding on the parties. Figures dimensions shall be followed
in; preference to scale. The Employer shall on no account be responsible for the
expense incurred by the Contractor for hired ground or water obtained from elsewhere.
The quantities given in the schedule of quantities are only indicative being based on
preliminary design and are liable to modification in the final design. The schedule of
items and quantities include so far as can at present be determined, every materials
which the Contractor is likely to be called upon to perform or supply. The rate quoted
against individual item will be inclusive of everything necessary to complete the said
items of the work within the contemplation of the contract and beyond the NIT/RFP
prices no extra payment will be allowed for individual or contingent work, labour and /or
materials inclusive of all taxes and duties whatsoever except for specific items, if any,
stipulated in the tender documents. The Contractor shall supply, fix and maintain at his
own cost during the execution of any work necessary for alignment watching required
1036
not only for the proper execution and protection of the said work, but also for the
protection of adjacent trees or plants and the safety of any adjacent roads, houses etc.
The Contractor, shall at all times give access to staffs employed by the Employer or
any man deployed on the plantation site and to allow such deployed staffs with proper
identity for watch & patrolling duty or any other entrusted job.
9. Protective Measures:
The Contractor from the time of being placed in possession of the site must include for
watching and protecting the work, the site and surrounding property during their working
hour. The Contractor shall indemnify the Employer against any possible damage to the
trees, roads, or wild animals during execution of the work.
10. Access:
The Employers/Representatives of the manufacturer of the materials (used for the

work) shall at all reasonable times have free access to the work site/and or other places
where materials are being prepared for the contract and also to any place the materials
are lying or from who they are being obtained and the Contractor shall give every facility
to the all of them and their representatives necessary for inspection and examination
and test of the materials and workmanship. Except the representatives of Public
Authorities no person shall be allowed on the work at any time without the written
permission of the Employer. If any, work is to be done at a place other then the site of
the work, the Contractor shall obtain the written permission of the Employer for doing
so.
11. Quality of Materials & Workmanship:

All the works specified and provided for in the specification or which may be required
to be done in order to perform and complete and part thereof shall be executed in the
best and most workmanlike manner with materials to the best and approved quality of
the respective kinds in accordance with the particulars contained in and implied by the
specification and as represented by the drawings/maps / Project Details or according
to such other additional particulars and instructions as may from time to time be given
by the Employer during the execution of the work and to their entire satisfaction.
12. Removal of Improper Work:

The Employer shall during the progress of the work have power to order in writing from
time to time the removal from the work within such reasonable time to times as may be
specified in the order of any materials or system of planting which in the opinion of the
Employer are not in accordance with the specifications or their instructions, and the
Contractor shall forthwith carry out such an order. The Employer shall have the power
to employ and pay other persons to carry out the same and all expenses consequent
thereon or incidental there to as certified by the Employer shall be borne by the
Contractor or may be deducted by the Employer from any money due or that may
become due to the Contractor. No certificates which may be given by the Employer in
these respects shall relieve the Contractor from his liability in respect of unsound work
of unskilled workers.
1037
13. Contractor’s Employees:

The Contractor shall keep for the full time a qualified and skilled supervisor as
defined in the ITB and approved by the Employer, assisted with adequate staff
constantly on the work, who will be responsible for the carrying out of the work to the
true meaning of the specifications and schedule and quantities and instructions and
directions given to him by the Employer. Any directions or instructions given to him in
writing shall be held to have been to the Contractor officially.
The Employer/Authorized representative will have at all times access to the work site
for inspection and examination of the work and materials proposed to be used.
Authorised representatives of the Contractor shall have power of Attorney for receiving
materials, cheque, signing measurement book etc. Any Supervisor, foreman, labour or
other persons employed on the work by the contractor who fails or refuses to perform
the work in the manner specified herein shall be discharged immediately, and such
persons shall not again be employed on the work. When required in writing by the
Employer the Contractor shall discharge any person(s) who is, in their opinion,
incompetent, disorderly or otherwise unsatisfactory. Such Discharge shall not be the
basis of any claim for compensation or damages against the Employer or any of its
officers or employees.
The Contractor shall employ preferably local labourers from villages adjoining the
project site. No labour shall be employed on the work who is below the age of sixteen
years and who is not an Indian National. If female labour is engaged the Contractor
shall make necessary provision for safeguarding small children and keeping them clear
of the site of operations. The Contractor shall at his own expenses provide or arrange
for provision of foot-wear for any labour doing the any specific work. Any labourer
supplied by the Contractor to be engaged on the work on daily work basis either wholly
or partly under the direct order or control of the Employer or their representative shall
be deemed to be a person employed by the Contractor. The Contractor shall comply
with the provisions of all labour legislations, Act and the rules framed there under and
modifications thereof in respect of men employed by him in carrying out the contract. It
shall be the responsibility of the Contractor to see that any sub-contract under him,
similarly complies with the above requirements. (The Employer shall not however
recognize any sub-contract or sub-contractor).
The Contractors shall keep the Employer saved, harmless and indemnified against
claims if any of the workmen and all costs and expenses as may be incurred by the
Employer in connection with any claim that may be made by any workman. The
Contractor shall arrange to provide first aid treatment to the labourers engaged on the
works. He shall within 24 hours of the occurrence of any accident at or about the site
or in connection with execution of the works, report such accident to the Employer and
also to the competent authority where such report is required by law.
14. Working hours:
Each shift shall be at least of eight hours duration and that the work must be completed
within the time specified in the tender document. Work may also be done on Sundays
and Holidays with intimation to the respective authority.
15. Temporary water supply:

1038
The Contractor shall make suitable arrangement for supply of water for the work. The
Contractor shall have to make their own arrangement for carrying water at the work
site.
16. Clearing away:
All rubbish and superfluous materials either from Contractor’s own work or from works
of other agencies shall be removed from the plantation site on completion to the
satisfaction of the Employer.
17. Contractor not to sublet:
The Contractor shall not sublet any portion of the work.
18. Agreement:
The successful Tenderers shall have to enter into an agreement with the Employer.
Stamp duty and all other costs connected with execution of such agreement shall be
borne by the successful Tenderers.
19. Plantation & Maintenance Period and Defects after Completion:

i. Plantation will be monitored through Geotagging of each plant with the
photographs or any other mechanism arranged and suggested by NHAI.
ii. Any defect / mortality identified by the authority will be communicated to agency
through email or any other notification.
iii. The Contractor shall replace the plant with same age & height of good healthy
plant within 15 days of casualty of plant and make good at his own cost to the
satisfaction of Employer, all defects, casualties of planted seedlings or other
faults arising in the option of the Employer from workmanship not being in
accordance with the specification of schedule of quantities or the instruction of
Employer which may appear within the Plantation & maintenance period. The
Plantation & maintenance period shall mean a period of 5 Years from the
date of commencement of work and Defect Liability Period terminates 6
months after completion of the work. The defect in alignment, planting, dead
& poor planted seedlings or other faults which may appear within the Plantation
&maintenance period and a period of 6 months thereafter (hereinafter called as
the defects liability period) arising in the opinion of the Representative who shall
be final authority for workmanship not in accordance with the contract, shall
upon the directions in writing of the Representative and within such responsible
time specified therein, be amended and made good by the Contractor at his own
cost unless the Representative shall decide that he ought to be paid for such
amendment and for making good and in case of default the Employer may
employ and pay other persons to amend and make good such defects, or other
faults and all damages, loss and expenses shall be recoverable from him by the
Employer or may be deducted by the Employer from any money due or that may
become due to the Contractor.
20. Materials:
1039
The selected Contractor must arrange to procure all materials required for the proper
completion of the work. The Employer will not on any account be responsible for
procuring the same. The non-availability of the above materials shall not in any way be
considered to be an excuse for the extension of time.
21. Method of Measurement:
Unless otherwise mentioned in the schedule of quantities the measurement will be net
quantities of the work produced in accordance with the up-to-date rules laid down by
the Indian Standard Institution. In the event of any disputes with regard to the
measurement of work executed the decision of the Employer shall be final and binding.
22. Performance Security:
The successful Tenderer to whom a Letter of Acceptance has been issued shall submit
within 10 (ten) days from the date of Letter of Acceptance, deposit an amount equal to
3% (Three percent) of the contracted value of Work. Successful tenderers may adjust
the Earnest Money Deposit with Security Deposit if applies for such adjustment. Failure
to deposit the Security Deposit as aforesaid within the specified time will constitute a
breach of the contract rendering the contract liable to termination with forfeiture of the
security to the extent of amount of the Earnest money deposited with the tender without
any reference to the Tenderer. The entire security deposit (including earnest money
furnished with the tender, amount deposited at the time of execution agreement and
amount deducted from progressive bills) shall be held till the issue of completion
certificate. Employer shall not pay interest on the Earnest Money and Security Deposit.
22 (a) Retention Money:
From every payment for Works due to the successful Tenderer in accordance with the
provisions of Clause 23 of General terms and conditions of Contract (Section C), the
Authority shall deduct 5% (five per cent) thereof as guarantee money for performance
of the obligations of successful Tenderer during the Plantation and Maintenance Period
subject to the condition that the maximum amount of Retention Money shall not exceed
5% (five per cent) of the Contract Price.
22 (b) Performance Security and Retention Money will be refunded to the agency
within 30 days of successful handover.
23. PAYMENT:
For projects undertaken through Private Agencies, provision for expenses after site
verification by PIUs / ROs may be made. The payments will be reimbursed according
to following schedule of payments issued vide NHAI OM no 361 dated 14.09.2017 after
verification of plants survival as captured through monitoring mechanism through
Geotagging each plant through ‘Harit Path’ mobile app / or Drone photography of NH
stretch / or any other mechanism prescribed by NHAI.
S.no Stage Payment

(in percentage of
project cost)
1040
1 Signing of Agreement 0%
2 First Year (Completion of initial plantation work) 30%

– (Reimbursement for field preparation, planting
material, site / tree protection as per project
details
3 End of First Year – (Reimbursement for 15%

Planting, insecticide, watering and manure
procurement and application etc as per project
details)
4 End of Second Year (Reimbursement for soil 15%

working, weeding, watering and Casualty
Replacement, maintenance and protection etc
as per project details)
5 End of Third Year (Reimbursement for soil 10%

working, weeding, watering and Casualty
Replacement, maintenance and protection etc
as per project details)
6 End of Fourth Year (Reimbursement for soil 10%

working, weeding, watering, maintenance and
protection etc as per project details)
7 End of Fifth Year (Reimbursement for soil 10%

working, weeding, watering, maintenance and
protection etc as per project details)
8 Project Completion (Successful completion of 10%

project deliverables as per project and
agreement)
Total 100 %
Payment against Bills shall be made to the Contractors certified by the Representative
of the Employer. All bills shall be prepared by the Contractor in the form prescribed by
the Employer. For this purpose, the Contractor must submit the Bills in the proper form
duly accompanied by detailed measurements of works done and showing the
deductions for previous payment received by him. Also, the deduction towards cost of
materials (if any), supplied by the Employer, shall be paid against measured bills only.
Payment against the bills will be made after making statutory deductions and
applicable taxes. All payments will be made as per schedule of payment mentioned in
table above.
i. Stage payments will be made only if survival rate is more than 90%.
ii. No stage payment will be made for survival less than 90%.
iii. Stage payment will be made on pro rata basis for actual number of plants
survived at the end of each year, and amount remaining will be withheld till
successful replacement of causalities.
1041
Example: For 1st stage payment, if survival is less than 90%, no payment will
be made. If survival is 90%, the 90% of 30% stage payment i.e. 27% payment
will be made. 3% of stage payment will be withheld till successful replacement
of causalities.
24. Final Payment:
The final bill shall be accompanied by a certificate of completion from the Employer.
Payment of final bill shall be made within a month of submission of the same. The
security money and retention money shall be refunded after issue of completion
certificate that the Contractor has rectified all defect and all 100% plants are healthy
and 5 years old, to the satisfaction of the Employer. The acceptance of payment of the
final bill by the Contractor would indicate that he will have no further claim in respect of
the work executed.
25. Substitution:
Should the Contractor desire to substitute any materials and workmanship, he must
obtain the approval of the Employer, in writing for any such substitution well in advance.
Materials designated in this specification indefinitely by such terms and ‘Equal’ or other
Approved etc. shall be considered as coming under the provisions of this clause as
substitutions and no such materials shall be used until specific approved by the
Employer has been obtained in writing.
26. Commencement and completion of work:
EXTENSION OF TIME AND LIQUIDATED DAMAGES FOR DELAY:

The entire work is to be completed in all respects in stipulated times as mentioned in
the Tender Notice from the date of issue of work order. Time is essence of contract and
shall be strictly observed by the Contractor. The date of commencement of the work
shall be the date on which the work order is issued to the Contractor or the date when
the Contractor take possession of the site officially whichever is later. The Contractor
shall complete the work in all respects to the satisfaction of Employer within the
stipulated time, failing which the contractor shall be bound to pay compensation @ 0.5%
(half percent) over the total tender value of work for delay of every week or part of a
week by way of liquidated damages and not as penalty. Provided always that the entire
amount of compensation to be paid under the provision of this clause shall not exceed
10% of the contract price. The payment of deduction of such damages shall not relieve
the contractor of his obligation to complete the work or from any other obligation and
liability under the contract. The contractor shall within 15 (Fifteen) days of receipt of
intimation that his tender has been accepted to submit the employer an abstract
programme of work so drawn as would enable him to complete the work within the time
contemplated. The abstract programme must indicate the work within the time
contemplated. The abstract programme must indicate dates of starting and completion
of respective parts of sections of the work. The abstract programme would be subjected
to the approval of the employer who will have the power of making such modification
there in as found necessary. The actual progress as compared with this chart will be
reviewed periodically. If the contractor be delayed in the progress of the work by
exceptional weather condition, civil commotion, strike or lock-outs, fire, unusual delay
in transportation of unavoidable casualties, act of public enemy, acts of the government,
any acts of the authority or of another contractor in the performance of his contract with
1042
the employer or any other causes beyond the contractor’s control, the contractor shall
apply in writing to the employer for an extension of time of the completion of work or
the part or section concerned within 10 (Ten) days of such occurrence, but before the
expiry of the stipulated date of completion. The employer shall on such application
make an enquiry and may grant such extension of time as they think justified. The
decision of the employer in this respect shall be final and binding on the contractor. The
work shall not be considered as completed until the employer has certified in writing
that they have been completed.
27. Escalation of prices:
The rates quoted by the Contractor shall be firm throughout the tenure of the contract
(including extension of time, if any granted) and will not be subject to any fluctuation
due to increase in cost of materials, labour, sales tax, Octroi etc.
28. Damage to persons and property/insurance in respect of :
The Contractor shall be responsible for all injury to persons/labourers, animals or

things, and for all damage to the plantation/or adjacent NHAI property which may arise
from the operations or neglect of himself or of any sub-contractor or of any of his sub-
contractor’s employees, whether such injury or damage arises from carelessness,
accident or any other cause whatever in any way connected with the carrying out of his
contract. This causes shall be held to include, internals, any damage to plantation,
whether immediately adjacent or otherwise and any damage to roads, footpaths,
bridges or ways forming the subject of this contract by frost, rain, wind or other
inclemency of the weather.
The contractor shall indemnify the employer and held them harmless in respect of all
and any expenses arising from any such injury or damage to persons or property as
aforesaid and also in respect of any claim made in respect of injury or damage under
any acts of Government or other wise and also in respect of any award or compensation
or the Contractor shall restore and repair all damage of every sort mentioned in this
clause so as to deliver up to the whole of contract works complete and perfect in every
respect so as to make good or otherwise satisfy all claims for damage to the property
of the third parties. The contractor shall indemnify the Employer against all claims which
may made against the Employer by any member of the public or other third party in
respect of anything which may arise in respect of the works or in consequence thereof
and shall at his own expense arrange to effect and maintain, until the completion of the
contractor with any approved Insurance Company, a policy of insurance in the joint
policy or policies with the Employer from time to time during the currency of this
contract, and shall duly and punctually pay the premium payable thereof and if so
required produce receipts for such payments, for the inspection of the Employer. The
Contractor shall also indemnify the Employer against all claims which may be made
upon the Employer, whether under the workman’s Compensation Act or any other
Stature in force during the currency of this contract or common law in respect of any
injury to any of the contractor’s or /and sub-contractor workmen or labour and shall at
his own expense effect and maintain until the completion of the contract, with the
approved Insurance Company a policy of Insurance in the joint names of the Employer
and the Contractor against sub-risks and deposit such policy or policies with the
Employer from time to time during the currency of this contract. The Contractor shall be
1043
responsible for anything which may be excluded from the Insurance Policies above
referred to and also for all other damage to any property arising out of an incidental to
the negligent or defective carrying out of this contract. The Contractor shall also
indemnify the Employer in respect of any costs, charges or expenses arising out of any
claims or proceeding and also in respect of any award of compensation of damages
arising therefore the Employer shall be at liberty and have the power to deduct the
amount of any damages, compensation costs, charges and expenses arising or to
become due or to become due to the Contractor. The Contractor shall on signing the
contract, issue the works and keep them insured (the works and keep them insured)
until the Completion of the contract against loss or damage by the fire and /or
earthquake with any approved Insurance Company in the joint name of the Employer
and the Contractor for the full amount of the contract and for any further sum if called
upon to be so by the Employer the premium of such further sum being allowed to the
Contractor as an authorized extra. Such policy shall cover the property of the Contractor
or of any sub-contractor or Employees. The Contractor shall deposit the policy and
receipts for the premium with the Employer within 21 days from the date of signing the
contract unless otherwise instructed by the Employer. In default of the Contractor
insuring as provide above, the Employer on his behalf may so insure and may deduct
the premium paid from any money due or which may become due to the Contractor.
The Contractor shall as soon as the claim under the policy is settled or the work
reinstated by the Insurance Company should they elect to do so, proceed with all due
diligence with the completion of the work in the same manner as through the fire had
not occurred and in all respect under the same conditions of contract. The contract shall
in case of rebuilding or reinstatement after fire shall be entitled to such extension of
time for completion as the Employer may deem fit.
29. Termination of contract:
Either party may terminate this Contract Agreement due to breach of terms agreed to
in this Contract Agreement by the other party. However, the party aggrieved by the
breach shall give written notice to the other party to this Contract Agreement indicating
that the contract shall be terminated not earlier than 90 days from the date of the receipt
of the notice.
If the contractor (being an individual or a firm) commit any act of insolvency or shall be
adjusted as an insolvent or shall make an assignment or composition of the greater part
in number or amount of his creditors or shall enter into a deed of assignment with his
creditors, or (being incorporated company), shall have an order made against him or
pass an affective resolution for winding up either compulsorily or subject to the
supervision of the court or voluntarily, or if the official assignee of the contractor shall
repudiate the contract, or if the official assignee or the liquidator in any such winding up
shall be unable within 7 (Seven) days after notice to him requiring him to do so, to show
to the responsible satisfaction of the employer that he is able to carry out and fulfil the
contract and if required by the employer to give security or if the contractor (whether in
individual form or incorporated company) shall suffer any payment under this contract
to be attached by or on behalf of any of the creditors of the contractor or if the
contractors shall assign or sublet the contract without the consent in writing of the
employer first obtained if the contractor shall change or encumber this contract or any
payment due to which may become due to the contractor their under or if the employer
shall certify in writing of that in his opinion the contractor :
a) has abandoned the contract, or
1044
b) has failed to commence the work, or has without any lawful excuse
under these conditions suspended the progress of the work for 14 days
after receiving from the Employer written notice to proceed, or
c) has failed to proceed with the work such due diligence and failed to make
such due progress as would enable the work to be completed within the
time agreed upon, after receiving from Employer to employ more men,
or,
d) has failed to remove materials from site or to pull down and retained
work within 7 days after receiving from the Employer as written notice
that the said materials or work were condemned or rejected by the
Employer under those conditions, or,
e) has neglected or failed persistently to observe and perform all or any of
the acts, matter or things by this contract to be observed and performed
by the Contractor for 7 days after written notice shall have been given to
the contract requiring the Contractor to observe or perform the same, or
f) has to the detriment of good workmanship or define of the Employers
instruction to the contrary sub-let any part of the contract.
g) has not completed the entire plantation in the 1st year of Contract.
Then and in any of the said causes the employer not withstanding any previous order
after giving 7 (Seven) days notice in writing to the contractors, determine the contract,
but without thereby affecting the powers of the employer of the obligations and liabilities
of the contractor, the whole of which shall continue to be in force as fully as if the
contractor has not been so determine and as if the works subsequently executed has
been executed by or on behalf of the contractor and further the employer, his agents or
representative may enter upon and take possession of the works and all plants, tools,
shades, machinery and other power tools, utensils and materials, lying upon the
premises or the adjoining land or roads and use the same as his own property or may
employee the by means of his own representative and workman in carrying on and
completing the work or by employing any other contractors or other persons or person
to complete the work, and the contractor shall not in any way interrupt, or do any matter
or thing to prevent or hinder such other contractor or other person or persons employed
for completing and finishing or using the materials and plant for the work when the
works shall be completed or as soon thereafter as convenient, the employer shall give
a notice in writing to the contractor to remove his surplus materials and plant and should
the contractor failed to do so within a period of 14 (Fourteen) days after receipt thereof
by him the employer may sell the same by public auction and shall give credit to the
contractor or for the amount so realised.
The employer shall thereafter ascertain and certify in writing under his hand that (if
anything) shall be due or payable to or by the employer, for the value of the said plant
and materials so taken possession of by the employer and the expense or loss which
the employer shall have been put to in getting the work to be so completed and amount
if any owing to the contractor and the amount which shall be certified shall there upon
be paid by the employer as the case may be and the certificate shall there upon be paid
by the employer, as the case may be and the certificate of the employer shall be final
and conclusive between the parties.
30. Settlement of Dispute, Arbitration:

1045
Any dispute or difference whatsoever arising between the parties and of or relating to
the construction, interpretation, application, meaning, scope, operation or effect of this
Contract Agreement or the validity or the breach thereof, shall be referred to the Society
for Affordable Resolution of Disputes (SAROD) and the award so made shall be final
and binding on the parties. The Arbitration shall be conducted as per the Rules of
“SAROD” and shall be subject to Provisions of The Arbitration and Conciliation Act,
1996, as amended time to time.
This Contract Agreement shall be governed by, and construed in accordance with, the
laws of India and courts at New Delhi shall have exclusive jurisdiction over all disputes
arising under, pursuant to and/or in connection with this Contract Agreement.
1046
Section C - Terms of Reference (TOR)
1. The agency shall be responsible for implementing the plantation project in specified project
period of 5 years with year 1 for field preparation and planting and year 2-5 for subsequent
plantation operations of irrigation, casualty replacement, weeding, hoeing, manuring,
plantation protection, fire protection etc.
2. The planting should be completed in 1st year of Contract and sufficient saplings should be
maintained for causality replacement to maintain survival rate of 90% with all plants of same
age and growth every year.
3. The guidelines of Green Highways Policy – 2015 and IRC – SP – 21 – 2009 should be
strictly adhered to for plantation layout, species selection, spacing between Rows and plant
to plant.
4. Agency will finalise the list of species for plantation in Avenue and Median as per IRC-SP-
21-2009, which are local best performing species suitable to that agro-climatic zone. List
of species will be submitted for approval of PD, NHAI in consultation of Joint Advisor
(Plantation), RO Office.
5. Agency will submit the details of nursery from where planting material will be sourced,
plants quality, species details, their storage location etc to PD, NHAI. Joint Advisor
(Plantation), RO Office may visit the site of storage / temporary nursery.
6. Plantation work has to be finished within next plantation season from the date of agreement.
Maximum duration for completion of plantation work will be 120 days of Plantation Season.
7. Agency will prepare a plantation plan as strip map for every 100 meter on A3 paper size
and submit in soft copy before start of advance field preparation for approval of PD, NHAI
in consultation of Joint Advisor (Plantation), RO Office.
8. The agency should furnish monthly report about the status of plantation in the format as
prescribed time to time.
9. In case the proposed plantation is to be taken up in existing highway, any damage to the
median component and highway components while digging or related operations of
plantation, shall be restored by Agency at their own cost to the satisfaction of Authority and
Concessionaire / Contractor.
10. General Schedule of Operations and Activities for National Highways Plantations in 5 year
Project Period to be followed as broad guidelines:
10.1. First Year:
i. Surveying of area, collection of soil for soil health card of the site and mapping of
plantation site for species matrix.
ii. Making Species wise inventory of naturally growing trees and plants at site with
details of girth of trees and collar girth of plants
iii. Cleaning of the area from unwanted weeds and throw away materials.
1047
iv. Plantation protection strategy and procurement as per site requirement - chain link
fencing; barbed wire fencing; Individual tree guard fencing with wire mesh / cement
/ bamboo sticks / wood sticks.
v. Seeds sowing/cuttings of local plant species to develop live fencing for plantation
protection from cattle grazing. The species selection should be from locally
preferred and better performing species and other local suitable thorny plant
species.
vi. Digging of pits in rows at prescribed interval leaving the marked point where
natural plants exist
vii. Soil and water conservation structures to manage proper drainage, percolation
and storage of rain water.
viii. Preparation and seasoning of saplings at temporary nursery at reasonable
distance from the site. The species selection should be from best Performing trees
growing in that agro climatic zone. Some plants of Rare & Endangered Trees
(RET)/ local prominent plants of medicinal value should be preferred in plantation.
ix. Collection of good quality seeds from healthy plus trees of species best Performing
in that agro climatic area.
x. Purchase of farmyard manure (FYM). Purchase of fertilizer/insecticide as per site
requirement based on soil health analysis.
xi. Filling of pits with mixture of good soil, FYM, fertilizer and insecticide.
xii. Plantation protection fencing work on the ground as per design and specifications.
xiii. Transport of plants from nursery at appropriate temporary site to facilitate fast
planting in rainy period
xiv. The plants should be minimum male thumb sized at its collar girth (up to 4” from
base) and the height should be about median - 1 meter and avenue – 2 meter.
The bamboo rhizomes should be more than a year old.
xv. Planting in after first rain spell
xvi. Collection of seeds from tree species available locally in that region. Sowing of
seeds before rains with little soil working at appropriate spacing. Sowing of seeds
or cuttings on site boundary for live fencing.
xvii. Weeding and hoeing with water conservation saucer formation around every
sapling planted. Removal of weeds hampering plantation growth.
xviii. Application of fertilizer.
xix. Identification and selection of plants keeping in view the growth performance,
spacing and species diversity from naturally growing stock and their marking for
adoption and after care similar to planted saplings.
xx. Irrigation to be done at appropriate interval to ensure plant survival.
xxi. Thinning of saplings grown out of seed sowing or natural seed dispersal of local
plants species.
xxii. Any incidental or allied activity / work if any.
xxiii. Geotagging of each plant through ‘Harit Path’ mobile app.
10.2. Second Year
i. Irrigation at regular interval

ii. Providing fertilizers and insecticides for better growth and survival of plants.
iii. Weeds eradication and cleaning of the area to ensure protection of plantation from
fire incidents. Reporting of fire incidents and assessment of damage
iv. Maintenance of fencing, Soil Moisture Conservation (SMC) structures and other
facilities established at plantation site
1048
v. Assessment of plants survival and their growth to ascertain compliance on defined

parameters.
vi. Plants casualty replacement with healthy plants to maintain same age and vigor
profile of plantation
vii. Weeding and soil working, removal of unwanted weeds in 1 meter diameter of
plants
viii. Maintenance and care of plantation from cattle grazing
ix. Careful disposal of palatable grasses to local villagers
x. Any incidental or allied activity / work if any.
xi. Geotagging of each plant through ‘Harit Path’ mobile app.
10.3. Third Year

i. Weeds and grass eradication and cleaning of area in strips to ensure protection
of plants from fire.
ii. Controlled burning of debris around plantation site to ensure protection of
plantation from fire incidents
iii. Irrigation of plants at regular intervals with proper supply of fertilizers and growth
nutrients.
iv. General maintenance of all the facilities.
v. Maintenance of fencing, Soil Moisture Conservation (SMC) structures and other
vi. Assessment of plants survival and growth of planted saplings and naturally
growing adopted plants.
vii. Cutting back of deformed, stunted and damaged plants 5 centimeters above
ground before first rains in May- June to facilitate coppicing of new shoots.
viii. Plants casualty replacement to maintain standard growth and survival of plants.
ix. Weeding, hoeing and soil working works; elimination of unwanted weeds and
grasses around the plants planted at prescribed spacing or adopted from natural
growth
x. Application of fertilizers and insecticides at appropriate time.
xi. Maintenance and care of plantation from cattle grazing
xii. Cutting and proper distribution of palatable grasses to local villagers
xiii. Any incidental or allied activity / work if any.
xiv. Geotagging of each plant through ‘Harit Path’ mobile app.
10.4. Fourth Year
i. Weeds eradication and cleaning of the area in strips to ensure protection of plants
from unforeseen fire. Reporting of fire incidents and assessment of damage if any.
ii. Controlled burning of debris around plantation site in February to eliminate chance
of stray fire.
iii. Irrigation of plants to keep optimum moisture regime and nutrients level for growth
of plants
v. Assessment of plants survival and growth of planted saplings, sown seeds plants
and naturally growing adopted plants.
vi. Cutting back of deformed, stunted and damaged plants 5 centimeters above
ground before first rains in May- June to facilitate coppicing of new shoots.
vii. Weeding, hoeing and soil working; elimination of unwanted weeds and grasses
around the plants planted or adopted from natural growth
1049
viii. Soil- Water conservation to ensure maximum rain water availability to growing
plants.
ix. Providing fertilizers and insecticides for better growth and survival of plants
x. Maintenance and care of plantation from cattle grazing
xi. Cutting and distribution of palatable grasses to local people of adjacent villages
xii. Any incidental or allied activity / work if any.
xiii. Geotagging of each plant through ‘Harit Path’ mobile app.
10.5. Fifth Year

i. Weeds eradication and cleaning of the area in strips to ensure site protection from
unforeseen fire incidents. Reporting of fire incidents and assessment of damage if
any.
ii. Controlled burning of debris around plantation site in February to eliminate chance of
stray fire.
iii. Irrigation of plants to keep optimum moisture regime and nutrients level for growth of
plants
v. Assessment of plants survival and growth of planted saplings, plants grown of sown
seeds and naturally growing adopted plants.
vi. Cutting back of deformed, stunted and damaged plants 5 centimeters above ground
before first rains in May- June to facilitate coppicing of new shoots.
vii. Weeding, hoeing and soil working; elimination of unwanted weeds and grasses
around the plants planted or adopted from natural growth
viii. Providing fertilizers and insecticides for better growth and survival of plants
ix. Maintenance and care of plantation from cattle grazing
x. Cutting and distribution of palatable grasses to local people of adjacent villages
xi. Any incidental or allied activity / work if any.
xii. Geotagging of each plant through ‘Harit Path’ mobile app.
1050
Draft Bill of Quantity (BOQ) – Not to be submitted with technical or financial bids (Only for
reference purpose)
Name of Regional Office: ..............
Name of Project: .............................. section of NH - .....)
National Highway No: NH - .....)
Chainage / milestones:
Length of the Highway: .
No. of Plants: ……………. (Avenue - ………….. + Median - …………..)
Bill of Quantity
ADVANCE FIELD PREPARATION, PLANTATION & MAINTAINANCE OF PLANTATION

(AVENUE PLANTATION WORK) FOR .............................. section of NH - .....)
S. Rate Amount
Description of Work UNIT/RFP Quantity Remarks
No. (Rs) (Rs)
First Year
Survey & Demarcation of the

1 project site (Total Project Area Per Km
– Ha)
Advance Site Preparation

2
Marking of Pits with spacing in

different rows as per IRC
2.1 guidelines Per Pit
Pits digging
45 x 45 x 45 cms
Soil Replacement (if required) –
No of Pits and quantity Manure
2.2 & Compost (to be mixed with Per Pit
pits soil) – No of pits & quantity
Insecticide & fungicide (to be

mixed with pits soil) – No of pits
2.3 Per Pit
& quantity
No of Plants with details of

species & plant size above 6’
2.4 Ht including Transportation of Per Plant
Plants on plantation site (20%
extra)
1051
Plantation Protection Plan

2.5 /bamboo tree guard of size Per Plant
7’x2’x2’ for Avenue Plantation
Planting
3 Per Plant
Irrigation (Watering with Tanker

and Diesel or Rickshaw Thela
4 with 200 ltr. Tank & pipe etc.) Per Plant
Weeding, Hoeing & Protection
Fertilizer + Insecticide & Misc.

5 Per Plant
First Year Total
Casualty Replacement with

1 plants of same age and growth Per Plant
planted in first year (10% )
Irrigation, Weeding and Hoeing
2 Per Plant
& Protection
Fertilizer / Insecticide
3 Per Plant
Maintenance of Fencing
4 (Avenue Plantation) Per Plant
Second Year Total
Casualty Replacement with

1 plants of same age and growth Per Plant
planted in first year (10%)
Irrigation & Weeding and

2 Hoeing & Protection Per Plant
3 Fertilizer / Insecticide Per Plant

Maintenance of Fencing
4 (Avenue Plantation) Per Plant
Third Year Total

2 Per Plant
1052
Fourth Year Total

2 Per Plant
Fifth Year Total
Grand Total
-*-*-*-
1053
ANNEXURE-E
Details of previous circulars/ policy guidelines of Green Highways Projects which are
obsoleted:
Sl No. Circular No. Issue Date Subject
1 11041/21/2005-Admn 30th June 2006 Guidelines on implementation of the

National Policy on Resettlement and
Rehabilitation (NPRR)
2 11041/218/2007-Admn 07th Oct 2014 Policy Matters: Technical (166/2014)

(Decision taken on File No.
11013/1/2k/Env.)
3 NHAI/Policy 13th July 2017 Guidelines for implementing Green

Guidelines/ Green Highways Projects
Highways
Projects/2017 No.
7.4.3/ 2017
4 NHAI/Policy 24th July 2017 Implementation of Green Highways

Guidelines/ Green Projects
Highways
Projects/2017 No.
7.4.4/ 2017
5 NHAI/Policy 17th Oct 2017 Delegation of Powers to ROs for Green

Guidelines/ Delegation Highways Projects (Plantation,
of Powers to ROs for Transplantation, Beautification and
Green Highways Maintenance)
Projects/2017 No.
7.4.5/2017
1054

Section: 8.1. Procurement / MCA
Sub Subject
section
I. Delegation of Power in implementation of the Projects.

II. Appraisal of projects- Certificate regarding technically sanction of
proposals submitted to Ministry for appraisal/approval-reg.
III. Criteria for PPPAC approval
IV. Conditions for invitations of Bids for Award of Projects
V. Dispensation of physical submission of Bid in various

procurement methods - Amendment to RFP clauses - Reg.
VI. Insertion of the Clause regarding Digital Signatory in Notice

Inviting tender document
VII. Evaluation of RFQ and legalization of power of attorney in respect

of foreign applicant member reg.
VIII. Procurement of NHAI Projects on BOT (Toll/Annuity) under PPP

Mode
IX Regarding replies being given by Technical Divisions as ‘As per

RFP’ in response to the pre-bid queries in various contracts
(BOT/HAM/EPC/TOT, etc.).
X Assessment of existing commitments of prospective bidders in

respect of clause 2.2.2.1 of standard RFP for EPC projects.
XI Engagement of Financial Consultant for Projects to be

implemented on EPC Mode – Maintenance of Roster
XII Amendment of Technical Specification Clause 305.8
XIII Guidelines for acceptance and award of single tenders- reg.
XIV Public Procurement Policy for Micro and Small Enterprise (MSEs)
– Reg.
XV Deletion of Provision of Underground Tunnels at Toll Plazas.
XVI Consolidated Instruction regarding Global Tender Enquiry (GTE)

under Rule 161 (iv) of General Financial Rules (GFRs) 2017 upto
1055
Sub Subject
section
Rs. 200 Crores and for relaxation on Global Tender Enquiry for
procurement of raw materials– Reg.
XVII Reduction of contingency charges for the execution of National

Highways works-reg.
XVIII Standard operating procedure to debar/penalize/declare as Non-

Performer the Contractor/Concessionaire in National Highways
and other centrally sponsored road projects.
XIX Appraisal of PPP projects- Standard parameters for financial

analysis of BOT(Toll), BOT(Annuity), HAM, TOT, InviT mode of
projects.
1056
8.1: Procurement
I: Delegation of Power in implementation of the Projects72.
(A) The Delegation of Power (DOP) in implementation of the Projects is as follows:
Sr. Subject To whom Extent of Remarks

No. delegated Delegation
1.1 Approval of RO Full Powers (i) The award of compensation is

Compensation for made by CALA on or after
Land Acquisition 01.01.2015 as per the provisions of
determined by RFCTLARR Act, 2013.
CALA under NH
Act, 1956 (ii) The compensation for
structures falling within ROW shall
1.2 Approval of RO Full Powers be strictly as per Policy
Compensation for Guidelines(7.1.51) dated
Land Acquisition 10.04.2017.
enhanced by the
Arbitrator/ Court (iii) Procedure for processing
(including interest) Arbitral Awards shall continue to be
governed by Circular No.
NHAI/13/LA/Policy/2006 dated
06.09.2010. Paras 1(a), 1(b) and
1(c) of Circular ibid are cancelled.
(iv) RO may seek legal advice from

NHAI’s Counsel prior to deciding
whether to accept or challenge a
court order enhancing
compensation. Provided that [as
per Para-1(I) of Circular No.
06.09.2010], Arbitral Awards which
have been upheld by a Court must
not be challenged in a higher court.
(iv) ROs may approve the award of

compensation, based on CALA
Award/ Arbitration as per the
following guidelines73 :-
72
NHAI Policy circular no (i)18.24 dt. 21.08.2017, (ii)18.25/2017 dt. 06.09.2017, (iii)18.27/2017 dt.
27.09.2017, (iv)18.32/2018 dt. 02.07.2018, (v)18.35/2019 dt. 29.03.2019, (vi) 10.2.25/2020 dt.
28.09.2020, (vii)18.60/2021 dt. 05.01.2021
73
Inserted vide NHAI Policy Circular no 18.27/2017 dt. 27.09.2017
1057
A. The land acquisition awards

may be examined by a
Committee comprising of :
a) Regional Officer
b) PD Concern
c) GM/DGM RO Office and
d) A representative of Finance
attached to RO Office
B. Award be accepted so long as

the compensation amount and
the valuation of the assets have
been done in accordance with
methodology adopted by the
State Govt.
C. In case it is felt that CALAs

Award deviates from
established norms RO may
submit the award to the District
Collector for advice and dispose
the matter in accordance with
advice tendered by the District
Collector.
D. Arbitral Awards may also be
generally accepted so as to
avoid accumulation of interest
liability on NHAI. But in case it is
felt that the Arbitral Award
deviates from established
norms, RO may submit the
award to the State Govt for
advice and dispose the matter in
rendered by the State Govt.
2. Approval of utility RO Rs. 30 Crore (i) The guidelines as per Policy
shifting estimates for each Circular (Tech. - 215/2016) dated
public utilities concerned 19.09.2016 shall be followed.
only(electrical, division of
water and other utility (ii) RO can approve supervision
public utilities) owning charges upto 10%. In case these
agency charges are more than 10%, RO
shall make a reference to HQ for
taking up the matter with
concerned State Government, but
Executive Full Powers he will sanction the estimate with
Committee 10% supervision charges pending
reconsideration of matter by State
Government.
1058
(iii) The estimates shall be

obtained immediately after
finalization of alignment and shall
form part of Project Appraisal
(estimates on lumpsum basis at
appraisal stage shall not be
permitted).
3. Approval of PD Full Powers Tree Cutting/ Tree Plantation shall

estimates for Tree be as prescribed in the statutory
Cutting/ Tree clearances, the estimates shall be
Plantation as per the extant guidelines/ rules
of the concerned Government
Departments and it shall not form
part of the obligation of
Concessionaire/ Contractor.
4. Approval of PD Full Powers (i) The charges shall be as per the

estimates for Tree extant rules of concerned
Cutting/ Tree government department,
Plantation applicable to all Project Authorities
(but not exclusively for NHAI
Projects). Such charges shall be
recommended by Project
Preparation Consultant.
(ii) The payment of such charges is

not the obligation of
5. Hiring of PD Upto The work is not in the scope of

Equipment/ Labour Rs.50.0 Concessionaire/ Contractor.
for removal/ Lakh for
demolition of Project
structures failing in Reach
ROW/ clearing of
the acquired land RO Upto Rs. 1.0
for physical Crore for
possession74 Project
Reach
Executive Full Powers

Committee
6. Project Preparation/ Design Consultants
6.1 Procurement CGM (HQ) Full Powers (i). RFP shall be strictly as per the
Invitation of RFP, standard format and evaluation
Response to pre- shall be strictly as per the
bid Queries, guidelines/ manual of NHAI.
Evaluation and
74
NHAI policy no 18.60 dt. 05.01.2021
1059
Recommendation (ii) Member(in-charge) in

for Award consultation with Member(Fin) will
decide on constitution of
6.2 Approval of CGM Full Powers Evaluation Committee. The
qualification Evaluation Committee for all
(Evaluation of intermediate stages of
Technical procurement shall comprise of
Proposal) members as per following
composition75:
a) Concerned GM (Tech.) of
Technical Division - Convener
b) GM(Finance) - Member 1
c) GM (Tech.) from any other
Technical Division not under
jurisdiction of same CGM -
Member 2
d) Dy. GM (Tech.) / Manager
(Tech.) /Dy. Manager (Tech.) of
concerned Division - Member 3
(iiii)For all intermediate stages

involved in the process,
recommendations of the
Evaluation Committee shall be
approved at CGM (HQ) level, if
there is unanimity in
recommendation of Evaluation
Committee. In case of no
unanimity, Member (in-charge) will
decide.
6.3 Award of Work Concerned Full Powers (i). The award of work based on
Member combined technical and financial
evaluation shall be approved by
Member concerned.
(ii) In case only a single bid is

received by the due date of receipt
then the same shall be accepted if
the rates are reasonable &
workable and the process is valid
with the compliance of validity of
process recorded in writing. The
process should be considered valid
75
Inserted due to NHAI Policy circular no 18.25/2017 dt. 06.09.2017
1060
provided following conditions are

satisfied76:
a) The procurement was

satisfactorily advertised and
sufficient time was given for
submission of bids;
b) The qualification criteria were
not unduly restrictive; and
c) Prices are reasonable in
comparison to market values.
(iii) If the justification given for the

acceptance of bid is found
reasonable then the consultancy
proposal should be accepted by
the next higher authority i.e., by the
Chairman.
6.4 Release of Member Full Powers

Mobilization
Advance CGM/RO Full Powers
as per
Provisions
of contract
6.5 Grant of EOT (with Chairman Full Powers

or without levy of for review &
LD/ Penalty, but appeal
with no extra cost)
Committee Full Powers

comprising in cases
of where extra
Member(F), cost is
Member involved
concerned &
CGM(T) HQ
{or GM(T)
where
CGM(T) not
in position}77
Member Full Powers

in case of
EOT with no
extra cost
76
Modified due to NHAI Policy circular no 18.78/2022 dt. 18.02.2022
77
Inserted due to para 1 of NHAI policy circular no 10.2.25/2020 dt. 28.09.2020
1061
CGM/RO Full Powers

for EOT
upto 100%
of Contract
Period
6.6 Change of Scope Member Full Powers

of Works
CGM/RO 20% of
Contract
Value
7. Project Supervision Consultant/ Independent Engineer/ Authority Engineer
7.1 Procurement (i). RFP shall be strictly as per the

standard format and evaluation
Invitation of RFP, shall be strictly as per the
Response to Pre- guidelines/ manual of NHAI.
bid Queries,
Evaluation and
Recommendation
for Award (ii). Member (in-charge) in
consultation with Member (Fin) will
Evaluation Committee. The
Evaluation Committee for all
(i)Construction CGM(HQ) Full Powers intermediate stages of
Stage procurement shall comprise of
members as per following
(ii). O&M stage RO Full Powers composition78:
a) Concerned GM (Tech.) of
Technical Division – Convener
b) GM(Finance) - Member 1
c) GM (Tech.) from any other
Member 2
d) Dy. GM (Tech.) / Manager
(Tech.) /Dy. Manager (Tech.)
of concerned Division -
Member 3

78
1062
decide.
7.2 Approval of CGM/RO Full Powers CGM at HQ during construction

qualification stage and RO during O&M stage
(Evaluation of are entrusted with the work of
Technical procurement.
Proposal)
7.3 Approval of Award Concerned Full Powers (i). The award of work based on
Member concerned.

satisfied79:
a) The procurement was

submission of bids;

Chairman.

Mobilization
as per
Provisions
of contract
79
1063
7.5 Grant of EOT Committee For cases (i). Subject to the Consultant
comprising having having recommended EOT of
of financial Contractor/Concessionaire to
Member(F), implication NHAI.
Member of more than
concerned & 50%
CGM(T) HQ (ii). The contract value is excluding
{or GM(T) of taxes.
where
CGM(T) not
in position}80
Member Full Powers

provided
financial
implications
are limited
to 50% of
contract
value
CGM/RO Full Powers

provided
financial
implications
are limited
to 25% of
contract
value
7.6 Change of Scope Committee More than The contract value is excluding of
of Works comprising 50% of taxes.
of Contract
Member(F), value
Member
concerned &
CGM(T) HQ
{or GM(T)
where
CGM(T) not
in position}81
Member Upto 50% of

Contract
value
80
81
1064
CGM/RO Upto 20% of

Contract
value
8. Concessionaire/ Contractor (DBFOT/ EPC/ Item Rate/ OMT)
8.1 Procurement: CGM (HQ) Full Powers (i). RFP shall be strictly as per the
Invitation of Bids, shall be strictly as per the
bid Queries,
Evaluation of Bids
and
Recommendation (ii). Member (in-charge) in
for Award consultation with Member (Fin) will
Evaluation Committee. CGM (HQ)
will decide on recommendations of
Evaluation Committee on all
intermediate stages of
procurement. However, if there is
no unanimity, Member (in-charge)
will decide.
8.2 Approval of Award : A Quarterly statement of the projects awarded shall be placed
before the Board
8.2.1 DBFOT (Toll) Board Full Powers In case only a single bid is received
Projects by the due date of receipt then the
Chairman The same shall be accepted if the rates
response to are reasonable & workable and the
the bid is process is valid with the
adequate (2 compliance of validity of process
or more recorded in writing. The process
valid bids) should be considered valid
and (i) VGF provided following conditions are
is upto 5% satisfied82:
above VGF
as approved a) The procurement was
by PPPAC/ satisfactorily advertised and
SFC; or (ii) sufficient time was given for
Premium is submission of bids;
upto 5% b) The qualification criteria were
below not unduly restrictive; and
premium c) Prices are reasonable in
approved by comparison to market values.
PPPAC
(ii) In the event of single bid, the
Member The
decision should be made by Board
response to
of NHAI. Board may accept single
the bid is
82
1065
adequate (2 bid after examining the

or more reasonableness of the same.
valid bids)
and (i) VGF
is less than
VGF as
approved by
PPPAC/
SFC; or (ii)
Premium is
more than
premium
approved by
PPPAC/SF
C
8.2.2 EPC/ Item Rate Board Full Powers (i). In case the response to the bid
Projects is adequate (2 or more valid bids)
Executive If the quote and the amount quoted by the
Committee is upto 5% preferred bidder is higher than the
(updated approved civil work cost, the
cost based procedure stipulated vide OM No.
on current 24(35)/PF-II/2012 dated
SOR) higher 29.08.2014 of Department of
than Expenditure, PF-II Division for
approved approval of RCE shall be followed
civil work first before approval of bid for
cost and award of the project.
response to
bid is
adequate (2
(ii). In case only a single bid is
or more
valid bids)
Member If the quote the rates are reasonable &
is less than workable and the process is valid
or equal to with the compliance of validity of
approved process recorded in writing. The
civil work process should be considered valid
cost and provided following conditions are
83
response to satisfied :
bid is
adequate (2 a) The procurement was
or more satisfactorily advertised and
valid bids) sufficient time was given for
submission of bids;
83
1066

(iii) In case single bid is received,

the following procedure may be
adopted:
(a). In case the amount quoted by

the bidder is less than or equal to
the estimated civil cost approved
by the Competent Authority, the
bids for award purpose will be
approved by NHAI Board.
(b). In case the amount quoted by

the bidder is higher than the
approved civil work cost, the
procedure stipulated vide OM No.
24(35)/PF-II/2012 dated
29.08.2014 of Department of
Expenditure, PF-II Division for
approval of RCE shall be followed
first before approval of bid for
award of the project.
8.2.3 Hybrid Annuity Board Full Powers (i) In case only a single bid is
Projects received by the due date of receipt
Chairman If the bid then the same shall be accepted if
price is the rates are reasonable &
quoted is workable and the process is valid
upto 5% with the compliance of validity of
(updated process recorded in writing. The
cost based process should be considered valid
on current provided following conditions are
SOR) satisfied84:
above
estimated a) The procurement was
bid price satisfactorily advertised and
and sufficient time was given for
response to submission of bids;
bid is b) The qualification criteria were
adequate (2 not unduly restrictive; and
or more
valid bids)
84
1067
Member If the bid c) Prices are reasonable in

price is comparison to market values.
quoted
below (ii) In the event there is a single bid,
estimated the decision for award of the
bid price project shall be made by the Board
and of NHAI.
response to
bid is
adequate (2
or more
valid bids)
8.2.4 OMT Bids Board Full Powers (i) In case only a single bid is
Chairman If quoted then the same shall be accepted if
first year the rates are reasonable &
concession workable and the process is valid
fee is upto with the compliance of validity of
7.5% less process recorded in writing. The
than the process should be considered valid
assessed at provided following conditions are
the time of satisfied85:
SFC
approval a) The procurement was
Member If quoted
first year
submission of bids;
concession
fee is above
the
assessed at
the time of
SFC
(ii) In case single bid is received,
approval
except in case where due to other
reasons, like difficult conditions,
law & order, etc., the response is
expected to be poor, the proposal
may be put up to Board for
consideration, Board may accept
single bid after examining the
reasonableness of the same.
8.2.5 BOT (Annuity) Chairman If number of Where base parameters are

bids changed after getting approval of
received are the PPPAC and if this affects the
three or project evaluation, the matter
more and
the annuity
quoted by
85
1068
the should be once again brought

preferred before PPPAC87
bidder is
less than the
annuity
amount
approved by
the
PPPAC86
8.3 Signing of Member (in- Full Powers If all conditions precedent are
Agreement and charge) satisfied. In case parties agree for
Declaration of waiver of conditions precedent
Appointed Date/ including waiver of damages, the
Commencement case is to be submitted to
Date for the project Chairman with full justification to go
for waiver alongwith firm targets for
satisfying the conditions precedent
8.4 Payments to Concessionaire/ Contractors in the Projects
8.4.1 Payment of Equity CGM/RO Full Powers As per provisions in the

Support (Grant) in for approval Concession Agreement.
Toll Projects/
Annuities in
Annuity Projects PD Full Powers
for release
after
approval
8.4.2 Payments in CGM/RO Full Powers As per provisions in the

Hybrid Annuity for approval Concession Agreement.
Projects viz
advances, PD Full Powers
payments during for release
construction period after
& operation period approval
(Annuity/O&M)
8.4.3 (a) Payments in CGM/RO Full Powers As per provisions in the Contract
EPC Projects – for approval Agreement.
Advances and
Final Payments PD Full Powers
for release
after
approval
(b) Payments in PD Full Powers As per provisions in the Contract

Stage Payments & & release.
86
NHAI Circular No. 8.1.11 vide 11041/218/2007-Admn (75/2011) dated 31.03.2011
87
NHAI Circular No. 8.1.15 vide 11041/218/2007-admn (102/2012) dated 21.05.2012
1069
Maintenance
Payments
8.4.4 Bonus in Annuity/ EC Full Powers

for approval
Hybrid Annuity/
EPC Projects PD Full Powers
for release
after
approval
9 Change of Scope (COS) in DBFOT/ EPC Projects
Approval of COS Chairman Upto 10% of (i). Awarded Cost is TPC in DBFOT
the awarded (Toll)/ Bid Project cost in HAM/
cost of the Contract Price in EPC;
project
Executive Upto 15% of

Committee the awarded (ii). Guidelines on COS are being
cost of the issued separately.
project
(iii). PD and RO shall certify after

site inspection that COS is
NHAI Board >15% but absolutely essential/ unavoidable
upto 20% of in public interest.
the awarded
cost of the
project
(iv). In-principle approval for COS
MoRTH >20% of the will be conveyed by NHAI, HQ to
awarded RO, who in turn will issue COS
cost of the Notice/ Order within the cost
project approved in-principle
10 Operation & Maintenance (O&M) Works in case of the stretches maintained by NHAI
10.1 Variation in single RO Full Powers (i). Delegation of Power given in

BOQ Item (subject upto +/- 50% Policy Circular (Tech-209/2016)
to limit on total of original dated 02.08.2016 is modified to the
variation) quantity extent given herein.
10.2 New/ Non-BOQ RO Full Powers

Item (subject to upto 10% of
limit on total original (ii). Delegation of Power for
variation) Contract emergent repair works is as given
Value in Policy Circular (9.4.21/2016)
dated 28.11.2016
10.3 Total Variation RO Full Powers
(BOQ + Non-BOQ) upto 15% of
original
1070
Contract
Value
10.4 Extension of Time RO Full Powers

(EOT) upto 50% of
original
Contract
Period
subject to
maximum 6
months
10.5 Sanction of RO Upto Rs. 10

Maintenance Crore per
Estimate (O&M, project
Renewal, SR, etc) reach per
annum
11 Contractual Member Payable Delegation of Power given in Para-

Disputes: Decision Concerned Amount (A)(8.1) of Policy Guidelines
to accept or (without (2.1.22/2017) dated 01.06.2017 is
challenge DRB interest) modified to the extent given herein
recommendation/ upto Rs.
Arbitral Award / 10Cr.
Court Order
(decision taken by Executive Payable
NHAI Board in its Committee Amount
meeting held on (without
17.08.2017) interest)
above Rs.
10Cr.
(B) Delegation of Power for signing of Letter of Intent (LOI), Concession Agreement,
Substitution Agreement and Escrow Agreement in respect of BOT Projects88
After the award of a project to a Concessionaire has been approved by the Competent
Authority, CGM/GM of the concerned Technical Division shall (i) issue Letter of Intent
(LOI) to the Concessionaire (ii) Sign the Concession Agreement with the
Concessionaire without further putting up files to the Chairman for approval.
The Concessionaire submits the Executed Substitution Agreement and Escrow

Agreement which are checked by Financial Consultant with reference to the standard
formats provided in the Concession Agreement. After checking, the Finance Division
forwards these documents to the concerned Technical Division for signing. If there is
no variation in these documents with respect to the standard formats, the CGM/GM of
the concerned division shall sign these documents on behalf of NHAI without any further
approval from Chairman. Only when there is a variation between these documents and
the standard formats, approval of Chairman may be sought before signing these
documents.
88
1071
(C) Signing of the Concession Agreement/ Contract Agreement strictly as per the
RFP documents89.
All the General Managers are advised to exercise due care at the time of signing of
Agreement and shall ensure that the Concession Agreement/ Contract Agreement is strictly as
per the RFP documents.
II: Appraisal of projects- Certificate regarding technically sanction of proposals

submitted to Ministry for appraisal/approval-reg90.
There are three stages for approval of various proposals being considered in the
Ministry, namely: Technical sanction, financial sanction and administrative approval. At
present, there is no formal mechanism for technical sanction/vetting of the NHDP proposals
executed by NHAI and no specific technical sanction is used by NHAI for projects.
(II) In this context the following has been decided:
(i) Before submitting any proposal for approval in Ministry, the same shall be ‘technically
appraised’ by NHAI, for which delegation of power for NHAI projects will be as under:
Sr. Particulars Extent of Delegation To whom Delegated

w.r.t Civil Cost
No.
1. Technical level at Up to Rs. 100 Crore GM (T)

which appraisal
2. for the project to Above Rs. 100 Crore CGM (T)
be accorded. and upto 1000 Crore.
3. Above Rs. 1000 Crore. Member Concerned
(III) The SFC/EFC memo must include information on scrutiny and acceptance of DPR in
NHAI at appropriate level. A certificate in this regard along-with the prescribed 24 point
checklist shall also be submitted to Ministry for appraisal/approval of Proposals.
III: Criteria for PPPAC approval91

As per policy regarding approval of projects by the PPPAC the following milestones
should be achieved before a project is submitted for approval of PPPAC:-
(i) Notification under section 3(A) of NH Act should have been issued for at least 90% of
the land area required for the project and
(ii) The total area of land in possession together with the area notified under section 3(D)
of NH Act should be at least 60% of the area required for the project.
It is further stated that criterion as stated in SI. No. (i) above together with the criterion
as per S No (ii) above are required to be met before a project is considered for PPPAC
approval.
89
NHAI Circular No. 18.17 issued through Tech-191/2015 Dated 15.12.2015
90
NHAI Circular No. 18.21/2017 dated 18.01.2017
91
NHAI Circular No. 8.1.16 vide NHAI/11013/DGM(LA/Coord)/Circular/2013/1 (66/2006) dated
07.01.2013
1072
IV: Conditions for invitations of Bids for Award of Projects92
In view to achieve the annual targets for finalisation of project for implementation, a
need is felt to finalise the DPR project alignment and accelerate activities of land acquisition
and clearances etc. on one hand where proceeding with the bid process in parallel. In order to
accelerate both activities in parallel, commitment from RO will be essential so that there is no
mis-match in the timelines in obtaining land acquisition and clearances in the field and bid
process in HQ. Accordingly commitment from ROs shall be taken on assessment of timelines
for fulfilling the Condition Precedent, based on which the bid shall be processed. It shall be the
endeavor of ROs and PDs to pursue with the concerned agencies to fulfill the commitments
regarding Condition Precedents well in time for project award.
(ii) Accordingly the Competent Authority has decided to follow the following timelines as
per the table below:
Conditions for invitation of Bids for Award of Projects
Sr. Activity
No. Land Acquisition status for EPC Projects
1. (i) 3 ‘A’ proposal has been processed by RO to HQ.

(ii) Within 45 Days, 60% of 3D shall be achieved by RO/PD. Commitment of RO/PD
shall be taken for achieving this within 45 Days.
2. Utilities: Utilises to be shifted, shall be identified and estimate shall be prepared.
3. Statutory Clearance:
(i) Stage-I Forest Clearance proposal, wherever applicable, should have been
applied (uploaded) :
(ii) Environment Clearance obtained, if required.
Conditions for Receipt of Bid
1. (i) Sanction of Competent Authority for the project shall have been obtained.
(ii) 60% 3D achieved
(iii) 3G commenced; 3G=10%
Conditions for Award of Projects:
1. Land Acquisition Status:
Condition precedent fulfilled/commitment for fulfillment by RO/PD so as to achieve

Appointed Date as per the Concession/Contract Agreement or MoRTH extant circular
applicable for Appointed Date.
(i) Environment Clearance Obtained, if required.

(ii) Forest stage-1 clearance obtained.
(iii) ROB approval are in advance stage to achieve well within the timelines of RFP
3. Bid for IE/AE to be initiated along with the civil work bid.
92
NHAI Policy Circular no. 18.26/2017 dt. 13.09.2017
1073
(iiii) Member concerned may decide invitation of bid on case to case basis based on likely
achievement of above conditions base on RO commitments.
V: Dispensation of physical submission of Bid in various procurement methods

- Amendment to RFP clauses - Reg93.
Authority in its 135th Meeting (Agenda item 135.15) held on 17.01.2019 decided that the bids
on all modes should be received online including Bid Security, Application Cost, POA etc. and
the requirement of submission of bids in physical form before bid due date for declaring the
bids responsive should be dispensed with immediately. In compliance to Authority’s decision,
physical submission of following documents on or before Bid Due Date is dispensed with:
a. Offline payment for cost of tender documents i.e Demand Draft etc.
b. Original of Bid Security Bank Guarantee
c. Original Power of Attorney for signing the bid
d. Original Power of Attorney for lead member of the JV, if any
e. Original joint bidding Agreement for JV, if any,
f. Original of Integrity Pact,
g. Original of experience certificates apostle at foreign origin, if any
II) Instead;
a) Bidders shall make online payment for cost of tender documents
b) Bidders shall upload copies of all document listed at para 1 (a to g) above while
submitting the bid online.
c) Technical & Financial evaluation of bid and declaration of result shall be done
based on the documents received online after confirmation of Bid Security BG
from the issuing Bank and payment for cost of tender in Authority’s Account.
d) The successful bidder shall be asked to submit originals of all documents listed
at para I(b to g) above before issuance of LOA.
e) The successful bidder (including or any individual or any of its Joint Venture
Members) failing to submit the original documents required as per para 2 (d)
above shall be unconditionally debarred from bidding in NHAI projects for a
period of 5 years.
f) In case L-1 Bidder fails to submit the originals as per para 1(b to g), the bidding
process shall be annulled and Tenders shall be re-invited.
VI: Insertion of the Clause regarding Digital Signatory in Notice Inviting tender
document94 - In this regard, it has been decided to treat the Digital Signature of both the
persons i.e. person granting Power of Attorney (POA) and the person holding POA as
responsive.
93
NHAI Circular No. 9.1.11 Vide Policy No. 9.1.11/2019 Dated 06.06.2019
94
1074
VII: Evaluation of RFQ and legalization of power of attorney in respect of foreign

applicant member reg95.
Consequent upon the discussions held in the 302th Weekly Meeting held on 20th August 2008,
it has been decided that in case of consortium involving Indian and foreign applicant member,
the Power of Attorney (POA) for signing of applications and for lead member of consortium, if
executed and issued overseas, then the document shall have to be legalized by the Indian
Embassy in the country concerned and notarized in the jurisdiction where the POA is being
issued. However, any deficiency observed in POA at RFQ stage should not render the
applicants non-responsive and same may be insisted at the subsequent RFP stage.
96
VIII: Procurement of NHAI Projects on BOT (Toll/Annuity) under PPP Mode
For the purpose of determining the VGF or Annuity payout as the case may be, only
the PPPAC approved TPC is to be taken into account. In case, increase in TPC due to
justifiable reason(s), the prior approval of PPPAC to the revised TPC is required to be
taken mandatorily in appraisal to determine the revised/enhanced VGF or Annuity
payout.
IX: Regarding replies being given by Technical Divisions as ‘As per RFP’ in
response to the pre-bid queries in various contracts (BOT/HAM/EPC/TOT,
etc.)97.
It has been observed that while giving the replies to the pre-bid queries most of the
times the replies are given by Technical Divisions as ‘As per RFP’ which does not convey clear
view of the Authority to the Bidders.
(ii) Henceforth, while giving the replies to the pre-bid queries, answers should not be given
as ‘As per RFP’ at all. Instead, the provisions of the clauses in the bid documents should be
clearly explained in the reply in order to avoid any ambiguity leading to litigation at a later date.
X: Assessment of existing commitments of prospective bidders in respect of

clause 2.2.2.1 of standard RFP for EPC projects98.
Reference clause 2.2.2.1 of Standard RFP for EPC projects, after issuance of NHAI
Policy Circular No. 11.32/2021 dated 07.12.2021 and in supersession of NHAI Policy
Matters: Technical (67/2006) dated 06.06.2006, Executive Committee in its 505th
meeting has decided that all works for which bidder has emerged as the winner of the
bids shall also be considered while calculating value of existing commitment. EC
further decided following for calculation of value of existing commitment of a bidder
for EPC projects:
(1) In case the existing commitment pertains to HAM project then the project shall be
considered under the scope of bidder unless bidder has submitted the relevant
documents supporting that another EPC contractor has been engaged for execution
of EPC works.
95
NHAI Circular No. 9.1.5 Vide 11041/218/2007 (TECHNICAL 17/2008) Dated 25.8.2008 & MoRTH
Circular no. RW/NH/37010/4/2010/EAP-Vol(IV) dt. 30.04.2020
96
97
NHAI Policy Circular no 18.58 dated 17.11.2020
98
1075
(ii) Contract value of HAM projects may be taken as 'Awarded Bid Project Cost/1.20'
for calculation of value of existing commitment.
XI: Engagement of Financial Consultant for Projects to be implemented on

EPC Mode – Maintenance of Roster99
Finance Division will appoint the financial consultant as per roster in accordance with the
roster register to be maintained in EPC Finance division from the empaneled list of Financial
Consultants considering the following guidelines: -
a. In case of fresh allotment of EPC project into a number of packages: - Only one package
may be allotted to the existing financial consultant and the remaining packages may be
allotted to the other financial consultant as per the roster maintained in Finance division.
b. In case the project is/are restructured from BOT (Toll)/BOT (Annuity)/OMT to EPC
mode: - One package may be allotted to the original financial consultant and remaining
packages will be allotted to the other Financial Consultant as per the roster maintained
in Finance Division.
c. Execution of Contract Agreement: - Concerned Technical Division shall execute a

Contract Agreement with the Financial Consultant so appointed as per roster by
defining the scope of work and TOR as per earlier practice and also as per earlier vetted
format of Contract Agreement with same rates, terms and condition as mentioned in
the RFP.
d. Since, presently Authority i.e NHAI has adopted a single stage two-part system
(referred to as the “Bidding process”) for selection of Bidder for award of the project
under EPC mode and in the process of evaluation, financial consultants are to
undertake all the activities of RFQ and RFP evaluation, accordingly, the revised Stages
now will be in four (4) numbers of stages covering 100% fixed cost of Rs. 6.00 lacs plus
applicable Service Tax as per following details: -
Stage Particulars of work to be done by the FC % Payable
I Preparation/Evaluation of bidding documents i.e RFQ & 30%

RFP
II Preparation of EPC Documents 15%
III Evaluation of RFP 25%
IV Preparation of final EPC documents for signing of 30%

agreements
e. No repetition payment should be allowed in respect of EPC project, since, MoRTH has
already developed the model RFP and no major changes are permissible except
change in the name of Projects, Length etc.
XII. Amendment of Technical Specification Clause 305.8100
Different interpretations have been made to the Technical Specification Clause 201 with
regard to the provision of clearing and grubbing by the Contractors, Engineers, DRB and
99
NHAI Circular No. 9.1.10 Vide 11014/11/2016-HR I (9.1.10/2016) Dated 27.12.2016
100
NHAI Circular No. 9.1.6 Vide 11041/218/2007 (TECHNICAL 21/2008) Dated 11.11.2008
1076
Arbitrators. As a result, there are many arbitration awards in favour of the Contractors, which
are being contested by NHAI.
It has now been decided that it should be clarified to all concerned that clearing and grubbing
item is deemed to include backfilling upto a thickness of 150 mm. Therefore, no separate
payment for earthwork to the extent of 150mm thickness is payable. Accordingly, Technical
Specification Clause 305.8 shall be amended as follows for all future contracts.
Clause 305.8 : Add the following at the end of the first paragraph
“The original ground level referred to above shall mean the actual levels obtained after the site
is cleared and grubbed plus a thickness not exceeding 150mm to account for the incidental
item of backfilling after clearing and grubbing as per Clause 201 of the specifications to bring
back the ground level to the original level which was existing before start of clearing and
grubbing”. The original ground level referred above shall be same as the OGL referred in
Clause 109.6
XIII. Guidelines for acceptance and award of single tenders- reg101.
Ministry of Finance, Department of Expenditure vide circular No. F.1/1/2021-PPD dated

29.10.2021 has pointed out that re-bidding has costs: firstly the actual costs of re-tendering;
secondly the delay in execution of the work with consequent delay in the attainment of the
purpose for which the procurement is being done; and thirdly the possibility that the re-bid may
result in a higher bid. Lack of competition shall not be determined solely on the basis of the
number of Bidders. Even when only one Bid is submitted, the process should be considered
valid provided following conditions are satisfied:
d) The procurement was satisfactorily advertised and sufficient time was given for
submission of bids;
e) The qualification criteria were not unduly restrictive; and
f) Prices are reasonable in comparison to market values.
2. In view of above, it has been decided that in case only a single bid is received by the
due date of receipt then the same shall be accepted if the rates are reasonable & workable
and the process is valid as per para 1 above with the compliance of validity of process
recorded in writing.
XIV. Public Procurement Policy for Micro and Small Enterprise (MSEs) – Reg102.
Secretary, Ministry of Micro, Small and Medium Enterprises, Govt. of India, New Delhi
vide letter No.21(15) 2012-MA dated 9th January, 2014(Annexure ##- A) has requested for
taking appropriate measures for effective implementation of the Public Procurement Policy for
Micro and Small Enterprise policy and setting up a monitoring mechanism to review the same.
(ii) Public Procurement Policy for Micro and Small Enterprises (MSEs) was notified by the
Government under Micro, Small and Medium Enterprises Development Act, 2006 and it came
into effect from 01.04.2012. The policy mandates that at least 20% of the total annual
procurement of goods and services shall be made by all Central Ministries/ Departments/
Central Public Sector Undertakings (CPSUs) from the Micro and Small Enterprises (MSEs).
Within this mandated percentage, a sub target of 4% (of total procurement) is to be made from
101
NHAI Policy circular no 18.78/2022 dt. 18.02.2022
102
NHAI Policy circular no 18.16 through Circular no NHAI/CMC/Misc./2014 dated 18.03.2014
1077
MSEs owned by SC/ST Entrepreneurs.
(iii) Also, it has been informed that OM No. DPE /7(4) /2007-Fin dated 16.08.2013 of Ministry
of Heavy Industries and Public Enterprises, Department of Public Enterprises has been issued
for effective Implementation of this policy. This OM communicates about the decision with
respect to:
(I) Award of appropriate weightage in MOU of CPSEs for the year 2014-15 for
implementation of this policy.
(II) Publishing information regarding implementation of this policy by CPSEs in the
Annual Public Enterprises Survey from 2012-13 onwards.
(iv) For effective implementation of the policy all PDs/ROs/NHAI-HQ officials are required
to ensure compliance of guidelines of MSEs in procurement works as applicable.
(v) Also PDs may ask the concessionaire under their jurisdiction, to consider the
procurements from MSME Entrepreneurs, if the required specification/supply schedule are met
by these Entrepreneurs.
(vi) The monitoring of the above guidelines is also required to be ensured by concerned
Regional Officers of field units of NHAI/CGM(T)s in HQ under their jurisdiction A centralized
report for compliance of various provisions of the Policy has to be sent by CMC Cell to the O/o
DC-MSME, Ministry of MSME, 7th Floor, Nirman Bhawan , New Delhi being Nodal of Office of
the policy, for which compliance report shall be made available by respective ROs for
procurements at field units and CGM (T)s for procurements at NHAI,HQ to CMC Cell on
quarterly basis.
XV. Deletion of Provision of Underground Tunnels at Toll Plazas103.
Toll Plazas are being constructed at designated points of National Highways for
collection of fee from the road users. In order to avoid miscreant activities and attack on the
toll creators to snatch cash, the provision of underground tunnel was introduced.
(ii) In the present scenario electronic toll collection through FASTags is going to be
mandatory for all vehicles. Further, Government is keen on moving to a system wherein 100
percent of the toll collected is through FASTag and no cash handling at toll plazas. Hence, toll
booths for handling cash will eventually get obsolete.
(iii) In view of above, it has been decided to stop making provision of tunnels at the toll
plazas from ongoing as well as future NH projects.
(iv) All technical divisions may accordingly make required amendments in their bidding
documents. Further, in case of works already awarded but work of tunnels completed is less
than 70%, notice for negative change of scope may be initiated with respective contractors/
concessionaires.
(v) All technical divisions shall issue suitable instructions to DPR/ Feasibility consultants
also for all DPRs/ Feasibilities under preparation.
XVI. Consolidated Instruction regarding Global Tender Enquiry (GTE) under Rule
161 (iv) of General Financial Rules (GFRs) 2017 upto Rs. 200 Crores and for
103
NHAI Policy circular no 18.64/2021 dated 08.01.2021
1078
relaxation on Global Tender Enquiry for procurement of raw materials–

Reg104.
(A) MoRTH vide Letter No. NH-35014/20/2020-H dated 07.07.2021 has forwarded a copy
of Department of Expenditure’s OM No. F.4/1/2021-PPD dated 30.06.2021 on the above
subject. A copy of the same is placed at Annexure ##-B for information and compliance.
(B) MoRTH vide Letter File No. G-20016/03/2020-TF-II dated 21.02.2022 has forwarded a
copy of Department of Expenditure’s OM No. F.4/1/2021-PPD dated 14.02.2022 on the subject
of relaxation on Global Tender Enquiry for procurement of raw materials. A copy of the same
is placed at Annexure ##-C for information and compliance.
XVII. Reduction of contingency charges for the execution of National Highways

works-reg105.
MoRTH vide Letter No. A-12025/1/2020-NHIDCL (Pt.) dated 10.08.2021 has decided that
henceforth contingency charges for the execution of all National Highways related works will
be levied @ 1% of the civil cost component instead of existing 2.8%. This shall apply to all
estimates whether original or revised. This change in the contingency charges will be effective
from 10.08.2021. Projects which have already been cleared by SFC/ EFC/ PIB will not be
affected by this decision. This is for information and compliance.
XVIII. Standard operating procedure to debar/penalize/declare as Non-Performer

the Contractor/Concessionaire in National Highways and other centrally
sponsored road projects.106
It has been noticed that in many cases there are lapses on the part of the
Contractor/Concessionaire in fulfilling contract provisions during development period,
construction period and O&M Stage that lead to delay/acceptance of sub-standard works
leading to premature distress/failure during construction.
2. In order to ensure construction of roads as per standard and specifications laid down in
contract/concession agreements and to avoid project delays, it has been decided to
debar/penalize/declare as Non-Performer the Contractors/Concessionaires for their lapses in
National Highways and other centrally sponsored road projects as detailed herewith in the
same lines as issued vide MoRTH circular File No.RW/NH-33044/76/2021-S&R(P&B) dated
06.10.2021 & 04.01.2022.
Sl. Type of Deficiency Action to be taken
No. against Contractor/concessionaire
1 Failure to set up institutional Declaring the contractor / concessionaire as
mechanism and procedure as per non- performer till institutional mechanism
contract. and procedure is properly set up as verified by
the Nominated Officer.
104
NHAI Policy Circular No. 18.72/2021 dated 31.08.2021 & 18.80/2022 dated 11.03.2022
105
NHAI Policy Circular No. 18.71/2021 dated 31.08.2021
106
NHAI Policy circular no 16.11/2021 dated 16.11.2021, IT Division OM File No 13057/01/2021/IT
dated 10.12.2021 & 16.14/2022 dated 31.01.2022
1079

2 Fails to complete or has missed Declaring the contractor / concessionaire as
any milestone and progress not non- performer till milestone is achieved or
commensurate with contiguous project is completed as certified by the
unencumbered project length /ROW Nominated Officer.
available even after lapse of 6 months
from respective
project milestone/Schedule
Completion date, unless Extension of
Time has been granted due to
Authority’s Default or Force Majeure.
3 Fails to achieve progress Declaring the contractor / concessionaire as
commensurate with funds released non- performer till progress commensurate
from Escrow Account (Equity + Debt + with funds released is achieved as certified by
Grant) in BOT or HAM project and the Nominated Officer.
variation is more than 25% in the last
365 days.
4 Fails to achieve the target progress or Declaring the contractor / concessionaire as
complete the project as per schedule non- performer till completion of project or
agreed at the time of sanctioning of achievement of project target as certified by
funds under One Time Funds Infusion the Nominated Officer.
(OTFI) or relaxations to contract
conditions to improve cash flow solely
on account of concessionaire’s
failure/default.
5 (a) Fails to complete rectification Declaring the contractor / concessionaire as
(excluding minor rectifications) as per non- performer till rectification(s) is
time given in non-conformity reports completed.
(NCR) in design/ completed
works/maintenance or reported in
Inspection Reports issued by Quality
Inspectors deployed by the Authority or
Officers of the Authority.
(b) Fails to complete minor
rectifications exceeding 3 instances in
a project not completed as per time
given in non-conformity reports (NCR)
in design/completed
works/maintenance.
6 Fails to start the work or causes delay Declaring the contractor / concessionaire as
to maintenance & repair/overlay of the non- performer till it is completed as certified
project. by the Nominated Officer.
7 Fails to complete Punchlist items even Declaring the contractor / concessionaire as
after lapse of time for completion of non- performer till punch list items are
such items excluding delays completed as certified by the Nominated
attributable to the Authority. Officer.
1080

8 Occurrence of minor failure of Rectification by contractor/concessionaire at
structures/highway due to its own cost + penalty of 5% of contract value
construction defect wherein no of failed/defective work or 0.5% of contract
causalities are reported. value of whole work whichever is more and
[Causalities include injuries to human written warning.
being or animals] The key personnel (head of the structures in
case of failure occurred on structures or head
of Pavement/Highways in case of pavement
failure) may be kept on watch list for any
future recurrence besides issuing written
warning.
The rectification shall be certified by the
Nominated Officer.
9 Occurrence of major failure of Rectification by contractor/ concessionaire at
structures/highway due to its own cost and/or debarment up to 1 year
construction defect wherein no or till completion of instant work whichever is
casualties are reported. higher in NH or centrally sponsored road
[Causalities include injuries to human works + penalty of 5% of contract value of
being or animals] failed/defective work or 0.5% of contract value
of whole work whichever is more.
The key personnel (head of the structures in
failure) will be removed from the project and
debarment of concerned key personnel up to
2 years in NH or centrally sponsored road
works.
Nominated Officer.
10 Occurrence of major failure of Rectification by contractor/ concessionaire
structures/highway due to construction at its own cost and/or debarment up to 3
defect leading to loss of human lives years or till completion of instant
besides loss of reputation of the work, whichever is higher in NH or centrally
Authority etc. sponsored road works. In addition, penalty of
10% of contract value of failed/defective work
or 1.0% of contract value of whole work,
whichever is more.
debarment up to 3 years in NH or centrally
sponsored road works.
Nominated Officer or a 3 member Committee.
1081
3. Nominated officer shall be the GM(T) of the adjoining division. Frequency of reporting
shall be monthly by PD, based on which RO shall report to Member on action to be taken on
contractors/concessionaire.
4. Amendments shall be made in the provisions of Model Request for Proposal (RFP)
document for NHs and other centrally sponsored road works proposed to be implemented on
EPC, HAM & BOT(Toll) mode of contract as per Annexure ##-D.
5. Before deciding a contractor/concessionaire as Non-Performer or debarring/penalizing
it, the concerned Technical Division shall issue a notice to the contractor/concessionaire by
giving 15 days' time to furnish its written reply and allow personal hearing if so desired by the
contractor/concessionaire before Member concerned. Such a notice shall not be issued without
the approval of an officer not below the rank of Chief General Manager. In case of projects
where public safety is endangered by the behavior/conduct/action of the
consultant/contractor/concessionaire, the authority may temporarily suspend the
consultant/contractor/concessionaire from participating in ongoing/ future bidding upto 1 month
period during which the regular process of debarment shall be concluded.
6. Concerned Technical Division Chief General Manager, NHAI (HQ) are Competent
Authority for certifying the report submitted by Nominated Officer regarding completion of the
rectification.
7. The competent authority for approval of penal action is Chairman, NHAI and the
firm/individuals on which penal/deterrent action is taken may represent to the “Reviewing
authority” against the action/penalty imposed. The “Reviewing Authority” is the Secretary,
Road Transport & Highways.
8.1 Upon declaration of non-performer/debarred, the Contractor/Concessionaire will not be
able to participate in any bid for National Highways projects with MoRTH or its executing
agencies till such time the debarment persists or the Contractor/Concessionaire is removed
from the list of non-performers. In bidding for a particular project, bids from only such firms
should be considered for placement of contract, which are neither debarred on the date of
opening of tender nor debarred on the date of issue of Letter of Acceptance (LoA). Contractors
concluded before the issue of the debarment/declaration as non-performer order shall not be
affected by the debarment order(s) issued subsequently.
8.2 In case, any debarred/declared non-performer firm submits the bid, the same will be
ignored. In case such firm is lowest (L-1), next lowest firm shall be considered as L-1. Bid
security submitted by such debarred/declared non-performer firms shall be returned to them.
8.3 Debarment/declaration as non-performer of a particular firm shall automatically extend to

all its allied firms. In case a joint venture/ consortium is debarred, all partners/members shall
stand debarred for the entire period.
9. Upon declaration of non-performer/debarment of any agency (i.e.

Contractor/Concessionaire) concerned division/ ROs/ PDs shall upload the details of same in
Data Lake and also notify the details to Contract Management Division through e-office for
maintaining the record/data related. Concerned Division shall also notify Contract Management
Division if there is any change in non-performer/debarment status of any agency. Contract
Management Division will act as a Nodal Division and upload the details of Non-performing/
debarred agencies debarred by other government entities on Data Lake. It is clarified that
concerned division are responsible for uploading the details of Non-performing/ debarred
agencies pertaining to their division on Data Lake. Contract Management Division being a
1082
Nodal Division with the help of IT Division shall make sure that list of Non-performing/ debarred
agencies is available on NHAI website.
XIX. Appraisal of PPP projects- Standard parameters for financial analysis of

BOT(Toll), BOT(Annuity), HAM, TOT, InviT mode of projects.
Reference directions of MoRTH vide OM no. NH-37017/1/2010-H dt. 19.01.2010 and letter nos
RW/NH-37011/67/2011/PP dt. 08.09.2011, RW/NH-37011/02/2010/PPP (Vol II) letter and OM
both dt. 16.11.2011 & NH-37012/09/2009-H dt. 16.06.2014 and Corrigendum dt. 20.06.2014
and subsequent circulars issued by NHAI vide Circular no. NHAI/11033/CGM(Fin)/2011 dt.
29.04.2011, Corrigendum no 1 dt. 02.05.2011 & Corrigendum no 2 dt. 25.11.2011, Standard
Parameters for adoption by Financial Consultants to bring uniformity in Financial Analysis of
BOT (Toll) and BOT (Annuity) Projects have been prepared. These are based on instructions
issued at different points of time. All Financial Consultants are required to adopt these Standard
Parameters without any exception for finalizing Projects Analysis Any Change in these
Parameters will be notified separately
107
(A) Assumptions for Financial feasibility Analysis of BOT (Annuity) Projects
a) Capital Cost Assumptions
Sl. Head Suggested Assumption Remarks
1. Civil Construction As per the Feasibility report escalated

Cost by 5% per FY upto the start of
construction
2. Construction As per the feasibility report

period
3. Capital As per schedule G of Concession

Expenditure Agreement
Schedule
4. Contingencies108 0% of Civil Construction Cost
5. EPC Cost EPC Cost to be sum of Civil

Construction Cost and Contingencies
i.e., Sl. 1 + Sl. 4
6. IC/Pre-operative
1% of EPC
Expenses
7. Insurance during
0.15% of EPC every year.
Construction
8. Financing 2.00% of Debt, if Civil Cost upto Rs

charges109 500 Crore
107
Presently no project under BOT(Annuity) are being invited on introduction BOT Hybrid Annuity.
108
As per MoRTH Circular No. RW: NH-24036/27/2010-PPP (Pt.) dated 09.05.2018
109
As per Circular dated 16.11.2011 issued by MoRTH and dated 25.11.2011 issued by NHAI
1083
1.50% of Debt, if Civil Cost >500 Crore

but upto 1000 Crore
1.00% of Debt, if Civil Cost is above

1000 Crore
9. Escalation on balance EPC at the start

of an FY compounded 5% every FY
Escalation on actual EPC expenditure
Escalation in EPC in an FY The expenditure in that FY is
during to be assumed to be incurred
uniformly over the complete 12-month
Construction
period and thus such expenditure is to
be further escalated by 5% over 12
month period e.g. in case expenditure
in an FY is 100 cr then the same is to
be incurred as average of 100 and
100* 1+5%) i.e. 102.5 cr
10. Rate of Interest IDC to be calculated

During on the average of
Construction opening and closing
(IDC)110 debt balance for any
FY
SBI MCLR for 3 years + 2% 29.04.2011
16.06.2014 read
with 20.06.2014
Base
Methodology for Calculation of TPC
b) Financing Assumptions
S. Items
No.
1. Civil Construction Cost
2. Contingencies
3. Total EPC Cost = (1+2)
4. IC/Pre-operative Expenses
5. Financing charges
6. Escalation in EPC during Construction
7. Interest During Construction (IDC)
8. Total Project Cost = (3+4+5+6+7)
110
As per Circular dated 16.06.2014 & 20.06.2014
1084
1. Debt-Equity Ratio 70:30
2. Equity Drawdown 25% upfront equity contribution and As per generally

balance in proportion to debt seen requirements of
the lenders
3. Debt Drawdown After spending the upfront equity
4. Rate of interest during SBI MCLR for 3 years + 2%

operations111
5. Moratorium Period for Construction period plus 6 months

Loan Repayment
6. Door-to-door Loan 13 Years

Tenure
7. Loan Repayment Balance Period (Loan Tenor minus

Moratorium Period), to be paid
quarterly in equal installments.
c) Expenditure Assumptions
1. Concession Fee As per the Concession Agreement
2. Periodic Rs. 35 lacs/Km/ 6 Year for base

Maintenance112 year 2011-12 for 4-lane Highway
for Flexible Pavement
Nil for Rigid Pavement
3. Routine Rs. 3.5 lacs/Km/Year for Base Year In year of Periodic

Maintenance113 2011-12 for 4 Lane Highway for maintenance Routine
Flexible Pavement maintenance is not
required.
Rs. 4 lacs/Km/Year for Base Year
2011-12 for Rigid Pavement
4. Other office expenses Rs. 2.50 cr/year for 2010-11
5. Electricity & Patrolling

Rs. 1.25 lacs/Km/year for 2010-11
expenses
6. Insurance 0.15% of TPC/year
7. Inflation on above
expenditures (except
5% per year
Insurance)
111
112
113
1085
8. Adjustment in Above rates are for Four. lane

projects. For Two laning 60% and
Expenditure
for Six Lane 150% of the above are
Assumptions applicable
d) Revenue Assumptions
Sl. Head Suggested Answers Remarks
1. Concession Period 17 Years
2. Annuity Semiannual Annuity Payment
e) Tax & Depreciation Assumptions
Sl. Head Suggested Assumptions Remarks
1. Corporate Tax As per IT Act114
2. MAT As per IT Act43
3. Tax Holiday As per IT Act43
4. Depreciation/Amortization Concession Period minus

Period Construction Period
5. Depreciation/Amortization As per CBDT Circular 09/2014 As amended from

dated 23.04.2014 time to time
(for income tax purposes)
6. SLM Depreciation Equally divided in whole

depreciation/Amortization period
f) Assumptions for Key Indicators:
1. {Gross Profit — Tax}- {Project

Outflow-IDC}
Where,
Project Cash Flow for
Project IRR Project Outflow= Capital
Calculation Expenditure (including Debt and
Equity)
PAT = Profit After Tax
Discount rate for

2. calculation of NPV of 12%
Project Cash Flows
114
As per MoRTH Circular no NH-37012/09/2009-H dt. 16.06.2014 & 20.06.2014
1086
Cash Flows for Equity

{PAT + Depreciation- Loan
3. Holders for Equity IRR
Repayment} — {Equity Outflow}
Calculation
DSCR in any year = (PAT +
Depreciation + Interest Payment) /
(Loan Repayment + Interest

Payment)
Average DSCR = Sum of Loan

Debt Service
Repayments & Interest Payments
4. Coverage Ratio
during Loan Tenor / Sum of PAT,
(DSCR)
Depreciation and Interest
Payments during Loan Tenor
Minimum DSCR = Minimum value

among Annual DSCRs during Loan
Tenor
Maximum Equity IRR 18% (in difficult

Assessment for areas having Law & Order problems,
5.
Semiannual Annuity securities inhospitable terrain, Equity
IRR can go upto 21%)
1087
(B) Assumptions for Financial feasibility Analysis of BOT (Toll) Projects:
a) Project Assumptions
1. Concession period When total-traffic on the Toll Plaza

having the lowest traffic crosses the
road capacity or (b) 30 years
whichever is lower
Or, in case above is not yielding an

Equity IRR of 15% within
permissible Viability Gap Funding
(VGF), concession period to be
extended to achieve 15% equity
IRR subject to a maximum of 30
years.
Concession Period shall be rounded

off to a whole number such that in
that ear capacity is not breached
2. Highway Capacity
Lane Details Capacity in
Plain Areas
(PCUs)
2 Lane with 25,000

Paved
Shoulder
4 Lane 60,000
6 Lane 120,000
Where,
PCU= Passenger Car Unit
However, capacity for specific

cases such as Hilly area would be
separately provided by NHAI.
3. PCU Factors Following table provides PCU

factors for various vehicle
categories. However, in case of any
discrepancy in this table and the
Concession Agreement, provisions
1088
of Concession Agreement shall

prevail.
Fast
Moving/Motor
driven
Cars/jeeps/Utility 1
Vehicles
Mini Buses 1.5
Buses 3
2-Axel Trucks 3
3-AxeI Trucks 3
Light Commercial 1.5

Vehicles (LCV)
Multi-Axle Vehicles 4.5

MA
Heavy Machinery 4.5

Equipment HME
lover sized vehicles
Two Wheelers 0.5
Three 1
Wheelers/Auto
Rickshaw
Agri Tractor without 1.5

Trailer
Agri. Tractor With 4.5

Trailer
Slow Moving/Not
motorised
Cycle 0.5
Cycle Rickshaw 2
Animal Driven 8
Hand driven 3
Others 1
1089
b) Capital Cost Assumptions
1. As per the Feasibility report escalated by

Civil Construction Cost
5% per FY upto the start of construction
2. Construction Period As per the feasibility report
3. Capital Expenditure As per schedule G of Concession

Schedule Agreement
4. Contingencies 0% of Civil Construction Cost115
EPC Cost to be sum of Civil Construction

5. EPC Cost
Cost and Contingencies i.e. Sl. 1 + Sl. 4
IC/Pre-operative
6. 1% of EPC
Expenses
Insurance during
7. 0.15% of EPC every year.
Construction
8. Financing charges116 2.00% of Debt, if Civil Cost upto 500 Crore
1.50% of Debt, if Civil Cost >500 Crore but

below 1000 Crore
1.00% of Debt, if Civil Cost is above 1000

Crore
Escalation on balance EPC at the start FY

of an compounded 5% every FY
Escalation on actual EPC expenditure in

an FY: The expenditure in that FY is to be
Escalation in EPC assumed to be incurred uniformly over the
during complete 12 month period and thus such
9.
expenditure is to be further escalated by
Construction 5% over 12 month period e.g. in case
expenditure in an FY is 100 cr then the
same is to be incurred as average of 100
and
i.e. 102.5
IDC to be calculated
on the average of
Rate of Interest During
10. SBI MCLR for 3 years+2.5% opening and closing
Construction (IDC) 117
debt balance for any
FY
115
As per Circular No. RW: NH-24036/27/2010-PPP (Pt.) dated 09.05.2018
116
117
1090
TPC to be calculated at assessed VGF

amount and 15% Equity IRR.
Calculation of Total
Project Cost UPC) In case assessed VGF amount is more
11.
than the ceiling, TPC is to be calculated at
ceiling VGF amount.

S. No. Items
2. Contingencies
7. Interest During Construction IDC
c) Financing Assumptions
1. Debt-Equity Ratio 70:30 or suitably adjusted to meet

the requirement of Concession
Agreement Article 25 (i.e. grant
should not exceed twice the
equity)
2. VGF (as % of TPC) Upto 40% in Phase III and Phase

IV Projects and upto 10% in
Phase V projects
3. Equity Drawdown In case of VGF : 100% upfront As per Article 25 of

equity the Concession
Agreement for VGF
In case of no VGF : 25% of cases.
upfront equity contribution and
balance in proportion to debt Non VGF cases as
per generally seen
requirements of the
lenders

1091
5. VGF Drawdown As per the provision of Article 25

of Concession Agreement
6. Rate of interest SBI MCLR for 3 years+2.5%

during operations118
7. Moratorium Period for Construction Period plus 6

Loan Repayment months

Tenure
9. Loan Repayment Balance Period (Loan Tenor

minus Moratorium Period) to be
paid quarterly in equal
installments.
d) Expenditure Assumptions
Sl Head Suggested Assumption Remarks
As per the provisions of Concession

1. Premium
Agreement
Rs. 1.60 cr./Toll Plaza/ Year for 1.25crores/toll

Toll Plaza and O&M 2010-11 plaza/year in 2005-06
3.
Expenses escalated to 2010-11
by 5% pa
4. Periodic Maintenance119 Rs. 35 lacs/Km/ 6 Year base year

2011-12 for 4-lane Highway for
Flexible Pavement
Rs. 3.5 lacs/Km/Year Base Year In year of. Periodic

2011-12 for 4 Lane Highway for maintenance Routine
5. Routine Maintenance120 Rs. 4 lacs/Km/Year Base Year required

118
119
120
1092
Electricity & Patrolling

7. Rs. 1.25 lacs/Km/year for 2010-11
expenses
8. Insurance 0.15% of TPC/ year
Inflation on above
9. expenditures 5% per year
Insurance (except
Adjustment in Above rates are for Four lane

10. Expenditure for Six lane 150% of the above are
applicable
Assumptions
e) Revenue Assumptions
1. WPI Actual WPI values to be considered, as

available on website of Office of
Economic Advisor. For projections, the
WPI values are to be escalated by 5%
per year
2. Start of Toll collection From Commercial Operation Date

(COD)
3. Traffic growth
5% every year
Rate
4. Discounts to Local Commercial Vehicles registered

Local in the district where toll plaza is located,
Commercial to be tolled at 50% rate. For all future
projects quantum of District Registered
Vehicles121 vehicles shall be worked out on the
basis of actual survey.
5. Traffic Leakage/ Car/Van/Jeep @ 10% and other

Traffic that will not vehicles @5%. For Stretches under toll
use Highway122 operation, no leakage shall be
considered.
6. Exempted Car/Van/Jeep @ 3% of revenue and

Vehicles123 other vehicles @Nil.
121
As per NHAI circular dated 25.11.2011.
122
123
1093
For Stretches under toll operation, no

leakage shall be considered.
f) Tax & Depreciation Assumptions
1. Corporate Tax As per IT Act
2. MAT As per IT Act
3. Tax Holiday As per IT Act

5. Depreciation/Amortization As per CBDT Circular 09/2014 dated As amended

23.04.2014 from time to
(for income tax purposes) time

g) Assumptions for Key Indicators

Outflow-IDC}
Where,
Equity)
Discount rate for

Project Cash Flows
Cash Flows for Equity {PAT + Depreciation- Loan

3. Holders for Equity
IRR Calculation Repayment} — {Equity Outflow}

Debt Service
4. Coverage Ratio
(DSCR) (Loan Repayment + Interest
Payment)
1094


Tenor
Assessment of VGF / At 15% Equity IRR

5.
Premium
Summary of Toll Policy
1. Calculation of User As per National Highways Fee

Fee (Determination of Rates and
Collection) Rules, 2008 as amended
from time to time
2. WPI Series Latest WPI Series to be used as

available on the website of Office of
Economic Advisor
(www.eaindustry.nic.in)
C) Hybrid Annuity Model for Implementing Highway Projects124
The Competent Authority considered the above-mentioned proposal of this Ministry on

27' January, 2016 (Case No. 5/CCEA/2016). Now, National Highway Projects are also
to be implemented on the Hybrid Annuity Model as one of the modes of delivery. This
model is a variant of PPP and may be adopted for projects not viable on BOT (Toll)
mode.
II. Salient features of the Model are as follows: -

i. The project concessionaire shall be selected through an open, transparent and
competitive bid mechanism.
ii. Bid Parameter - Life Cycle Cost (Net Present Value (NPV) of the quoted Bid
Project Cost + NPV of the O&M Cost for the entire Operations period) shall be
the bid parameter.
iii. Cash Construction Support of 40% of Bid Project Cost shall be payable to the
concessionaire by the Authority in five equal instalments linked to project
completion milestones.
124
MoRTH Circular No. NH-24028/14/2014-H (Vol-II) dt. 09.02.2016
1095
iv. Concessionaire shall have to initially bear the balance 60% of the project cost
through a combination of equity and debt and construct the project highway.
v. Semi-annual annuity payments shall be made to the concessionaire by the
Authority on completion of the project for the balance 60% of the project cost.
The annuity payments have been aligned with typical revenue profile for highway
projects. Along with the annuity payments, interest shall be paid on reducing
balance of cost. Interest Rate for the same shall be average of one-year MCLR
of top 5 Scheduled Commercial Banks125 plus 1.25 percent.
vi. Project costs shall be inflation indexed (through a Price Index Multiple),.which is
the weighted average of Wholesale Price Index (P) & Consumer Price Index for
Industrial Workers (CPI) (W) in the ratio of 70:30.
vii. Concessionaire shall remain responsible for the maintenance of the project till
the end of the concession period.
viii. Toll collection shall be the responsibility of the Authority.
ix. O&M payments shall be made to the concessionaire by the Authority, in
accordance with the amount quoted which will be inflation indexed Concession
Period shall comprise construction period, which shall be project specific and
fixed operations period of 15 years.
x. The appraisal & approval mechanism for projects under the Hybrid Annuity
Model shall be the same as the existing procedure for highways projects in PPP
mode.
For example, a project with a cost of Rs 1000 crores taken up through the above model would
have the following basic parameters:
i. Project Cost - Rs 1000 crores

ii. Construction Support by Authority - Rs 400 crores
iii. Balance Project Cost required to be funded by the concessionaire - R$ 600 crores
iv. Debt and Equity requirement (assuming a 70:30 Debt: Equity ratio)
a. Equity required - Rs 180 crores (as against Rs 300 crores under the
conventional BOT(Toll) mode)
b. Debt required -Rs 420 crores (as against R 700 crores under the conventional
BOT(Toll) mode)
III. The following block-diagram provides an overview of the Model.
IV. The project implementing Authority shall source the expenditure requirements- for the
construction period to the tune of 40% of the project cost and also for the operations
periods for the annuity payments from the resource available with them including (a) the
budgetary allocation; and (b) market borrowings as permitted by Ministry of Finance.
V. It is clarified that BOT (Toll) mode still remains the default and the preferred mode of
delivery for national highway projects.
D) ToT Projects-
(To be inserted when issued)
E) Projects to considered through InvIT-
125
As per MCA 10.11.2020 (The Authority shall declare the list of Top 5 Scheduled Commercial Banks
on 1st September every calendar year based on the balance sheet size as declared in their annual reports.
The 1-year MCLR of the top 5 Scheduled commercial banks shall be taken at the start of every quarter
1096
Annexure-A
1097
1098
1099
1100
1101
1102
1103
1104
1105
Annexure -B
1106
1107
1108
1109
Annexure-C
1110
1111
Annexure-D
1112
1113
1114
1115
1116
1117
1118
1119
1120
1121
1122
1123
1124
1125
1126
1127
1128
1129
1130
1131
1132
Appendix
Sr. Particulars Policy No. Date Remarks
No.
(A) Head 08: Public Private Partnership - Sub Head 08.1: Procurement/ MCA
8.1.1 Guidelines for acceptance Tech-66/2006 17.05.200 Superseded

and award of single 6 vide policy
tenders. circular no
18.78 dt.
18.02.2022
8.1.2 Decision taken in the 23rd Tech-15/2008 01.08.200 Obsolete in

Weekly Meeting held on 8 view of
11.06.2008 Standard
O&M
document
issued vide
Policy Matter
Tech(213/201
6) dt
01.09.2016
8.1.3 Handing Over of Tech-20/2008 13.10.200 Obsolete as

Completed 4-laned/6- 8 there is no
laned Sections to Corridor Corridor
Management Division. Management
Division as on
date
8.1.4 Problem related to the Tech-25/2009 22.04.200 Obsolete as

repair of road and using 9 these
mechanical aids such guidelines
mechanized cutters and were project
hot mix propelled in the bid specific
document.
8.1.5 The ongoing project award Tech-26/2009 04.05.200 Obsolete in

process. 9 the light of
Policy circular
no 18.78 dt.
18.02.2022
8.1.6 Approval of bids for the Tech-46/2010 22.01.201 Obsolete in

award of works. 0 the light of
Policy circular
no 18.24 dt.
21.08.2017
8.1.7 Amendments in RFP (Vol. 11.2.2010-Clarific 17.03.201 Obsolete as

1) vide Circular dated 0 same has
been
incorporated
1133

No.
11.02.2010-Clarifications- in Model
Reg Concession
Agreement
8.1.8 Submission of documents Tech-54/2010 26.04.201 Obsolete in

with RFQ Application – 0 light of single
Clarification – stage bidding
Corrigendum – reg. process and
online
submission of
documents
8.1.9 Procurement of NHAI Tech-63/2010 01.07.201

Projects on BOT 0
(Toll/Annuity) under PPP
Mode: Total Project Cost
(TPC) thereof.
8.1.1 Adjustment of Cost of RFQ 30.11.201 Obsolete in

0 Document 0 light of single
stage bidding
process
8.1.1 Approval of Bids for award Tech-75/2011 31.03.201

1 of works under BOT 1
(Annuity) mode.
8.1.1 Opening of Bids 05.09.201 Obsolete in

2 1 view of
instructions
given in
Section 3 of
Model RFPs
8.1.1 Delegation of Power for A/F-85/2012 20.07.201

3 signing Letter of Intent 2
(LOI), concession
Agreement, Substitution
Agreement and Escrow
Agreement.
8.1.1 Delegation of Power A/F-83/2012 16.7.2012 Obsolete in

4 during intermediate stages the light of
in Pre-qualification of Policy circular
Bidders in procurement of no 18.24 dt.
PPP Projects. 21.08.2017 &
single stage
bidding
process
1134

No.
8.1.1 Award of Annuity Projects Tech-102/2012 21.05.201

5 by NHAI. 2
8.1.1 Criteria for PPPAC 07.01.201

6 approval. 3
8.1.1 Pre-appraisal meeting in 22.05.201 Obsolete as

7 Planning Commission 4 planning
commission is
no longer
there.
8.1.1 Appraisal of PPP projects- 20.06.201

8 standardize the 4
formulation and appraisal
parameters –reg.
8.1.1 Delegation of powers for Tech-178/2015 27.05.201 Superseded

9 approval of bids for award 5 vide Policy
of works under EPC/Item circular no
rate mode, OMT projects 18.24 dt.
and collection of user fee. 21.08.2017
8.1.2 Approval of BOT (Toll) Tech-216/2016 19.09.201 Superseded

0 bids for award of works. 6 vide Policy
circular no
18.24 dt.
21.08.2017
8.1.2 Delegation of power for Tech-197/2016 15.02.201 Superseded

1 approval of bids for award 6 vide Policy
of works under Hybrid circular no
Annuity mode. 18.24 dt.
21.08.2017
8.1.2 Adherence to the time line Tech-199/2016 26.02.201 Obsolete in

2 stipulated in the RFQ 6 the light of
document for PPP single stage
projects. bidding
process
8.1.2 Promotion of Special Task 8.1.23/2017 24.07.201 Obsolete in

3 Force to monitor timely 7 the light of
procurements: Projects fact that the
balance for award and activities
project awarded but mentioned in
appointed date not yet the circular
given. are
monitored by
1135

No.
the Technical
Division and
EC Meetings.
(B) Head 09: Public Funded - Sub Head 09.1: Procurement

9.1.1 Inclusion of Bonus for Tech.-47/2005 16.2.2005 Obsolete as
early completion into the provision
Standard Bidding of Bonus has
Document for the Civil been
Work Contracts for NHDP incorporated
Phase-II in Standard
Bidding
Documents
9.1.2 Guidelines for acceptance Tech.-66/2006 17.5.2006 Superseded

and award of single vide policy
tenders. circular no
18.78 dt.
18.02.2022
9.1.3 Evaluation of bid capacity Tech.-67/2006 06.6.2006 Superseded

for EPC Contracts (NHAI vide policy
funded)-reg. circular no
9.1.12 dt.
10.03.2022
9.1.4 Monitoring of Project Tech.-4/2008 14.1.2008 Obsolete as

Directors working with CM there is no
Division and review of Corridor
progress of O & M Management
activities Division as on
date
9.1.5 Evaluation of RFQ and Tech.-17/2008 25.8.2008

legalization of power of
attorney in respect if
foreign applicant member
reg.
9.1.6 Incorporation of Tech.-21/2008 11.11.200

agreement item in future 8
works.
9.1.7 Delegation of powers for Tech.-131/2013 08.4.2013 Superseded

approval of bids for award vide Policy
of works under EPC/Item Circular Tech
1136

No.
rate mode, OMT projects (198/2016) dt.

and Collection of User fee. 15.02.2016
9.1.8 Consideration of RFAQ – 19.3.2014 Obsolete in

2013 results declared by view of fact
MoRT&H in the RFQ of that for EPC
EPC projects of NHAI – projects new
Regarding. RFP has
been issued
on March,
2019
9.1.9 Revision in Delegation of Tech.-198/2016 15.2.2016 Superseded

Powers for approval of vide policy
bids for award of works circular no
under EPC/Item rate. 18.24 dt.
21.08.2017
9.1.1 Engagement of Financial 9.1.10/2016 27.12.201 Retained

0 Consultant for Projects to 6
be implemented on EPC
Mode – Maintenance of
Roster-reg.
9.1.1 Dispensation of physical 9.1.11/2019 06.06.201 Retained

1 submission of Bid in 9
various procurement
methods - Amendment to
RFP clauses - Reg.
9.1.1 Assessment of existing 9.1.12/2022 10.03.202 Retained

2 commitments of 2
prospective bidders in
EPC projects subsequent
to issue of NHAI Policy
Guidelines No. 11.32/2021
dated 07.12.2021 to the
extent of clause 2.2.2.1 of
standard RFP for EPC
projects
(C) Sub Head 10.2: Administration of consultancy contracts
10.2.2 Finalization of Extension of 10.2.25/ 2020 28.09.202 Merged with

5 Time (EOT) and Change 0 18.24/2017
of Scope (COS) proposals dated
in Consultancy Contracts – 21.08.2017 to
Reg. the extent of
1137

No.
para 1 of this
circular
(C) Head 16: Miscellaneous Guidelines
16.1 Guidelines on removing a Tech-14/2008 21.07.200 Obsolete in

contractor from the list of 8 view of policy
non-performing circular no
contractors 16.11/2021 dt.
16.11.2021
16.2 Revised criteria for Tech-76/2011 18.05.201 Obsolete in

assessment of 1 view of policy
performance of circular no
contractors/ 16.11/2021 dt.
concessionaire 16.11.2021
16.4 Assessment of 04.07.201 Obsolete in

performance of contractor/ 3 view of policy
concessionaire circular no
16.11/2021 dt.
16.11.2021
16.5 Deterrent action against Tech-144/2013 19.12.201 Obsolete

defaulting consultants- 3
Standing Committee of
CGMs reg
16.6 Revised criteria for Tech-193/2015 31.12.201 Obsolete in

Assessment of 5 view of policy
Performance of circular no
Promoter/Consortium 16.11/2021 dt.
Member of 16.11.2021
Concessionaire.
16.7 NHAI to review the 16.7/2016 02.01.201 Obsolete

progress of the Project 7
"Two laning with paved
shoulders of
Nagapattinam Thanjavur
Section of NH-7 in the
state of Tamil Nadu"
16.8 Updating/maintaining on 16.8/2017 22.12.201 Obsolete in

NHAI website the lists of (i) 7 view of policy
Debarred/Blacklisted circular no
Concessionaires/Contract 16.11/2021 dt.
ors, Consultants & 16.11.2021
Individuals; and (ii)
1138

No.
Contracts terminated by
NHAI for defaults of
Concessionaires/
Contractors/Consultants.
16.10 Updating/maintaining on 16.10/2019 03.04.201 Obsolete in

NHAI website the lists of (i) 9 view of policy
Debarred/blacklisted circular no
Concessionaires/Contract 16.11/2021 dt.
ors, Consultants & 16.11.2021
Individuals; and (ii)
Contracts terminated by
NHAI for defaults of
Concessionaires/
16.11 Standard operating 16.11/2021 16.11.202 Retained

procedure to 1
debar/penalize/declare as
Non-Performer the
Contractor/Concessionair
e in National Highways
and other centrally
sponsored road projects.
16.14 Standard operating 16.14/2022 31.01.202 Merged with

procedure to 2 Policy circular
debar/penalize/declare the no 16.11/2021
Contractor/Concessionair dt. 16.11.2021
e as Non-Performer in
National Highways and
other centrally sponsored
road projects
(D) Head 18: Miscellaneous Guidelines
18.5 Circular regarding 13.09.201 Superseded

approval of 2 vide Policy
recommendation of the circular no
Evaluation Committee 18.24 dated
21.08.2017
18.16 Public Procurement Policy 18.03.201 Retained

for Micro and Small 4
Enterprise (MSEs) – Reg.
18.17 Signing of the Concession Tech-191/2015 15.12.201 Retained

Agreement/ Contract 5
1139

No.
Agreement strictly as per

the RFP documents.
18.18 Insertion of the Clause Tech-212/2016 30.08.201 Retained

regarding Digital Signatory 6
in Notice Inviting tender
document – Modification
regarding.
18.21 Appraisal of projects- 18.21/2017 18.01.201 Retained

Certificate regarding 7
technically sanction of
proposals submitted to
Ministry for
appraisal/approval-reg.
18.24 Delegation of Power in 18.24/2017 21.08.201 Retained

implementation of the 7
Projects.
18.25 Delegation of Power in 18.25/2017 06.09.201 Merged with

implementation of the 7 policy circular
Projects:- Composition of no 18.24/2017
Evaluation Committee for dt. 21.08.2017
selection of Consultants
reg.
18.26 Conditions for invitations 18.26/2017 13.09.201 Retained

of Bids for Award of 7
Projects.
18.27 Revised Delegation of 18.27/2017 27.09.201 Merged with

Powers for 7 policy circular
approval/release of no 18.24/2017
compensation. dt. 21.08.2017
18.32 Revised Delegation of 18.32/2018 02.07.201 Merged with

Power in award of EPC 8 policy circular
Projects. no 18.24/2017
dt. 21.08.2017
18.34 Regarding Opening of 18.34/2019 29.03.201 Superseded

Single bid received in 3rd 9 vide Circular
call after no response in no 18.78/2022
first two calls- Reg. dated
18.02.2022
18.35 Revised Delegation for 18.35/2019 29.03.201 Merged with

award of projects on EPC 9 policy circular
& HAM Mode – Reg.
1140

No.
no 18.24/2017
dt. 21.08.2017
18.58 Regarding replies being 18.58/2020 17.11.202 Retained

given by Technical 0
Divisions as ‘As per RFP’
in response to the pre-bid
queries in various
contracts
(BOT/HAM/EPC/TOT,
etc.).
18.60 Delegation of Power in 18.60/2021 05.01.202 Merged with

implementation of the 1 policy circular
Projects no 18.24/2017
dt. 21.08.2017
18.64 Delegation of Provision of 18.64/2021 08.01.202 Retained

Underground Tunnels at 1
Toll Plazas.
18.71 Reduction of contingency 18.71/2021 31.08.202 Retained

charges for the execution 1
of National Highways
works-reg.
18.72 Consolidated Instruction 18.72/2021 31.08.202 Retained

regarding Global Tender 1
Enquiry (GTE) under Rule
161 (iv) of General
Financial Rules (GFRs)
2017 upto Rs. 200 Crores
– Reg.
18.78 Guidelines for acceptance 18.78/2022 18.02.202 Retained

and award of single 2
tenders- reg.
18.80 Relaxation on Global 18.80/2022 11.03.202 Merged with

Tender Enquiry (GTE) 2 policy circular
under Rule 161 (iv) of no
General Financial Rules 18.72/2021
(GFRs)s 2017 for dt.
procurement of raw 31.08.2021
materials – reg.
(E) Other Circulars

1141

No.
1 Appraisal of PPP projects- NH-37017/I/2010-H 19.01.201 Merged with

standardize the 0 circular dt.
formulation and appraisal 29.04.2011
parameters
2 Assumptions for Financial NHAI/11033/CGM(Fin)/2 29.04.201 Retained

Analysis of BOT(Annuity) 011 1
Projects/ BOT(Toll)
Projects
3 Assumptions for Financial NHAI/11033/CGM(Fin)/2 02.05.201 Superseded

Analysis of BOT(Annuity) 011 1 vide MoRTH
Projects/ BOT(Toll) circular No.
Projects-Corrigendum 1 NH-
37012/09/200
9-H dt
16.06.2014 &
20.06.2014 to
the extent of
assumptions
for financial
viability for
MAT and
costing of
structures
taken care of
in NH Fee toll
rules
4 Standard Parameters for MoRTH Circular no. 16.11.201 Merged with

financial Analysis of BOT RW/NH- 1 circular dt.
(Toll) And BOT (annuity) 37011/02/2010/PPP(Vol.I 29.04.2011
projects. I)
5 Assumptions for Financial NHAI/11033/CGM(Fin)/2 25.11.201 Merged with

Analysis of BOT(Annuity) 011 1 circular dt.
Projects/ BOT(Toll) 29.04.2011
Projects-Corrigendum 2
6 Appraisal of PPP projects- NH-37012/09/2009-H 16.06.201 Merged with

parameters
7 Appraisal of PPP projects- NH-37012/09/2009-H 20.06.201 Merged with

parameters
1142

No.
8 HYBRID ANNUITY MoRTH Circular No. NH- 09.02.201 Merged with

MODEL FOR 24028/14/2014-H (Vol-II) 6 circular dt.
IMPLEMENTING 29.04.2011
HIGHWAY PROJECTS –
reg.
9 Provision of Contingencies MoRTH Circular No. RW: 09.05.201 Merged with

for arriving at the Total NH-24036/27/2010-PPP 8 circular dt.
Project Cost/Estimated (Pt.) 29.04.2011
Project Cost in BOT
(Toll/Hybrid Annuity Mode
Projects)
10 Provisions in Data Lake File no 13057/01/2021/IT 10.12.202 Merged with

Portal for publishing single 1 Policy circular
point list of all Debarred/ no 16.11/2021
Non-performer/ dt. 16.11.2021
Blacklisted Contractor/
Concessionaire,
Consultants (DPR/ AE/IE/
Safety/ Proof) and its
common dissemination to
all Tech Div in NHAI for
regular updates.
1143
Section: 8.2. Financial Close / Conditions Precedent
Sub Subject
section
I. Non availability of Forest Clearances/Wild Life

Clearances for on going BOT (Toll) Projects affecting the
issue of Completion Certificate/COD by NHAI.
II. Guidelines on the process to be followed for declaring

Financial Close of all PPP Projects.
III. Miscellaneous
1144
I: Non availability of Forest Clearances/Wild Life Clearances for on going BOT

(Toll) Projects affecting the issue of Completion Certificate/COD by NHAI 126
In certain BOT (Toll) projects, project completion is getting delayed as NHAI is not able to
handover certain part of project land for want of Forest Clearance/Wild-Life Clearance/Non
availability of land due to 3D not being notified. In such cases, Clause 16.6 of Concession
Agreement can be referred, wherein that portion of project length can be deleted from Scope
of Project.
In this scenario NHAI has to complete the portion subsequently through EPC contract when
the clearance is obtained, and it may not be convenient to toll the length subsequently.
NHAI and the Concessionaire can opt for the mutually agreed steps with consultation with
NHBF.
1. When the affected portion of the Project Highway is handed over to the Concessionaire
before the Scheduled Date of Completion of the Project, the Concessionaire shall
construct the affected project highway wherein the construction period of same shall be
evaluated in proportion to construction schedule of the total project highway.
2. In case the affected portion of the project highway is handed over after the Scheduled
Completion Date, the Concessionaire shall complete the construction of the affected
project highway wherein the construction period of the same shall be evaluated in
proportion to the construction schedule of total project highway plus a suitable period
for mobilization to be mutually agreed between two parties.
Following clarifications are also explained:
(i) The escalation, as applicable for each case, shall be calculated on the basis of the
principle provided in the Annexure (attached with the circular).
(ii) Provisional Completion Certificate shall be issued by Independent Engineer/NHAI for
portion completed and Concessionaire shall be permitted to do partial tolling on
completed portion.
(iii) If the revised completion schedule goes beyond six months of the scheduled completion
date, escalation shall be admissible.
(iv) The Concessionaire shall continue the maintenance of the entire stretch including the
portion for which clearance is awaited as pe the Concession Agreement during the
construction period. For maintenance period beyond schedule completion date, NHAI
shall bear the routine maintenance costs. Major maintenance costs, if required, the cost
be borne equally by NHAI and the Concessionaire.
(v) Payment of grant by NHAI shall be reduced proportionately on basis of cost of work in
affected portion till the portion is handed over to the Concessionaire. No interest is
payable by NHAI on the delayed grant.
In case of premium payable by the Concessionaire, it shall be reduced proportionately
as well on the basis of cost of work in the affected portion.
In order to give effect to above mentioned provisions, a Supplementary Agreement shall be

concluded with the Concessionaire. In which Concessionaire shall provide undertakings to
forgo any claims on the Authority under Clause 16.6, 35.2, 4.2 and any other Clause of the
Concession Agreement for delay in handing over of affected Stretch.
126
Policy Circular No. No. 122/2013 dated 17.01.2013
1145
II: Guidelines on the process to be followed for declaring Financial Close of

all PPP Projects127
The guidelines mentioned in Circular 8.2.9.2021 dated 03.06.2021 supersedes the Standard
Operating Procedure (SOP) approved by NHAI on 17.01.2018.
1. Process to be followed for Financial Close:

a. Concessionaire shall submit relevant documents for the Financial Close along
with a cover Letter in the format specified in Annexure ‘A’ (attached in circular)
b. Concessionaire shall submit a copy of the letter from lender/Lenders’
Representative addressed to the Authority in the format attached at Annexure ‘B’
(attached with circular)
c. The documents will be submitted to concerned GM(F) who shall acknowledge, in
the form f a letter noting the financial close, on next working day. (Format
mentioned in Annexure ‘C-1’ of circular)
d. If the amount of Financial Close achieved is not as per threshold prescribed in the
Concession Agreement (in case of HAM Projects), the same will be returned on
next working day for meeting the threshold requirement as per draft attached as
Annexure ‘C-2’ (attached with Circular)
2. Delegation of Power
The following delegation of powers is approved:
a. For acceptance of documents and taking note of Financial Close without any
deviation, with any interpretational issues, and within the time limit set for Financial
Close prescribed in Concession Agreement. – CGM (F)
b. For acceptance of documents beyond the time limit prescribed in the Concession
Agreement with or without payment of damages – Member (F) on recommendation
of concerned Member
c. In any other cases – Chairman, NHAI
127
Policy Circular No. No. 8.2.9/2021 dated 03.06.2021, 8.2.10/2022 dated 19.01.2022
1146
III: Miscellaneous128
1. With approval of Competent Authority, all CGM’s of Regional Offices are authorized to
sign the State Support Agreement (as per approved format) on behalf of NHAI with the
respective State Government.
2. It is clarified that the Concessionaire is obliged to open an Escrow Account prior to the
Appointed Date and the opening of Escrow Account is not be linked with Financial Close
3. In the 94th Board Meeting of Authority on 14/05/2013, it was decided to provide an

extension of 180 days w.e.f 14.05.2013 for submission of performance security.
128
Policy Circular No. No. 11041/278/2009-Coord dated 16.12.2009, 60/2010 dated 16.06.2010,
NHAI/CGM(F&A)/2013 dated 29.05.2013
1147
Appendix A
S.
Circular No. Date Subject
No
1. 11041/278/2009-Coord 16.12.2009 Signing of State Support Agreement
2. 60/2010 16.06.2010 Procurement of NHAI Projects on BOT

(Toll/Annuity) under PPP Mode: Opening of
Escrow Account – Clarification thereof
3. 122/2013 17.01.2013 Non availability of Forest Clearances/Wild
Life Clearances for on going BOT (Toll)
Projects affecting the issue of Completion
Certificate/COD by NHAI
4. NHAI/CGM/(F&A)/2013 29.05.2013 Non-fulfillment of conditions precedent under
the Concession Agreement – delay in
submission of Performance Security
5. 8.2.9/2021 03.06.2021 Guidelines on the process to be followed for
declaring Financial Close of all PPP Projects
6. 8.2.10/2022 19.01.2022 Guidelines on the process to be followed for
declaring Financial Close of all PPP Projects
1148

Section: 8.3. Concession Administration
Sub Subject
section
I. Claims of the Concessionaires/Contractors in the ongoing

BOT/EPC Projects timelines for processing of extension or
damages cases for completion of various milestones on BOT
Projects under PPP mode
II. Contract Agreements (EPC Works) / Concession Agreements
(BOT/Annuity Projects) / Consultancy Agreements for
Feasibility Study & DPR/ Supervision Consultancy and
Agreements for Independent Consultancy Services - Authorized
Representative of Employer (NHAI)
III. Creation & maintenance of Master Files for BOT projects in

electronic form
IV. Guidelines for timely decision/settlement of issues related to

projects
V. Monitoring of Traffic on the Project Highway and various

facilities under DBFOT (Toll/ Annuity)/ OMT Projects
VI. Issuance of Completion Certificate or Provisional Completion

Certificate in respect of PPP Projects.
VII. Operation and Maintenance of PPP Projects on BOT

(Toll)/Annuity mode during Operation Period.
VIII. Securitization of future cash flow in BOT (Annuity)/BOT(Toll)

Projects
IX Establishment of Rational-cum-Pragmatic Settlement Approach

for calculating the amount of damages to be imposed on the
Concessionaire of BOT (Toll/Annuity) projects on account of
delay in periodic maintenance work.
X Relief Measures to the BOT (Toll) Concessionaires from the

impact of COVID-19
XI Guidelines for determination of Cost of Change of Scope (COS)/

Reduction in Scope (RIS) due to Withdrawal of works/
Alteration(Change/omission in existing item) in Works in Hybrid
Annuity Mode (HAM) Projects- Applicable Schedule of Rates,
Design Charges, Maintenance Charges regarding
1149
Sub Subject
section
XII HAM Projects - SoP for removing from the scope of work the
remaining site not provided to Concessionaire within the period
of the Appointed Date plus 20% of construction period (CP).
XIII Guidelines for determination of Cost of Change of Scope (COS)/

Reduction in Scope (RIS)/ Withdrawal of works/Alteration
(Change/omission in existing item) in Works in DBFOT Projects-
Applicable Schedule of Rates, Design Charges and
Maintenance Charges
XIV Relief to the OMT Concessionaires relating to force majeure in

the concession agreement due to COVID-19
XV Relaxation in the Change of Ownership clause in Hybrid Annuity

Model (HAM) Projects after 6 months of completion
XVI Policy Circular on forceful stoppage of toll collection at toll

plazas on NH due to Farmer's Agitation. - Relief to be provided
to BOT (Toll) concessionaires
XVII Permitting 100% equity divestment after two years of

construction completion for all BOT projects irrespective of year
of award
XVIII Expenditure to be taken into account while considering a

proposal for releasing Performance Security in reference to
Article 9.3 of Model Concession Agreement (MCA) of Hybrid
Annuity Mode (HAM) projects.
XIX Hybrid Annuity Model (HAM) Projects – Waiver of damages to

the Concessionaires for delay in submission of the Performance
Security BG or achieving the Financial Close for the cases
where the Authority was not in a position to hand over RoW.
XX Possession and control of all materials, stores, implements,

construction plants and equipment on or about the Site of Plant
& Machinery at site by the Authority after termination of
Concessionaire/ Contractor in BOT & EPC Projects.
1150
8.3: Concession Administration
I. Claims of the Concessionaires/Contractors in the ongoing BOT/EPC

Projects timelines for processing of extension or damages cases for
completion of various milestones on BOT Projects under PPP mode129
A) The Project Directors of all the Project Implementation Units will have to inform
regarding the claims of the Concessionaires/ Contractors in the ongoing BOT/EPC
Projects, as applicable, to NHAI HQ along with their preliminary comments within a
week from the receipt of such claims, if any.
B) The following timelines for processing of extension or damages cases for

completion of various milestones on BOT projects, wherever these are not specified
and not in contravention of the provisions of the Concession Agreement, are given
below:
1. The Concession Agreement prescribes the Project Completion Schedule

including the project milestones. At the time of the scheduled completion of each
milestone or project and in any case not later than 28 days before expiry of
the specified date for completion of each such milestones or project, the
Independent Engineer (IE) duly considering the obligations of the
Concessionaire & the Authority and Force Majeure Events, if any, as provided
in the Agreement shall give his self-contained recommendations substantiated
with supporting details on damages or extension of Project Completion
Schedule with or without extension of the Concession Period. In case of
extension, IE shall also give his recommendations on the costs to be borne by
either of the parties, if any.
2. Project Director, in-charge PIU along with his specific comments, if any, shall
forward the recommendations of IE to CGM/ RO within 14 days on receipt from
IE. CGM/ RO in turn shall along with his specific comments forward the same to
NHAI HQ within a further period of 14 days to be reckoned from the date of
receipt from PD, PIU. NHAI HQ shall convey the decision on such cases within
28 days on receipt of the recommendations from CGM / RO concerned.
3. The above timelines are inclusive of time required for seeking clarifications /
supporting documents for examination of such cases. The timelines shall be
strictly adhered to.
II. Contract Agreements (EPC Works) / Concession Agreements

(BOT/Annuity Projects) / Consultancy Agreements for Feasibility Study &
DPR/ Supervision Consultancy and Agreements for Independent
Consultancy Services - Authorized Representative of Employer (NHAI)130
Executive Committee in its 74th meeting held on 09.05.2011 decided that General
Manager posted at RO Office and where GM is not posted in RO offices, CGM/RO
129
NHAI Circular No. 8.3.3 issued through A/F-66/2010 vide 11041/217/2007-Admn Dated 6.7.2010 &
8.3.9 vide 11041/218/2007-Admn. dated 30.07.2012
130
NHAI Circular No. 8.3.6 vide 11041/218/2007-Admn. dated 06.06.2011
1151
may be declared as NHAI’s Authorized Representative for all the contracts under
implementation/ to be implemented in that State and all the concerned contractors/
Concessionaires and consultants may be informed accordingly. Any notices as an
Authorized Representative on behalf of NHAI may be issued by GM with the approval
of CGM/RO. However, if CGM feels that the notice is having larger implications /
ramifications and requires approval of Member/ Chairman, he may forward the draft
notice to HQ for specific approval.
III. Creation & maintenance of Master Files for BOT projects in electronic
form131
Keeping in view the long Concession Period of BOT contracts, the requirement of
proper maintenance and upkeep of record is of utmost importance. Proper maintenance
of complete records of projects by officers will help in defending the claims, disputes that
may cause undue financial burden to NHAI.
II. Accordingly, it has been decided that apart from the existing records being
maintained, following Master Files for each BOT project may be created and maintained
in hard copy by taking facsimile copy from original files as well as in softcopy (in PDF
form after scanning the same):
a. Master File 1-All correspondence between IE and Concessionaire.
b. Master File 2-All correspondence between PD/RO and lE.
c. Master File 3-All correspondence between PD/RO and Concessionaire.
III. The Master Files in both hard copy and soft copy formats should be in
chronological order with proper page numbering.
IV. IE must invariably mark a copy of all correspondences with Concessionaire to

PD and RO and similarly all Concessionaires must invariably mark all correspondences
with IE to PD & RO.
V. After creation of the Master Files, a soft copy should be sent by PD to RO office
and similar soft copy to GM (T) HQ along with a certificate regarding completeness of
entire records. Certificate for Master File-1 to be given by IE and that for Master File-2
and 3 to be given by PD. This should be completed within a period of two weeks for the
present records and also ensure updation on monthly basis by respective IEs and PDs
under intimation to respective CGMs (T) in HQ.
VI. While handing over/relinquishing of charge by PDs, transfer of complete records

of projects along with these Master Files shall be ensured by RO office.
IV. Guidelines for timely decision/settlement of issues related to projects132

i. During the course of execution of work, the issues such as change of scope, variation,
extension of time, settlement of disputes etc. are not being settled and these issues
continue to remain pending even for years. Even after the issuance of final/provisional
certificate for commercial operation as per agreement, these issues remain pending
in many Cases.
131
132
NHAI Circular No. 8.3.12 vide 11041/218/2007-Admn (115/2012) dated 11.10.2012 & Modified in
view of policy circular no 8.3.27 (NHAI/CGM(CMC)/2015/1628) dt 24.04.2015
1152
ii. Therefore, henceforth it was decided that the following actions shall be taken by RO
within his delegated power or sent to HQ with his clear cut recommendations for
consideration: -
a) The issues related to change of scope, variations etc. should be dealt with
immediately as and when the situation arises and firmed up before COD.
b) The case related to extension of time should be immediately dealt as per
provisions of the contract and forwarded to the competent authority for decision.
c) The hindrances, if any, for the execution of the work should be removed at the
earliest possible
d) The pending land acquisition process, if any, should be monitored at personal
level so that the land as per provisions of the contract can be made available to
the concessionaire/contractor.
e) The claims/disputes raised by the concessionaire/contractor should be dealt at
top most priority within the stipulated time period as per provisions of the
contract and speaking orders, if required, should be passed to decide the issue.
f) Any omissions on the part of the feasibility/DPR consultant leading to substantial
change in scope or time overrun should be pointed out and reported for the
concerned authority to take appropriate action against that consultant.
V. Monitoring of Traffic on the Project Highway and various facilities

under DBFOT (Toll/ Annuity)/ OMT Projects133
i. Article 29 of MCA indicates the target traffic & target date and provides to modify
the concession period based on the actual average traffic on the target date.
Sub-Article 29.2.3 requires monitoring of average daily traffic in the accounting
year vs design capacity of the project highway. Further, the Concessionaires
are required to submit monthly fee statements (Schedule- M) and weekly traffic
census reports (Schedule-N). These provisions or similar provisions may be
there in various Concession Agreements of DBFOT (Toll/ Annuity)/ OMT
Projects. The provisions also exist for installation of electronic traffic counters
(AVCC) as part of tolling systems (Ref. Standards& Specifications on Toll
Plazas), weigh-in-motion equipment and facilities like ambulance, route patrol,
crane, rest areas, truck lay byes, bus bays, water kiosks, toilets, etc.
ii. Various complaints/ instances on under reporting of traffic, over-charging of fee

rates, not giving concessions/ discounts to local & frequent users, non-
provision/ sub-standard provision and poor maintenance of various facilities
cited above, etc. are being received by NHAI, HQ. In order to monitor various
provisions in the Concession Agreements and compliance of the
Concessionaires, the following mechanism is prescribed, henceforth, for strict
compliance:
a) The provisions of electronic traffic counters (AVCC), weigh-in-motion
equipment, facilities like ambulance, route patrol, crane, rest areas, truck lay
byes, bus bays, water kiosks, toilets etc., as provided in the Concession
Agreement shall be completed before issuing Provisional Completion
Certificate.
b) The traffic reported by the Concessionaires shall be checked once in a month
by the PDs at all the Toll Plazas under their jurisdiction. During such inspections,
133
NHAI Circular No. 8.3.16 vide 11041/218/2007-Admn dated 12.07.2013
1153
PDs may also examine the functioning of AVCC, actual traffic vs traffic projected
in the toll system of the Concessionaire, the system of the Concessionaire to
issue passes to local and frequent users, rates approved/validated by NHAI vis-
à-vis the actual rates charged quality/ standard &maintenance of various
facilities provided by the Concessionaires, etc. PDs shall submit a monthly
report to ROs, beginning from the month ending 30.06.2013, covering the above
aspects.
c) ROs shall review the above reports of PDs and take necessary actions per the
provisions of the Concession Agreements on various deficiencies of the
Concessionaires reported by PDs. ROs shall furnish a quarterly report giving a
summary of the above aspects/ actions taken to Technical Division & CO
Division at NHAI HQ, beginning from the quarter ending 30.06.2013. ROs shall
specifically propose in these quarterly reports about the project highway/Toll
Plazas requiring traffic sampling independently by NHAI (Ref. Article-22 of
MCA) where the traffic on the project highway/ Toll Plaza reached 75% of the
target traffic/ design capacity or ROs have reasonable doubts over the
correctness of the traffic reported by the Concessionaires.
d) At NHAI, HQ, while Technical Divisions shall take necessary action on the
Concessionaires as per the reports of ROs, CO Division shall undertake the
traffic sampling at the locations proposed by ROs and also repeat the traffic
sampling as required, to determine the actual traffic on the project highway.CO
Division shall inform the results to the concerned Technical Division/RO for
taking necessary action as per provisions of the Concession Agreement.
VI. Issuance of Completion Certificate or Provisional Completion Certificate

in respect of PPP Projects134.
A) Ministry of Road Transport & Highways vide Letter No I am directed to refer to NHAI's
letter No. RW/NH-37011/20/2014-PPP dt 20.04.2015 pointed out that clause 14.3 of
Agreement makes it clear that the authority which has to issue the Provisional Completion
Certificate (PCC) or Completion Certificate (CC) is the Independent Engineer (IE). The clause
does not require the IE to seek prior clearance from the NHAI or any other authority for issuance
of the PCC or CC. If the IE is satisfied that the necessary pre-conditions have been fulfilled,
then it can proceed to issue the PCC or CC.
2. In order to streamline the process and bring uniformity in the approach of all the
Independent Engineers dealing with different projects, MoRTH pointed out that it is
imperative that NHAI formulates check-list based guide-lines to be followed by all the IEs
for issue of PCC or CC. The responsibility of ensuring that the provisions of the Concession
Agreement have been complied with shall squarely lie with the IE. The IE is expected to
exercise adequate due diligence while issuing the CC or the PCC. In case of default or any
lapse on the part of Independent Engineer while declaring the PCC or the CC, both the
individual and the respective consulting firm shall be held accountable and action, as
appropriate shall be taken against both the IE and the respective consulting firm.
B) The issuance of Completion Certificate or Provisional Completion Certificate in respect

of PPP Projects was deliberated and it was decided that henceforth the Completion
Certificate/Provisional Certificate for PPP Projects shall be issued by the IE without seeking
134
NHAI Circular No. (i)8.3.24 (169/2014) dt.18.11.2014, (ii) 8.3.25 (MoRTH Circular RW/NH-
37011/20/2014-PPP dt 20.04.2015), (iii) 8.3.26 (NHAI/CGM(CMC)/2015/1628 dt 24.04.2015), (iv) 8.3.27
(NHAI/CGM(CMC)/2015/1628 dt 24.04.2015), (v) 8.3.28 (NHAI/CGM(CMC)/2015/36 dt 22.05.2015), (vi)
8.3.29 (NHAI/CGM(CMC)/2015/75902 dt 21.12.2015)
1154
prior clearance from NHAI or any other Authority as per the relevant provisions of the
Concession Agreement. Further, it was decided vide letter no NHAI/CGM(CMC)/2015/1628 dt
24.04.2015 & letter no NHAI/CGM(CMC)/2015/75902 dt 21.12.2015 that instructions may be
issued by the concerned Technical Division to the IEs appointed for PPP projects under their
jurisdiction as per the letter at Annexure ##- A. Accordingly, all Technical Divisions are
requested to issue the enclosed letter to the IEs appointed for PPP projects under their
jurisdiction.
VII. Operation and Maintenance of PPP Projects on BOT (Toll)/Annuity mode

during Operation Period.135
I. NHAl has been receiving no. of references from the Road Users regarding deficient
maintenance of the Project Highways being maintained by the Concessionaires of the
BOT Projects during Operation Period.
II. The O&M obligation of the Concessionaire stipulated under clause 17.2 of Article-17 of
the Concession Agreement, inter alia, requires that, “The Concessionaire shall procure
that at all times during the Operation Period, the Project Highway confirms to the
maintenance requirements set forth in Schedule-K (the “Maintenance Requirements”)”.
Also there is a provision of levy of damages for not fulfilling the maintenance obligations
along with the Authority's right to take up the remedial measures at the cost of the
Concessionaire. For OMT contracts corresponding provisions are stipulated under
clause 15.2 of Article 15 of the Concession Agreements.
III. Besides a detailed provision has been made for monitoring of 0&M obligations under
Article -19 (Article -16 in case of OMT contracts) including the submission of Monthly
Status Report regarding fulfilment of O&M obligations by the Concessionaire and
Inspection Report by IE along with the procedure to be followed for necessary remedial
measures in the event of the Concessionaire's default.
IV. In this perspective, a need has been felt to advice IE to include an exclusive Chapter in
the Monthly Progress Report for bringing out the deficiencies observed in the
Concessionaire's O&M obligations, remedial action taken, damages recovered and
Authority's intervention, if any, for taking up the remedial measures. All such details
shall also be ensured to be included under the subtitle "O&M Action" for each project
specific website already hosted as a link to NHAI website.
V. It has also been decided to inculcate a sense of competitiveness among the
Concessionaires for better maintenance of the Project Highways through an "Annual
Competition" separately for each category viz. 4-lane BOT (Toll), 4- Lane BOT
(Annuity), 6 Lane BOT (Toll) and OMT. The Concessionaires wishing to participate in
the competition shall be required to send their nomination under the relevant category
along with the supporting details in reference to their performance towards the O&M
obligations during last one year. The Independent Engineer and the respective PD shall
substantiate the Concessionaire's proclamation and recommend the same accordingly
to CGM (CMC) by 31.10.2014.
VI. There shall be 3 prizes for each category for first, second and third position. Also the
Concessionaire, Independent Engineer, Project Director and Manager (Technical) of
the Project shall be felicitated in the Annual Day function of NHAI.
135
NHAI Policy circular no 8.3.22 (Tech-167/2014) dt. 9.10.2014
1155
VIII. Securitization of future cash flow in BOT (Annuity)/BOT(Toll) Projects136
To ameliorate the shortage of equity and improve liquidity of the prospective bidders,
Board/ EC approved the proposal for granting of permission by NHAI to the
Concessionaires of BOT (Toll)/ BOT (Annuity) projects, which have Toll revenues
significantly surplus to the repayment obligations, to raise subordinate loan on the
strength of future surplus cash flows of their operational BOT road projects subject to
the following conditions: -
i. Raising of subordinate loan upto 30% of TPC of NHAI would be allowed only
after COD of the project is achieved in case of 4-laning projects and construction
is completed in case of 6 laning projects.
ii. Repayment of such loan would be the last priority under the waterfall
mechanism of the Escrow Agreement. It would be allowed only after meeting all
kinds of statutory levies/taxes, O&M expenses, concession fee, damages and
other dues of the Authority and Debt Services along with the interest due.
iii. Submission of an undertaking by the Concessionaire that it would not enhance
the amount of the Debt due, Termination payment or any other liability of NHAI
in any manner whatsoever.
iv. Receipt of NOC from the existing lenders of the Project.
v. Receipt of such loan, giving of loan to the parent company. Servicing and
repayment of loan by the parent company and servicing and repayment of the
subordinate loan would be routed through Escrow account of SPV.
vi. Such loans would be used exclusively for investment in road sector projects.
vii. Statutory Auditors of the SPV as well as the Group Company availing the loan
from the concessionaire shall provide the details confirming the name of the
project, the Authority awarding the project, TPC of the project, source of funds
and the amount of the equity invested within three months of availing such loan.
IX. Establishment of Rational-cum-Pragmatic Settlement Approach for

calculating the amount of damages to be imposed on the Concessionaire
of BOT (Toll/Annuity) projects on account of delay in periodic
maintenance work137.
1. Objective:
The NHAI has entered into various concession agreements during the period 2006 & 2007 with
the Concessionaires for implementing the Highway Projects on BOT (Toll)/ BOT (Annuity). As
per various clauses of these concession agreements, Concessionaries have to carry out the
regular periodic maintenance by doing renewal of the wearing surface of the road pavement.
In this Context, it has been observed that there has been slippage on the part of
Concessionaires in carrying out the regular periodic maintenance works as per the specified
timelines.
2. Provisions in Concession Agreement w.r.t. Periodic Maintenance & Damages:
2.1 Clause 2.6.1 of Schedule L: This is applicable for entire Operations Period for the Project
Highway during the entire Concession Period. Various important activities to be carried out
during this stage are:
136
NHAI Circular No. 8.3.14 (NHAI/CGM(F&A)2013 dt 29.05.2013 & 8.3.31 dt 20.09.2017
137
NHAI Policy No. 8.3.32/2018 dt 05.02.2018
1156
(i) Regular periodic maintenance activities:

a) Renewal of the wearing surface of the road pavement once every 5 years;
b) Strengthening course to be provided on 'as required' basis.
2.2 Clause 4.3.1 of Schedule L: The riding quality of the pavement shall be ensured by
satisfying the minimum requirements given hereunder:-
(i) Surface roughness of the Project Highway on completion of construction shall be 2000
mm/km as measured by vehicle mounted Bump Integrator.
(ii) Surface roughness shall not exceed 3000 mm/km during the service life of pavement
at any time. A renewal coat of bituminous concrete shall be laid every 5 years after
initial construction or where the roughness value reaches 3000 mm/km whichever is
earlier to bring it to the initial value of 2000 mm/km.
2.3 Clause 18.12: In the event the Concessionaire does not maintain and /or repair the Project
Highway or a part thereof upto and in accordance with the Specifications and Standards
and/or in accordance with the maintenance programme or the maintenance Manual, and
shall have failed to commence remedial works within 30 days of receipt of notice in this
behalf from NHAI or the Independent Consultant, or the O&M Inspection Report, as the
case may be, NHAI shall, without prejudice to its rights under this Agreement, including
Termination thereof, be entitled to undertake the repair and maintenance of the Project
Highway at the risk and cost of the Concessionaire and to recover the same from the
Concessionaire. In addition to recovery of the aforesaid cost of repair and maintenance by
NHAI, a sum equal to 25% of such cost shall also be recovered by NHAI from the
Concessionaire as Damages. NHAI shall have the right and the Concessionaire hereby
expressly grants to NHAI the right to recover the same directly from the Escrow Account
and for that purpose the Concessionaire hereby expressly authorises NHAI and hereby
gives irrevocable instructions to the Escrow Bank to make payment from the Escrow
Account in accordance with the instructions of NHAI under this clause.
2.4 Clause 18.13: In the event NHAI does not exercise its option to undertake the required
repair and maintenance after expiry of the 30 (thirty) days period stipulated in Clause 18.12
it shall recover damages from the Concessionaire for default in operating and maintaining
the Project Highway in conformity with this agreement. Such Damages shall be payable
after the aforesaid Period of 30 (thirty) days and until the default is cured. The amount of
Damages shall be calculated for each day of default at the higher of the following, namely
(a) RS. 10,000 (Rupees Ten Thousand) and (b) 0.1% (Zero point one percent) of the cost
of such repair as estimated by the Independent Consultant. Recovery of such damages
shall be without prejudice to the rights of NHAI under this Agreement, including Termination
thereof.
2.5 Clause 18.14: If the Concessionaire commences any works for curing any defects or
deficiencies in the Project Highway, it shall complete such works expeditiously in
accordance with Good Industry Practice. If such works are carried out in a manner that
results in a delay of more than 30 (thirty) days as compared to the time required in
accordance with Good Industry Practice, NHAI Shall recover Damages from the
Concessionaire as if a default had occurred under Clause 18.13.
3. Background:
3.1 It is the obligation of the Concessionaire to complete the periodic maintenance within the
specified time frame as mentioned in various contract clauses of Concession Agreement.
1157
3.2 Considering number of similar cases in NHAI wherein Concessionaires have not taken up
the periodic maintenance work in time bound manner, Executive Committee of NHAI in its
327th meeting held on 07.12.2017 decided to issue Standing Operating Procedure in the
subject matter.
4. The Standing Operating Procedure (SoP):
4.1 Concessionaire shall start the periodic maintenance work i.e. renewal of BC whenever the
roughness value anywhere on the Project Highway reaches 3000 mm/Km to bring it to the
initial value of 2000 mm/ Km. However, in case roughness value does not reach 3000
mm/Km anywhere even at completion of every 5 years after initial construction
(Commercial Operation Date), Concessionaire shall complete renewal work before
completion of every 5 years after initial Construction.
4.2 Further, at the time of termination of the Concession Agreement, Concessionaire shall
comply with the Concession Agreement's clauses related to Divestment of Rights and
Interests.
4.3 The amount of damages shall be calculated for each day of default at the higher of the
following:
a) Rs. 10,000 (Rs. Ten Thousand),

b) 0.1% (zero point one percent) of the cost of such repair work as estimated by the
Independent Consultant. For avoidance of doubt, it is clarified that if the renewal work
is started and completed in 4 months' time after the due date, then the damages shall
be calculated for period of 2 months as the damages is applicable on cost of repair work
which is getting reduced on day to day basis when renewal work is being done at site.
30 days cure period shall also be taken into consideration.
4.4 For avoidance of any doubt, the following illustrations may be referred in support of
which diagrammatic representations are enclosed at Annexure ##-B:
Illustrations:
(i) Concessionaire achieves COD on 01.01.2009. Therefore, periodic maintenance is to

be completed by the Concessionaire by 31.12.2013. Concessionaire commences the
renewal work on 01.01.2014 and completes it on 30.07.2014. The total cost of renewal
work is Rs.100.00 crore. Total duration /delay in renewal work is 210 days.
Damages to be recovered is higher of the following:
 Damages = 10000 X (210-30) = Rs.18,00,000/-

 Damages = 0.1% X 0.5 X [1000000000 x (180/210)] X (210-30) = Rs.7,71,42,857/-
(ii) Concessionaire achieves COD on 01.01.2009. Therefore, periodic maintenance is to

work is Rs.100.00 crore. Total delay in renewal work is 210 days. However, the duration
of renewal work is 150 days.

1158
 Damages 10000 X (210-30) Rs.18,00,000/-

 Damages = [0.1% X (60 30) X 1000000000]+
[0.1% X O.5 X 1000000000 X 150] = Rs. 3,00,00,000/- + Rs.7,50,00,000/-
= Rs. 10,50,00,000/-
(iii) Concessionaire achieves COD on 01.01.2009. Therefore, periodic maintenance is to

work is Rs.100.00 crore. Total duration of renewal work is 242 days. Total delay in
renewal work is 210 days.
 Damages = 10000 X (210-30) = Rs.18,00,000/ -

 Damages = 0.1% X 0.5 X [1000000000 x (180/242)] X (210-30) = Rs.6,69,42,148/-
Concessionaire achieves COD on 01.01.2009. Therefore, periodic maintenance is to be

completed by the Concessionaire by 31.12.2013. Concessionaire commences the renewal
work on 30.08.2013 and completes it on 30.01.2014. The total cost of renewal work is
Rs.100.00 crore. Cost of balance renewal work pending on 01.01.2014 is Rs.15.00 crore. Total
delay in renewal work is 30 days. No damages to be recovered.
X. Relief Measures to the BOT (Toll) Concessionaires from the impact of

COVID-19138
Pursuant to Ministry of Road Transport & Highways Office Memorandum No. CoVID-
19/Roadmap/JS(H) /2020 dated 18th May, 2020, nation-wide lock down being declared by
Prime
Minister from 25th March 2020 and accordingly NHAI also suspended toll collection from 26th
March 2020 to 19thApril 2020, representations given by Highways Operators Association of
India (HOAI) and NHBF and thereafter video conferencing held with them, the following
decisions have been made:
i. Extension in Concession Period when it was directed by the Authority to suspend the
collection thereof due to COVID-19 from 26 March 2020 to 19" April 2020: The
Concession Period shall be extended by a period, equal in length to the period during
which the toll collection was suspended by NHAI.
ii. Extension in the Concession Period in the event of partial collection of Fee where the
daily collection is less than 90% (ninety per cent) of the Average Daily Fee:
The Concession Period shall be extended in proportion to the loss of Fee on a daily basis. Loss
of 25% (twenty-five per cent) in collection of Fee as compared to the Average Daily Fee for
four days shall entitle the Concessionaire to extension of one day in the Concession Period.
Average Daily Fee has been defined as under:
138
NHAI Circular No. 8.3.33 dated 26.05.2020
1159
"Average Daily Fee" means the amount arrived at after dividing the total Realizable Fee of the
immediately preceding Accounting Year by 365 (three hundred and sixty five), and increasing
the result thereof by 5% (five per cent);
provided that the Average Daily Fee for any period prior to completion of the first accounting
Year following COD shall be a simple average of the Fee collected every day during the period
between COD and the last day of the month preceding the date on which the event requiring
calculation hereof occurred, and in the event that the Fee payable by any segment of traffic
has not been realized for any reason, an assessment thereof shall be made by the Independent
Engineer to form part of the Average Daily Fee for such period;
The Concession Period in PPP contracts ending on or after 20h February 2020 shall be
extended by not less than three and not more than six months. The period of extension
(between three and six months) may be decided based on the specific circumstances of the
case and the period for which performance was affected by the force majeure events.
iii. Payment of Concession Fee/ Premium when it was directed by the Authority to suspend
the collection thereof due to COVID-19 from 26th March 2020 to 19th April2020:
The Concessionaire shall be exempted from payment of Concession Fee. Since the
Concession Agreement provides for extension of Concession Period, the Concessionaire shall
be required to pay the Additional Concession Fees/premium during the extended period. The
Additional Concession Fee/ Premium during the extended period shall be calculated based on
the provisions of Clause 26.2 of the Model Concession Agreement.
(As per provision of 26.2.2 of the Model Concession Agreement, "The Premium payable under
Clause 26.2.1 shall be deemed to be part of the Concession Fee for the purposes of this
Agreement. ")
iv. Payment of Concession Fee/ Premium In the event of partial collection of Fee where
the daily collection is less than 90% (ninety per cent) of the Average Daily Fee:
In case the Concessionaire is able to collect some user Fee, then the extension of the
Concession Period would take into account the portion of user fee collected and therefore, the
Concessionaire shall be required to pay proportionate Additional Concession Fee/Premium
with respect to the Fee collected by it. Further, it shall pay Additional Concession Fee/ premium
during the extended period, which shall be calculated based on the provisions of Clause 26.2
of the Model Concession Agreement.
v. Applicability of Guideline: The Guidelines are applicable to all BOT (Toll) projects where
the Concessionaire and Authority have entered into a Concession Agreement based
on the Model Concession Agreement. If provisions in the Concession Agreement are
different, the provisions in the Concession Agreement shall prevail. Further all the
requirements of the Concession Agreement and Policy Circular
NHAI/PolicyGuidelines/Concession Fee during subsistence of Force Majeure/2017 No
8.4.16/2017 dated, the 10th August 2017 shall be complied with.
It may be further be noted that invocation of Force Majeure Clause would be held only in a
Situation where the parties to the contract were not in default of the contractual obligations as
on 19 February 2020. Further, the Concessionaire should comply with the conditions/
provisions of Model Concession Agreement for claiming Force Majeure Event.
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XI. Guidelines for determination of Cost of Change of Scope (COS)/ Reduction

in Scope (RIS) due to Withdrawal of works/ Alteration(Change/omission in
existing item) in Works in Hybrid Annuity Mode (HAM) Projects- Applicable
Schedule of Rates, Design Charges, Maintenance Charges regarding139
National Highways Authority of India (NHAI) has adopted Model documents issued by Ministry
of Road Transport & Highways (MoRTH) for procurements of Civil work Contractors and
Concessionaires. Based on its procurement and operation experience, the implementation of
these documents needs more clarity and lesser susceptibility to litigations/conflicts.
ii. These guidelines are being issued in this reference for clarifications on applicable
Schedule of Rates, Design Charges and Maintenance Charges for determination of Cost
of Change of Scope (COS)/ Reduction in Scope (RIS) /Withdrawal of works/Alteration in
Works in Hybrid Annuity Mode (HAM) Projects.
iii. In cases where any specific provisions on COS/RIS are prescribed in the
Concession Agreement, the same shall prevail.
iv. These Policy Guidelines will be implemented strictly from the date of issue of this Policy
Circular for unapproved COS/RIS. In case of COs/RIS already decided, the approved
cost of COS/RIS shall not be reopened on the basis of these guidelines.
v. Schedule of Rates for Change Of Scope (COS)/ Alteration (Change/omission in

existing item) in Works:
a. Schedule of Rates (SOR) for Change in scope shall be as per relevant clause 16.2.2 of
the Concession Agreement.
b. For determination of the cost of Altered component (Change/omission in

specifications/dimensions of existing item), SOR shall be adopted as above. Cost of
Altered component of work shall be determined as difference (net) between the cost for
Altered Work and existing Work as per concession agreement.
c. No Change of Scope shall be executed unless the Authority has issued the Change of
Scope Order. Instructions given during inspections/meetings shall not be treated as
approval to go ahead with execution of COS until formal approval of competent
authority is obtained. Concerned Independent Engineer and Project Director shall be
held responsible for any failure on this account.
vi. Escalation is allowed where completion period is more than 18 month. Under COS, it is
not expected to take up any item, which require more than 18 months. As such, No price
escalation shall be provisioned during construction period of COS/Altered component of
Work.
vii. Design Charges for COS Works: No design charges are normally allowed. However,
in cases involving complex structures and work proposed is not similar to the work in the
original scope, the design charges may be permitted with an upper cap @1% of cost of
such new works as decided by Independent Engineer.
viii. 0&M Cost for COS Works: The maintenance charges shall be applicable as per
clause16.7 of concession agreement.
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ix. Cost and effect of Reduction in Scope (RIS)/Withdrawal of work on the project shall
be done as per clause 16.6 of the Concession Agreement.
XII. HAM Projects - SoP for removing from the scope of work the remaining
site not provided to Concessionaire within the period of the Appointed
Date plus 20% of construction period (CP)140.
As per the HAM Model Concession Agreement (MCA), Right of Way has to be granted
for minimum of 80% of the project length to the concessionaire on or before the Appointed Date
(Refer Clause 10.3.2). Further, as per Clause 10.3.7, the obligation to provide land for 80% of
the site shall mean and imply provision of land that shall enable the Concessionaire to
undertake construction on at least 80% of the length of the project.
II. As per Clause 10.3.4 of the MCA, the Authority shall make best efforts to grant to the
Concessionaire the remaining site included in the Appendix, no later than 90 days from the
Appointed Date. The remaining site not handed over within 180 days from the Appointed
Date, shall be removed from the scope of the work under the provisions of "Change of
Scope".
III. As per Clause 10.3.5, construction works on all lands for which RoW is granted within the
period of the Appointed Date plus 20% of Construction Period (AD + 20% of CP) shall be
completed on or before the Scheduled Completion Date.
IV. As per Clause 16.6.1 of MCA, the Bid Project Cost should be revised as under on account
of remaining site removed from the scope of work as per Para-2 above:
(i) On direction by the Authority, the Independent Engineer to assess the civil cost of the
reduced Scope, as per the schedule of rates applicable on the Bid Due Date.
(ii) The civil cost of the reduced Scope shall be multiplied by the factor as specified in
Clause 16.6.1 to arrive at the estimated cost of reduced Scope.
(iii) The estimated cost of reduced Scope shall then be multiplied by the ratio of Bid Project
Cost to Estimated Project Cost to arrive at the Total Cost of Reduced Scope.
(iv) Upon Reduction of Scope and revision of Bid Project Cost, all references to Bid Project
Cost would mean the revised Bid Project Cost and all the payments would be calculated
as per the revised Bid Project Cost.
V. Clause 14.3.2 of MCA prescribes that "...a Provisional Certificate....may, upon request of
the Concessionaire to this effect, be issued for operating part of the Project, if the
Concessionaire has completed construction of 100% of the Site made available to the
Concessionaire upto the period of AD + 20% of CP. The Concessionaire shall be entitled
to annuities for work completed till Provisional Certificate & COD as per the schedule
provided in Clause 23.6
VI. In view of above provisions, it has been decided that henceforth, the following shall be
ensured:
140
NHAI Policy No. 8.3.35/2020 dt 09.07.2020
1162
(i) Immediately after expiry of the period of AD + 20% of CP, the remaining site of the
project highway not handed over to the Concessionaire shall invariably be removed
from the scope of the work and the Bid Project Cost (BPC) should be revised as per
Clause 16.6.1.
(ii) The arrangement for execution of works in the remaining sites, which were removed
from the scope will be decided on case to case basis, after such sites are procured.
(iii) On completion of construction works by the Concessionaire on all lands for which ROW
was granted within the period of AD + 20% of CP, the Concessionaire is entitled for
Completion Certificate or Provisional Certificate and COD, as per Article-14 & 15. The
Provisional Certificate shall be issued strictly in accordance with Clause 14.3.2 of the
Concession Agreement. The Concessionaire shall be entitled to demand and collect
annuity payments for the work completed till Provisional Certificate & COD as per the
schedule provided in Clause 23.6 based on revised BPC.
(iv) Post reduction in Scope of Work and revised Bid Project Cost, all payments made or to
be made to the Concessionaire including the advances paid shall be suitably adjusted
based on revised BPC and recoveries, if any, shall be made from the payment to be
released on that Payment Milestone immediately succeeding the date of finalization of
Reduction in Scope. No interest shall be charged on excess payment released based
on original BPC.
(v) As a result of reduction in scope, the construction period as envisaged in the

Concession Agreement (refer Clause 12.3 and Schedule G of the MCA) shall not be
reduced and Bonus shall be granted as per Clause 23.5 based on original construction
period referred in the Concession Agreement in the event the Concessionaire achieves
COD on or more than 30 days prior to the Scheduled Completion Date.
XIII. Guidelines for determination of Cost of Change of Scope (COS)/ Reduction

in Scope (RIS)/ Withdrawal of works/Alteration (Change/omission in
existing item) in Works in DBFOT Projects- Applicable Schedule of Rates,
Design Charges and Maintenance Charges141
National Highways Authority of India (NHAI) has adopted Model documents issued by
Ministry of Road Transport & Highways (MoRTH) for procurements of Civil Contractors and
Concessionaires. Based on its procurement and operation experience the implementation of
II. These guidelines are being issued in this reference for clarifications on applicable
Schedule of Rates, Design Charges and Maintenance Charges for determination of Cost of
Change of Scope (COS)/ Reduction in Scope (RIS)/Withdrawal of works/Alteration
(Change/omission in existing item) in Works in DBFOT Projects.
III. In cases where any specific provisions on COS/RIS are prescribed in the Concession
Agreement, the same shall prevail.
141
1163
IV. These Policy Guidelines will be implemented strictly from the date of issue of this Policy
Circular for unapproved COS/RIS. In case of COS/RIS already decided, the approved cost
of COS/RIS shall not be reopened on the basis of these guidelines.
V. No Change of Scope shall be executed unless the Authority has issued the Change of
Scope Order. Instructions given during inspections/meetings shall not be treated as
approval to go ahead with execution of COS until formal approval of competent authority is
obtained. Concerned Independent Engineer and Project Director shall be held responsible
for any failure on this account.
VI. Applicable Schedule of Rate:
(i) Schedule of Rates (SOR) for Change in scope shall be as per relevant clause 16.2.2 of
the Concession Agreement.
(ii) For determination of the cost of Altered component (Change/omission in

specifications/dimensions of existing item), SOR shall be adopted as above. Cost of
Altered component of work shall be determined as difference (net)between the cost for
Altered Work and existing Work as per concession agreement.
(iii) –ve COS/RIS:
a) The Concession Agreement (CA) provides a clear cut timeline for Compliance of
Conditions precedents, which also includes providing ROW for the Project. The land,
which were not provided as per the terms of CA, if de-scoped, the -ve COS for such de-
scoped ROW/stretch should be valued on the SOR applicable on the date of PCOD.
(1st PCOD in case of multiple PCODs; the concession agreement does not provide for
multiple PCODs and multiple PCODs remains only a matter of convenience between
the parties.)
b) In case of ROW for the stretches provided with in the defined timeline of the CA, (-ve)
COS should be valued on the basis of the SOR applicable on the date of issue of written
notice for de-scoping.
c) +ve COS: SOR for COS executed as per due procedures of concession agreement
shall be as on the date of communication of the approval.
VII. Determination of Cost of COS works
a) DBFOT-Toll projects: In case of the DBFOT-Toll projects the Investments are made
by the concessionaires, which are recovered through collection of Toll. During the
project implementation, there may be scenarios when complete site could not be
handed over and PCOD granted for completion of work on the handed over land/ROW.
Depending upon the condition of road, tolling is allowed either for full project length or
for the fully completed project length only:
(i) In cases tolling allowed for full length on construction of main carriageway but work
as per full scope for items other than main carriageway is not constructed, the
collected toll is to be compensated by concessionaire by way of investment through
payments to Authority for-ve COS/RIS.
(ii) In cases tolling is allowed for fully completed part length of project highway then
the -ve COS/RIS cost, for the remaining length not completed and to be de-scoped,
shall be recovered from the concessionaire and loss of expected toll revenue for
that un-tolled length be paid by Authority to concessionaire;
1164
b) DBFOT-Annuity projects: In case of the DBFOT-Annuity projects the Investments

are made by the concessionaires, which are recovered through receipts of Annuities.
During the project implementation, there may be scenarios when complete site could
not be handed over and PCOD granted for completion of work on the handed over
land/ROW, Depending upon the condition of road Annuity payment is allowed either in
full or proportionate to the fully completed project length only:
(i) In cases full Annuity allowed but work as per full scope is not constructed, the
annuity receipts are to be compensated by concessionaire by way of investment
through payments to Authority for -ve COS/RIS.
(ii) In cases proportionate Annuity is allowed for fully completed part length off project
highway then the -ve COS/RIS cost, for the works not done and to be de-scoped,
shall be recovered from the concessionaire and loss of Annuities shall be paid by
Authority to concessionaire,
c) Interest shall be chargeable on the recoverable amount of -ve COS:
(i) if approval for -ve COS is given before PCOD from the date of -ve COS approval
till recovery date
(ii) if approval for ve COS is given after PCOD: from the date of allowing
Tolling/Annuity payment for the section till recovery date,
(iii) Rate of Interest on the recovery amount against ve COS shall be same as per
Concessionaire's Loan Agreement
d) Recovery for -ve COS/RIS shall be made % specified in Concession agreement.

e) Delayed Payment : For delayed payment of ve COS amounts, Interest shall be paid
as per concession agreement, in case it is not defined in Concession agreement, then
interest may be charged SBI 1 year MCLR +2'%.
f) Escalation is allowed where completion period is more than 18 month. Under CoS, it
is not expected to take up any item, which require more than 18 months. As such No
price escalation shall be provisioned during construction period of COS/Altered
component of Work.
g) Design Charges for COS Works: No design charges are normally allowed. However,
in cases involving complex structures and work proposed is not similar to the work in
the original scope, the design charges may be permitted with an upper cap 1% of cost
of such new works as decided by Independent Engineer.
h) Maintenance Charges for COs Works after construction and during Operation &
Maintenance Period:
(i) Maintenance Charges for +ve COS works shall not be paid by Authority to
concessionaire, or shall be recovered by Authority from concessionaire for - ve
COS/RIS unless the change of scope affects the project in terms of
increase/decrease in length of project highway and/or service roads.
(ii) In case the Change of scope proposal for Flexible pavement is arrived due to
increase/decrease in length of project highway and/or Slip/Service roads, then
Maintenance Charge (against ordinary repairs and periodic renewals) @ 1% per
annum of the cost of +ve COS/-ve COS/RIS shall be paid (in case of +ve COS) or
recovered (in case of -ve COS/RIS)
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(iii) In case, the change of scope proposal is for a Major Bridge/flyover/Any major
structure (excluding VUP/PUP/LVUP), Maintenance Charges 0.5% of bridge
proper cost per annum to be paid (in case of COS) or recovered (in case of
COS/RIS) on yearly basis at the end of each accounting year.
(iv) In case of Rigid Pavements, for change of scope proposals, till 10 years from the
date of Project completion no maintenance charges shall be paid. After10 years,
5% of COS cost shall be paid (in case of +ve COS) or recovered (in case of -ve
COS/RIS) against panel replacement and major repairs if any.
XIV. Relief to the OMT Concessionaires relating to force majeure in the

concession agreement due to COVID-19142
Pursuant to the instructions issued by the Ministry of Road Transport &Highways vide its letter
no. NH-25016/01/2018-Toll dated 25.03.2020, the prevailing condition may be treated as Force
Majeure of the Concession/ Contract Agreement as per Ministry of Finance letter no. F-
18/4/2020-PPD dated 19th Feb, 2020. Due to COVID-19 epidemic outbreak in the country, as
per directions of MORTH, the collection of user fee was temporarily suspended at all fee plazas
on National Highways across the country w.e.f. 26th March, 2020 (9 AM) to 19th April, 2020.
2. The Article 26 (Force Majeure) of the OMT Concession Agreement defines "epidemic" as
a Non-Political event. Since COVID-19 has been declared as an epidemic, therefore, Force
Majeure Clause shall be applicable.
3. With regard above, the policy guidelines for Force Majeure claims for OMT Concession
Agreement shall be as follows: -
3.1 1st Force Majeure period during suspension of tolling during complete lockdown from
26.03.2020 (9:00 hrs) to 19.04.2020 (24 hrs) i.e. for period of 24.625 days:
3.1.1 The Concessionaire shall be exempted from payment of Concession Fee for
this period. However, the existence of Concession during the period will
continue uninterrupted keeping in view that Concession Fee is an annual
obligation, though it is payable monthly. This is also in accordance with Clause
5.1 and 26.11 of the OMT Concession Agreement.
3.1.2 Since the Concession Agreement provides for extension of Concession Period
in such a scenario, the Concessionaire shall be required to pay the Concessi1on
Fee during the extended period as applicable at that time. The Concession Fee
during the extended period shall be calculated based on the provisions of
Clause 21.1 of the Concession Agreement.
3.2 2nd Force Majeure period post resumption of tolling with effect from 20.04.2020
(00:00 hrs) till daily collection is less than 90% of the Average Daily Fee as per
Concession Agreement provisions
In case the Concessionaire is able to collect some user fee, then the extension of the
Concession Period would take into account the portion of user fee collected and therefore, the
Concessionaires shall be required to pay proportionate Additional Concession Fee/premium
with respect to the Fee Collected by it. Further, it shall pay Additional Concession Fee/
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1166
Premium during the extended period, which shall be calculated based on the provisions of
Clause 21.1 of the Concession Agreement.
4. PD is competent to convey the relief to OMT Concessionaire on 1st Force Majeure

period. As regards 2nd Force Majeure period, RO will take a decision on user fee collected by
OMT Concessionaire and extension to be granted based on the traffic data during this period.
5. PDs & ROs shall maintain all records relating to above relief given to OMT
Concessionaire. PDs and ROs shall examine and provide relief immediately under intimation
to CO Division at NHAI HQ
6. In accordance with clause 26.7 of OMT Concession Agreement, upon occurrence of a

Non-Political event (Force Majeure), the parties shall bear their respective Force Majeure Costs
and neither party shall be required to pay the other party any costs thereof.
7. It may be further noted that invocation of Force Majeure clause would be held only in a
situation where the parties on the contract were not in default of the contractual obligations as
on 16th February, 2020. Further, the Concessionaire should comply with the conditions/
provisions of the concession agreement for claiming Force Majeure event.
XV. Relaxation in the Change of Ownership clause in Hybrid Annuity Model

(HAM) Projects after 6 months of completion143
MoRTH vide Circular No. NH-24028/14/2014-H (Vol. II) dated 27.11.2020 (circulated vide
NHAI Circular No. 8.3.39 dated 31.12.2020) has pointed out that in all subsisting Hybrid
Annuity Model (HAM) contracts as on date, the concessionaire/bidders/members of consortium
have to retain their equity upto two years after COD is achieved. Several representations have
been received stating that in view of the financial downturn caused due to COVID-19, there is
a need to reconsider the provisions and reduce it to six months.
2. Ministry of Road Transport& Highways has recently amended the MCA of HAM
contracts where in the bidder/consortium partners have been allowed to dilute their equity six
months after COD is achieved.
3. In view of the above and in order to alleviate the situation of financial distress caused
to the developers in road sector by COVID-19 pandemic, it is decided that bidders/consortium
members of subsisting HAM contracts may also be allowed to dilute their equity after a period
of six months post COD and the relevant clause of the amended MCA as applicable presently
will be applicable.
XVI. Policy Circular on forceful stoppage of toll collection at toll plazas on NH

due to Farmer's Agitation. - Relief to be provided to BOT (Toll)
concessionaires144
(i) Background
Toll collection in certain part of country has been forcefully stopped by agitating farmers. It has
been decided that loss on account of above agitation is to be addressed as per provisions of
(ii) Applicability
143
144
1167
This circular is applicable to all BOT (Toll) Projects of NHAI which are based on the Model
Concession Agreement issued post 2009. For projects where clauses related to Force Majeure
differ from the Model Concession Agreement, respective clauses of project specific
Concession Agreements shall prevail.
(iii) Force Majeure Event
The impact of farmer's agitation has been considered as Indirect Political Force Majeure Event.
As per clause 34 (c) of the Model Concession Agreement, Indirect Political Event includes;
"(c) any civil commotion, boycott or political agitation which prevents collection of Fee by the
concessionaire for an aggregate period exceeding 7 (seven) days in an Accounting year."
(iv) Impact on Concession Period
The impact on Concession Period shall be dealt with as per clause 34.6 and 34.7 of the MCA
and in case the provisions in the signed Concession Agreement differ from the MCA, the same
shall be dealt as per provisions of signed Concession Agreement.
Clause 34.6 and 34.7 of the MCA includes inter-alia the following:
(i) Extension of Concession period after COD will be dealt as per provision of
clause34.6.2(b) which states that:
a) In case the Concessionaire was unable to collect Fee despite making best efforts or it
was directed by the Authority to suspend the collection thereof during the subsistence
of such Force Majeure Event, the Concession Period shall be extended by a period,
equal in length to the period during which the Concessionaire was prevented from
collection of Fee.
b) In the event of partial collection of Fee where the daily collection is less than 90% (ninety
per cent) of the Average Daily Fee, the Authority shall extend the Concession Period in
proportion to the loss of Fee on a daily basis.
For the avoidance of doubt, loss of 25% (twenty five per cent) in collection of Fee as compared
to the Average Daily Fee for four days shall entitle the Concessionaire to extension of one day
in the Concession Period.
(v) Cost of Force Majeure
As per Clause 34.7.2 of the Concession Agreement, upon occurrence of Force Majeure Indirect
political event after the Appointed Date, all Force Majeure Costs attributable to such Indirect
Political Event, and not exceeding the Insurance Cover for such Indirect Political Event, shall
be borne by the Concessionaire, and to the extent Force Majeure Costs exceed such
Insurance Cover, one half of such excess amount shall be reimbursed by the Authority
to the Concessionaire.
Further, for reimbursement of all other costs directly attributable to Force Majeure Event which
may include interest payment on debt, O&M expenses etc. the following guidelines may be
followed for calculation the force majeure costs;
I. Interest payment on debt:
a) The Concessionaire through his Statutory Auditor will submit a certificate certifying the
interest payment of debt as per the original financial package submitted at the time of
Finance Close. In case NHAI has approved refinancing/restructuring, the interest
payment may be certified accordingly by the Statutory Auditors.
1168
b) A certificate from the lead banker certifying the interest to be paid for the Force majeure
duration.
c) For avoidance of doubt, if there is a difference between the amount certified by the
statutory Auditors and the amount certified by the lead banker, the lower of two will be
considered.
II. 0&M Expenses:
a. The concessionaire will submit the details of O&M expenses for the Force Majeure
period. The Authority shall consider O&M expenses which are duly certified by statutory
Auditor based on Independent Engineer certification.
b. For any other payment under the Concession Agreement (Clause 34.7.2(b)
Concessionaire may be requested to give detailed justification thereof and decision in
such cases shall be taken by the Authority on case to case basis. The above
expenditure shall be duly certified by the statutory auditor and the Independent
Engineer.
(vi) Care should be taken that NPV of all reimbursement of Force Majeure Cost along with
extension of Concession Period is capped to maximum of toll revenue loss incurred during
the Force Majeure period.
(vii) 75% of total claim amount so arrived may be paid immediately so as to keep reconciliation
margin.
XVII. Permitting 100% equity divestment after two years of construction

completion for all BOT projects irrespective of year of award 145
Reference MoRTH letter no NH-37012/32/2012-H(pt. II)(vol II) dated 20.05.2015, the

proposal for permitting 100% equity divestment after 2 years of construction completion
for all BOT projects was considered and approved by the CCEA in its meeting held on
13.05.2015 & 26.08.2015.
2. The current provisions of MCA (Post 2009) pertaining to the exit option for the selected
bidder/consortium members together with its their associates i.e. Clause 7.1(k) read with
definition of ‘change of ownership’ in art. 48 be made applicable mutatis mutandis to all
BOT (Toll) and BOT (Annuity) projects awarded till 30.9.2009. This is however subject to
the condition that the equity so divested to be invested by the promoters in one or more of
following:-
a) In Incomplete National Highways Authority of India Projects;
b) Any other Highways Projects;
c) Any other power sector projects; and
d) To retire their debt to financial institutions in any other infrastructure projects.
3. The Concessionaire will make a written representation to the Authority with an NOC from
the lender’s representative regarding change of ownership. The concessionaire will also
provide details of the purpose (any of the above 4) for which proceeds from the sale of
divested equity are proposed to be utilized and then can make a representation to the
145
NHAI Circular No. NHAI/11033/CGM(FA)/4/2015 dated 09.06.2015 & 09.09.2015 and NHAI
Circular No. 8.3.42 dt. 10.12.2021.
1169
Authority regarding exit change of ownership. Thereafter, the Authority would examine the
proposal and provide concurrence for the equity transfers.
4. It is hereby clarified that upon 100% divestment, the outgoing Promoter shall not have
residual rights over the accrued claims and the same shall vest with new Promoter.
Henceforth, a Supplementary Agreement shall be signed with the Concessionaire at the
time of 100% share transfer.
5. These guidelines would also apply to all BOT (Toll) BOT (Annuity) projects which have
been granted PCOD/COD.
XVIII. Expenditure to be taken into account while considering a proposal for

releasing Performance Security in reference to Article 9.3 of Model
Concession Agreement (MCA) of Hybrid Annuity Mode (HAM) projects.146
Article 9.3 of MCA of HAM projects contains the following provisions regarding release
of Performance Security:
9.3 Release of Performance Security
'The Performance Security shall remain in force and effect for a period of one year from
the Appointed date, but shall be released earlier upon the Concessionaire expending
on project Construction an aggregate sum that is not less than 30% (thirty percent) of
the Bid Project Cost; provided, however, that the Performance Security shall not be
released and shall be kept alive by the Concessionaire if the Concessionaire is in
breach of this Agreement. Upon request made by the Concessionaire for release of the
Performance Security along with the particulars which establish satisfaction of the
requirements specified in this Clause 9.3, the Authority shall release the Performance
Security forthwith.’
(II) The aforesaid provision is silent about the breakup of the expenditure to be taken into
account while releasing the Performance Security. Now, it has been decided to take into
account the following expenditures incurred by the Concessionaire for considering a proposal
for releasing the Performance Security as per Article 9.3 of MCA of HAM projects while
calculating an aggregate sum that is not less than 30% of the Bid Project Cost:
Sr. Particulars Expenditure to be taken into
No. account or not
A Work Certified - As per IE (Including GST) To be taken into account
B Preliminary Activities (like Camp Construction, Not to be taken into account

Crusher Camp, Establishment of Field
Laboratory, Foundation of plant erection, etc.)
C Material in Stock (like Crushed aggregated, To be taken into account

steel in stock etc.) (Including GST)
D Work done not Certified (Clearing and Not to be taken into account
grubbing, Earthwork Subgrade, etc.)
146
1170
E GST on (A+C) To be taken into account
F Land Purchase Cost Not to be taken into account
G Overhead Expenses (loan processing fee, Not to be taken into account

insurances, Consultancy fee, etc.)
H Gross values of Assets deployed at site Not to be taken into account

(including GST) (Hot Mix plant, crusher plant,
batching plant, machinery and equipments
etc.)
XIX. Hybrid Annuity Model (HAM) Projects – Waiver of damages to the

Concessionaires for delay in submission of the Performance Security BG
or achieving the Financial Close for the cases where the Authority was not
in a position to hand over RoW.147
It has been decided that if the Authority was not in a position to handover RoW, no
penalty should be imposed for delays in submission of the performance security BG or
achieving the Financial Close.
XX. Possession and control of all materials, stores, implements, construction

plants and equipment on or about the Site of Plant & Machinery at site by
the Authority after termination of Concessionaire/ Contractor in BOT &
EPC Projects.148
It has been observed that in one of the project after termination of Contract, PD has
taken over the Road Construction Machinery, Plant Equipments, Material and other assets
deployed on the site in accordance with Concession Agreement which states that upon
termination for any reason whatsoever, the Authority shall be deemed to have taken
possession and control of the Project Highway forthwith; take possession and control of all
materials, stores, implements, construction plants and equipment on or about the site. Upon
inviting bids for Auction of the same, scheduled Bank Authorities intervened and informed that
the said materials are under hypothecation and any action from NHAI side to dispose of the
Plant, Machineries and Equipments will be illegal and may result in Legal action.
2. Hence, it has been decided by Competent Authority that henceforth upon termination,
Notwithstanding the provisions in the contract documents (EPC, BOT (Toll), BOT (Annuity)
and HAM), NHAI Officers should not take possession of any of Plant & Equipment and
Material at site, if the same are under hypothecation of Banks.
147
NHAI Policy Circular no 9.2.29/2019 dt. 05.11.2019
148
NHAI Policy Circular no 18.33/2018 dt. 13.08.2018
1171
Annexure ##- A
Letter to Independent Engineer
Sub.: Issuance of Completion Certificate or Provisional Completion Certificate in

respect of PPP Projects.
Sir.
Issue of Completion Certificate or Provisional Completion Certificate (PCC) in respect

of PPP Projects has been one of the critical activities which needs to be accomplished
cautiously as undue delay in issue of certificate results in loss of revenue to the
Concessionaire (and also to the Government in case of revenue sharing annuity projects) and
issuing certificate in haste may cause inconvenience and safety hazards to the road users
besides benefit to the Concessionaire. Article 14 of the MCA makes provisions or issue for
Completion Certificate.
2. The Schedule-Q of Model Concession Agreement also defines the “Terms of

Reference" for Independent Engineer which stipulates role and functions of the Independent
Engineer (Para 3). One of functions of IE is to conduct Tests on completion of construction and
issuing completion/provisional Completion Certificate. Further as per Para 5.13 of TOR of IE,
the Independent Engineer shall carry out, or cause to be carried out, all the Tests Specified in
Schedule-I and issue a Completion Certificate or Provisional Certificate, as the case may be.
For carrying out its functions under this Paragraph 5.13 and all matters incidental thereto, the
Independent Engineer shall act under and in accordance with the provisions of Article 14 and
Schedule-1
Further as per para 3.2 of ToR, the Independent Engineer shall discharge its duties in
a fair, impartial and efficient manner, consistent with the highest standards of professional
integrity and Good Industry Practice.
3. As per standard RFP for IE issued by NHAI, the Independent engineer shall appoint its
authorized representative, who shall issue on behalf of the IE, the Provisional Completion
Certificate and Completion Certificate along with the Team Leader and shall carry out any such
task as may be decided by NHAI. The IE shall take prior approval of NHAI before issuing
Provisional Completion Certificate and Completion Certificate.
4. Accordingly, as per the practice, the proposal for issue of certificate is prepared and
recommended by the Independent Engineer (IE) and then by Regional Officer/Project Director
and is processed in the Headquarters for issue of certificate by the IE. Recently Concept of
Inspection Committee has also been introduced which inspect the site after receipt of the
proposal.
5. The issue regarding authority to issue completion certificate in the Concession

Agreement came for discussion in O.M.P. 531/2014 - Soma Isolux Kishangarh Beawar Tollway
Pvt. Ltd. V/s NHAI. The Hon'ble High Court expressed the following view:-
"The above clauses make it clear that Authority which has to issue PCC is the I.E.
Clause does not require I.E. to seek prior clearance from the NHAI or any other
Authority for issuance of the PCC. If the I.E. is satisfied that the necessary pre-
conditions have been satisfied then it would proceed to issue the PCC.
1172
The two main factors that have to be ensured before the PCC is issued are
‘safety; and 'reliability'. In other words, the I.E. will have to ensure that the highway in
question is both safe and reliable for public use before it could grant the PCC for
commencement of commercial operation. For this, it has to ensure that there is
substantial compliance with the Schedule-T Tests.”
6. The matter has been considered and it has been decided that the Independent
Engineer will issue Completion Certificate or Provisional Completion Certificate as the case
may be without seeking prior clearance from NHAI or any other Authority as per relevant
provisions of Concession Agreement.
7. It has been observed that IEs are performing their role casually in these matters and
the proposals which they submit are not complete and not in compliance to the provisions of
the Concession Agreement. Sometime the items of work which are required to be completed
for safe and reliable operation of the project highway are proposed to be included in the punch
list. It has also been observed that due consideration to the quality of work is not given before
recommending Provisional Completion Certificate. This is perhaps considering that ultimately
NHAI will approve the proposal; the IE did not show seriousness in recommending the proposal
for Completion Certificate.
8. Reference is invited to Clause 14.5 of the MCA which provides for withholding of
Provisional Certificate if it is determined that the Project Highway or any part thereof does not
conform to the provisions of the agreement and cannot be safely and reliably placed in
commercial operation, The clause provides for action to be taken in such eventuality.
9. Before issuing of Provisional Completion Certificate or Completion Certificate, following

procedure needs to be followed:
(i) Regional Officer or his representative shall invariably be associated during conduct
Tests prior to likely completion of the Project Highway as per Clause 14.1 of the
Concession Agreement. Upon completion of each Test, the independent Engineer shall
provide the copies of all Test data including detailed Test results to the Authority.
(ii) Before issuing of Provisional Completion Certificate or Completion Certificate, the IE
shall notify his intention of doing so along with details to the RO with a copy to NHAI
Headquarter.
(iii) Upon receipt of such report from IE, the RO shall conduct inspection of the Project
Highway and convey his observations on the proposal of IE within 10 days with a copy
to HQ. If RO concurs with the IEs proposal, IE shall proceed with issue of Provisional
Completion Certificate or Completion Certificate. If RO is of the opinion that the project
highway is not yet fit and safe for commercial service, he shall notify the
IE/Concessionaire with reasons for disagreement. The IE shall thereupon re-assess the
proposal and in the interim withhold issuing of Provisional Completion Certificate/
Completion Certificate. It will be the responsibility of the IE to ensure that the
Concessionaire remedies and rectifies such defects or deficiencies pointed out by the
RO. IE shall satisfy himself that all the defects/deficiencies are remedied and rectified
by the Concessionaire and thereafter IE shall proceed with the issuance of Provisional
Completion Certificate or Completion Certificate as the case may be. It is, however,
clarified that:-
A. Provisional Completion Certificate/Completion Certificate will be issued by IE.
B. The IE may however proceed with the issuance of Provisional Completion Certificate
or Completion Certificate, if notwithstanding the report of the RO, he is convinced
1173
that the Project Highway can be safely and reliably put in commercial operation. IE
will record his detailed reasons in writing for non-acceptance of RO’s observations
and send a report in this regard to the Authority
10. Henceforth, since the IE will be the Authority to issue of Provisional Completion
Certificate, they should take the entire responsibility for compliance of the provisions of the
Concession Agreement before issue of the Completion Certificate. It should be kept in mind
that issue of Completion Certificate is linked with the start of tolling for the project. Untimely
issue of the certificate without due regard to the 'safety' & 'reliability' aspects or in contravention
of the Concession Agreement may invite complaints and public criticism. The IE has to
therefore act strictly as per the Concession agreement keeping the overall public interest in
view in a fair and impartial manner consistent with the highest standard of professional integrity.
This responsibility has to be exercised by the IE Agency which has entered into contact with
NHAI & IE Agency shall be responsible for any lapses on the part of its official including team
leader. The IE Agency should therefore duly audit the work of team leader and put in place a
proper mechanism to ensure that the role of IE is performed in a professional manner.
11. A checklist based guidelines to be followed by all IEs for Issue of Completion of Certificate
or Provisional Certificate are enclosed. The checklist is only indicative and does not alter or
modify the role of IE as stipulated in the respective Concession Agreement. The responsibility
for ensuring that provisions of the Concession Agreements are complied with shall squarely lie
with the IE who should perform this duty in a fair manner, consistent with the highest standards
of professional integrity.
Checklist/Guidelines for Independent Engineer (IE) regarding Completion

Certificate/Provisional Certificate for PPP Projects
While issuing Provisional Certificate or Completion Certificate for any PPP Project. IE shall
satisfy themselves that all provisions and conditions led down in the related contract(s) and or
Concession Agreement with regard to issue of such Provisional Certificate or Completion
Certificate have been compiled with. Such satisfaction of IE shall among various such
performances required, also include the following:-
1. Project Highway has been constructed as specified in the Schedule-B and Schedule-C and
in conformity with the Specifications and Standards set forth in Schedule-D of the
2. All Tests have been conducted in accordance with Schedule-I and have been witnessed
by representative of the Authority (NHAI). The IE shall observe, monitor and review the
results of the Tests to determine compliance of the Project Highway with Specifications and
Standards. The IE shall ensure that the Tests are successful and the Project Highway can
be safely and reliably placed in commercial operation.
3. IE shall ensure that the Concessionaire shall comply with the provisions of the Concession
Agreement, Applicable Laws and Applicable Permits and conform to Good Industry
Practice for securing the safety of the Users.
4. Project Highway has been constructed in accordance with the Project Completion Schedule
set forth in Schedule-G of the Concession Agreement. In the event of failure of the
Concessionaire to achieve any Project Milestone, action as per relevant provision of the
Concession Agreement may be completed or proposal may be referred for approval of
Competent Authority with the recommendation of IE.
5. Approval of the Competent Authority for proposal/issue of Change of Scope
(positive/negative), if any, has been obtained or at-least proposal of positive Change of
1174
Scopes has been referred to the authority for approval with the recommendations of IE and
negative Change of Scope if any, has been approved in-principle by the Authority.
6. In Case of the Provisional Certificate, list of outstanding items (Punch List) has been
prepared and signed jointly by the Independent Engineer and the Concessionaire. The
Punch List shall include only those items of work which are minor in nature and not affecting
the safety and reliability of the Project Highway.
7. All lapses, defects or deficiencies observed by the Independent Engineer in the
construction of the Project Highway are rectified and all NCRs issued are closed in
accordance with the provision of the Concession Agreement.
1175
Annexure ##- B
1176
1177
Appendix
List of Policy Circulars superseded:
No.
8.3.1 (a) Procedure for payment under Tech-19/2008 7.10.2008 Shifted to Contract
Change of Scope Orders in case Administration sub
BOT Projects; and (b) Recovery of head 9.2 to the
20% of value of work not completed extent of para(b) of
upon termination of Contract on this circular. Para
account of default of the (a) of this circular
Contractors as per Sub-Cl 63.3 of will be
COPA under NHDP Phase-II implemented as
Standard Document. per concession
agreement.
8.3.2 Maintenance of existing roads in Tech-45/2010 19.1.2010 Obsolete in view of

traffic worthy condition in PPP provisions
Projects. available in MCA
circulated by
MoRTH vide letter
dt. 24.08.2020
8.3.3 Timelines for processing of A/F-66/2010 6.7.2010 Retained

extension or damages cases for
completion of various milestones
on BOT Projects under PPP mode.
8.3.4 Provision for overloading of 8.11.2010 Not retained as the

vehicles in the Model Concession same are
Agreement (MCA). Administrative
instructions for
implementation as
per concession
agreement
provisions.
8.3.5 Ceiling on Variations / Change in Tech-72/2011 3.2.2011 Obsolete in view of

Scope for BOT Contracts. provisions of MCA
of BOT
8.3.6 Contract Agreements (EPC Works) Tech-79/2011 6.6.2011 Retained

/ Concession Agreements
(BOT/Annuity Projects) /
Consultancy Agreements for
Feasibility Study &
DPR/Supervision Consultancy and
Agreements for Independent
Consultancy Services - Authorized
1178
Representative of Employer
(NHAI).
8.3.7 Monitoring of PPP Projects as per Tech-92/2011 2.11.2011 Obsolete in view of

Guidelines issued by Planning fact that Monitoring
Commission. is being done by
using information
available on Data
Lake
8.3.8 Delegation of Powers with respect Tech- 4.7.2012 Obsolete in view of

to Change of Scope in PPP 106/2012 Policy circular no
Projects. 18.24/2017 dt.
21.08.2017
8.3.9 Claims of the Concessionaires/ Tech- 30.7.2012 Retained. Merged

Contractors in the ongoing 110/2012 with 8.3.3 dated
BO/EPC Projects. 06.07.2010
8.3.10 Contract Management of Tech- 24.8.2012 Obsolete in view of

Concessions in NHAI Projects 111/2012 fact that Contract
Management is
being done by
concerned
Technical
Divisions.
8.3.11 Creation & maintenance of Master Tech- 03.10.201 Retained

Files for BOT projects in electronic 113/2012 2
form-reg.
8.3.12 Guidelines for timely Tech- 11.10.201 Retained partly as

decision/settlement of issues 115/2012 2 para 3 of this
related to projects. circular stands
obsolete in view of
policy circular no
8.3.27
(NHAI/CGM(CMC)
/2015/1628) dt
24.04.2015
8.3.13 Constitution of 3 GMs Committee Tech- 5.4.2013 Obsolete in view of

for approval of detailed estimate 130/2013 fact that this is
for Change of Scope Order. being done by
concerned
Technical Divisions
8.3.14 Securitization of future cash flow in 29.5.2013 Retained. To be

BOT (Toll) Projects. merged with
circular no
8.3.31/2017 dt.
20.09.2017
1179
8.3.15 Policy on allowing construction of Tech- 4.6.2013 Obsolete in view of

Reinforced Earth Retaining Wall 136/2013 IRC SP: 84: 2019 &
(RET) for heights more than 6 m in IRC SP: 87: 2019
DBFOT Projects.
8.3.16 Monitoring of Traffic on the Project Tech- 12.7.2013 Retained

Highway and various facilities 139/2013
under DBFOT (Toll/ Annuity)/ OMT
Projects.
8.3.17 Post award monitoring of PPP 10.1.2014 Obsolete in view of

Projects – reg. fact that these
guidelines were
time specific and
should have been
completed within
10 days time.
8.3.18 Contract management: dealing 6.2.2014 Circular enclosure

with correspondence and notices is not available in
in BOT Concessions. library hence no
action taken
8.3.19 Issue of policy guidelines for Tech- 20.6.2014 Superseded vide

delegation of powers for approval 158/2014 policy circular no
of Change of Scope (COS) in BOT 18.24 dated
National Highway Projects - 21.08.2017
(Revised)
8.3.20 Strict Compliance of procedure to 8.7.2014 Circular enclosure

deal with correspondences and is not available in
notices in BOT Concessions library hence no
action taken
8.3.21 Construction of public facility i.e. 31.7.2014 Obsolete in view of

Traffic Aid Post, Medical Aid Post fact that instant
and washroom, at Toll Plazas along circular is
NHs and Maintenance thereof regarding
under OMT, BOT(Toll) & BOT furnishing data for
(Annuity) Contracts one time
8.3.22 Operation and Maintenance of PPP Tech- 9.10.2014 Retained

Projects on BOT (Toll)/Annuity 167/2014
mode during Operation Period.
8.3.23 Repair and maintenance of Tech- 10.10.201 Shifted to Chapter:

entrusted highway stretches 168/2014 4 Operation &
Maintenance
8.3.24 Issue of Provisional Tech- 18.11.201 Obsolete in the

Certificate/Completion Certificate. 169/2014 4 light of view of
policy circular no
8.3.26(NHAI/CGM(
1180
CMC)/2015/1628)
dt 24.04.2015
8.3.25 Provisional Completion Certificate/ MoRTH letter 20.04.201 Retained & merged
Completion Certificate for BOT no RW/NH- 5 with policy circular
projects. 37011/20/201 no
4-PPP 8.3.26(NHAI/CGM(
CMC)/2015/1628)
dt 24.04.2015
8.3.26 Issuance of Completion Certificate 24.04.201 Retained

or Provisional Completion 5
Certificate in respect of PPP
Projects.
8.3.27 Issuance of Completion Certificate 24.04.201 Duplicate of policy

or Provisional Completion 5 circular no 8.3.26
Certificate in respect of PPP dt 24.04.2015
Projects.
8.3.28 Issuance of Completion Certificate 22.05.201 Retained & merged

or Provisional Completion 5 with policy circular
Certificate in respect of PPP no
Projects. 8.3.26(NHAI/CGM(
CMC)/2015/1628)
dt 24.04.2015
8.3.29 Issuance of Completion Certificate 21.12.201 Retained & merged

or Provisional Completion 5 with policy circular
Certificate in respect of FPP no 8.3.26
projects by Independent Engineer. (NHAI/CGM(CMC)
/2015/1628) dt
24.04.2015
8.3.30 Interpretation regarding change of Tech- 2.5.2016 Obsolete in view of

scope on account of changes 206/2016 Policy circular no
caused for Railways while 18.53/2020 dt.
approving the General 17.09.2020
Arrangement Drawings in BOT
Projects.
8.3.31 Securitization of future cash flow in 8.3.31/2017 20.9.2017 Retained

BOT (Annuity) Projects.
8.3.32 Establishment of Rational-cum- 8.3.32/2018 5.2.2018 Retained

Pragmatic Settlement Approach for
calculating the amount of damages
to be imposed on the
Concessionaire of BOT
(Toll/Annuity) projects on account
of delay in periodic maintenance
work.
1181
8.3.33 Relief Measures to the BOT (Toll) 8.3.33/2020 26.5.2020 Retained

Concessionaires from the impact
of COVID-19 reg.
8.3.34 Guidelines for determination of 8.3.34/2020 10.6.2020 Retained

Cost of Change of Scope (COS)/
Reduction in Scope (RIS) due to
Withdrawal of works/
Alteration(Change/omission in
existing item) in Works in Hybrid
Annuity Mode (HAM) Projects-
Applicable Schedule of Rates,
Design Charges, Maintenance
Charges regarding.
8.3.35 HAM Projects - SoP for removing 8.3.35/2020 09.07.202 Retained

from the scope of work the 0
remaining site not provided to
Concessionaire within the period
of the Appointed Date plus 20% of
construction period.
8.3.36 Guidelines for determination of 8.3.36/2020 10.7.2020 Retained

Cost of Change of Scope (COS)/
Reduction in Scope (RIS)/
Withdrawal of works/Alteration
(Change/omission in existing item)
in Works in DBFOT Projects-
Applicable Schedule of Rates,
Design Charges and Maintenance
Charges-Regarding
8.3.37 HAM Projects - SoP on Reduction 8.3.37/2020 14.8.2020 Obsolete in view of

in Scope of the Project Works in fact that the stretch
remaining sites not provided within handed over to the
the period of AD + 20% of CP. concessionaire
and its BPC was to
be finalized within
30 days of the
Circular no
8.3.35/2020 dt.
09.07.2020
8.3.38 Relief to the OMT Concessionaires 8.3.38/2020 16.9.2020 Retained.

relating to force majeure in the However, the
concession agreement due to matter pertains to
COVID-19. CO Division.
8.3.39 Relaxation in the Change of 8.3.39/2020 31.12.202 Retained.

Ownership clause in Hybrid 0
Annuity Model (HAM) Projects after
6 months of completion - reg.
1182
8.3.40 Policy Circular on forceful 8.3.40/2021 2.7.2021 Retained.

stoppage of toll collection at toll However, the
plazas on NH due to Farmer's matter pertains to
Agitation. - Relief to be provided to BOT Division.
BOT (Toll) concessionaires.
8.3.41 Serious Delays in taking in- 8.3.41/2021 24.8.2021 Shifted to Chapter

principle approvals of Change of (9.2): Contract
Scope (CoS) & Reduction in Scope Administration on
(RIS)-reg. account of circular
no 9.2.24/2019 dt.
29.04.2019 & no
9.2.27/2019 dt.
23.09.2019
8.3.42 Clarification on status of claims / 8.3.42/2021 10.12.202 Retained after

accrued claims post transfer of 1 merging circular
100% shares in the PPP Projects – dated 09.06.2015
reg. & 09.09.2015.
However, matter
pertains to Finance
Division.
8.3.43 Expenditure to be taken into 8.3.43/2022 17.1.2022 Retained

account while considering a
proposal for releasing
Performance Security in reference
to Article 9.3 of Model Concession
Agreement (MCA) of Hybrid
Annuity Mode (HAM) projects.
9.2.29 Hybrid Annuity Model (HAM) 9.2.29/2019 05.11.201 Retained

Projects - Waiver of damages to the 9
Concessionaires for delay in
submission of the Performance
Security BG or achieving the
Financial Close for the cases where
the Authority was not in a position
to hand over RoW
18.33 Possession and control of all 18.33/2018 13.08.201 Retained

materials, stores, implements, 8
construction plants and equipment
on or about the Site of Plant &
Machinery at site by the Authority
after termination of
Concessionaire /Contractor in BOT
& EPC projects-reg.
1183
Section: 8.4. Financial Matters/Cabinet decisions
Sub Subject
section
I. Interest Rate for HAM project as per Clause 23.6.4.
II. Guidelines for calculation of Termination Payment of

Road Projects on BOT (Toll).
III. Policy Circular for processing refinancing proposal for

PPP Project.
IV. Calculation of Price Index Multiple in HAM Projects.
V. Policy Guidelines for availing COVID – 19 Loan to the

BOT (Toll) Concessionaires.
VI. Qualification Criteria in the Harmonious Substitution of

existing Concessionaires or selected
Bidders/consortiums by Fund Houses.
VII. Issuance of VGF by Authority.
VIII. Permitting 100% equity divestment after two years of

Construction for all BOT Projects
IX Restructuring/refinancing of debt.
X Miscellaneous.
XI Appendix.
1184
8.4: Financial Matters
I: Interest Rate for HAM project as per Clause 23.6.4149
Authority hereby declares the applicable interest rate for Top 5 Schedule Commercial bank
along with one-year MCLR (Rate of Interest) applicable for each quarter. The list of banks is
reviewed at the start of each quarter.
149
Policy Circular No. 8.4.32 dated 08.04.2022, No. 8.4.31 dated 10.01.2022, No. 8.4.30 dated
14.10.2021, No. 8.4.29 dated 06.10.2021, No. 8.4.28 dated 02.07.2021, No. 8.4.27 dated 07.04.2021,
No. 8.4.23 dated 05.01.2021, No. 8.4.21 dated 26.11.2020,
1185
II: Guidelines for calculation of Termination Payment of Road Projects on BOT

(Toll) Mode150
Authority has issued internal guidelines for NHAI official to calculate the Termination Payment
applicable to all BOT (Toll) projects which are terminated for default attributable to either party.
Process for calculation of Termination Payment
1. NHAI technical shall establish and record the cause of default/Force Majeure, and party to
which the default is attributable. Accordingly, the Termination Payment shall be classified.
NHAI shall establish and record the Transfer Date for computation of Termination Payment.
NHAI technical shall also confirm whether the Concessionaire has notified the Total Project
Cost as on COD and its disaggregation between Debt Due and Equity with 60 days from
COD.
2. Calculation of Total Project Cost (TPC): TPC shall be calculated as per the definition
provided in Concession Agreement. If the project shall be reduced suitably for the
incomplete work as certified by the Independent Engineer.
3. Calculation of Debt Due and Equity
4. Termination Payment shall be calculated based on detailed calculation sheet provided
along with Policy Circular.
For detailed process for computation of Termination Payment, concerned Policy Circular may
be referred.
150
Policy Circular No. 8.4.24 dated 03.02.2021, No. 8.4.26 dated 04.03.2021
1186
III: Policy Circular for processing refinancing proposal for PPP Project151
Refinancing of PPP projects is governed by the terms of the Concession Agreement for
specific project and has linkage with the Debt Due and may impact the liabilities of the Authority
in case of Termination of the project.
Policy circular provides guidelines to be adopted for refinancing of a projects, deliberated in

many Board Meetings of the Authority for Refinancing Scenario provided below:
1. Securitization of future cash flows

2. Restructuring/refinancing of debt
3. Restructuring/refinancing of loan – NOC
4. Clarity on Restructuring / refinancing and additional debt for BOT Projects
5. Refinancing / restructuring for PPP Projects
151
1187
IV: Calculation of Price Index Multiple in HAM Projects152
Authority issued clarification for computation of Bid Project Cost, which is adjusted for
variation between in Price Index occurring between the Reference Index Date preceding the
Bid Due Date and Reference Index Date preceding the date of invoice as per Clause 23.4 of
the Model Concession Agreement. Price Index comprises (a) 70% of WPI and (b) 30% of CPI
(IW).
For detailed clarification on methodology for calculation of Price Index Multiple Policy
Circular may visited.
152
1188
V: Policy Guidelines for availing COVID – 19 Loan to the BOT (Toll)

Concessionaires153
Pursuant to Ministry of Road Transport & Highways office memorandum no. COVID –
19/Roadmap/JS(H)/2020 dated 18th May, 2020 to provide support to the BOT (Toll)
Concessionaires due to COVID – 19, it was decided to provide the assistance in the form of
“COVID – 19 Loan”.
Authority had provided draft format along with conditions for availing COVID – 19 Loan.
153
1189
VI: Qualification Criteria in the Harmonious Substitution of existing

Concessionaires or selected Bidders/consortiums by Fund Houses154
Authority vide circular no. 8.4.7 dated 29.01.2014 approved substitution of existing
concessionaire in a harmonious manner.
Further, Authority vide Policy Guidelines 8.4.19 had modified the qualification criteria at
Para 4(iii) of Policy Circular no. NHAI/11033/CGM(FA)/4/2014 dated 29.01.2014 – for
Harmonious Substitution by Fund Houses for projects
a) For Projects that have achieve COD

b) For Projects under construction
Additionally, the substituting bidder/entity in respect of Harmonious Substitutions by Fund

Houses has to furnish following documents:
a) The name and experience details of the Construction Contractor to be submitted at the
time of request for approval of the proposed transaction.
b) Copy of agreement between O&M Contractor and Construction Contractor
c) An undertaking that O&M Contractor or the Construction Contractor will not be
replaced/removed without approval of NHAI.
In addition to above, the following information needs to be complied in respect of

Harmonious Substitution by Fund Houses, in accordance with MORTH vide letter dated
26.12.2019
a) Financial litigation (if any) on existing BOT Concessionaire along with lenders to be
cleared or requisite ‘NOC’ to be obtained or supplementary agreement needs to be
executed so that all financial liabilities are settled in advance.
b) A declaration to be obtained or an agreement needs to be executed so that existing
Concessionaire will not approach any arbitration in future or does not raise any
claim
c) The substituting bidder/entity should be well defined whether – JV or Consortium or
anything else.
154
Policy Circular no. 8.4.19 dated 24.02.2020, no. 8.4.7 dated 29.01.2014, no. 8.4.3 dated 17.07.2013
1190
VII: Issuance of VGF by Authority155
1. Authority issued clarification vide Policy Guidelines 8.4.15 dated 20th June 2017 which was
issued in supersession of previous Circular No. 11033/CGM (Fin)/2015-16 dated July 6,
2015, NHAI/BOT/11012/66/2005/3398 dated 20.02.2013, Letter No. NHAIMOT/WB/NH-
34/2009/PQ-04/417 dated 04.09.2013 and Letter No. NHAI/11033/CGM(FA)/1/2005/942
dated 01.04.2015. As per the issued clarification Clause 25.2.3 of the Concession
Agreement executed prior to September 2015 regarding VGF was amended as under:
“Equity support shall be due and payable to the Concessionaire after it has expended
the Equity, and shall be disbursed proportionately along with the loan funds thereafter
remaining to be disbursed by the Senior Lenders under the Financing Agreement. The
Authority shall disburse each tranche of the Equity Support as and when due, but no
later than 15 days of receiving a request form the Concessionaire along with necessary
particulars.”
Authority had along with also issued clarification regarding release of VGF by giving
condition and formula, vide circular no. 8.4.15 dated 20th June 2017.
155
Policy Circular no. 8.4.15 dated 20.06.2017, No 8.4.11 dated 06.07.2015
1191
VIII: Permitting 100% equity divestment after two years of Construction for all
BOT Projects 156
1. Cabinet Committee on Economic Affairs approved 100% equity divestment after two years
of construction completion for all BOT projects in its meeting held on 13.05.2015.
2. NHAI Board vide its 129th meeting authorized Chairman NHAI to approve 100% equity
divestment after two years of construction completion for all BOT projects irrespective of
year of allowed and communicated to NHAI vide circular no. NHAI/11033/CGM (FA)/4/2015
dated 09.09.2015.
156
Policy Circular no. 8.4.18 dated 15.10.2018, no. 8.4.13 dated 19.11.2015, No. 8.4.12 dated
09.09.2015, No. 8.4.10 dated 09.06.2015
1192
IX: Restructuring/refinancing of debt157
1. Restructuring/refinancing of debt is approved by NHAI subject to condition that it would

increase the liability or obligation of the Authority.
2. Projects may structured/restructured as per the following procedure:
a. The projects proposal may be formulated straightaway on EPC mode for all projects
which are prima facie not viable on BOT (Toll). Based on financial analysis, projects
which require VGF in excess of 20% of TPC are deemed unviable on BOT(Toll)
mode.
b. Project proposals are formulated both on BOT (Toll) as well as EPC mode for all
projects which, based on financial analysis, are prima facie viable on BOT(Toll) with
VGF requirement upto 20% of TPC.
c. For wider participation of developers, packaging of project may be suitably
structured with possible TPC of a single EPC package around Rs. 1000 Crore and
a single BOT (Toll) package of not more than 100-120 km.
157
Policy Circular no. 8.4.4 dated 13.09.2013, no. 8.4.5 dated 05.11.2013, no 8.4.6 dated 18.11.2013
1193
X: Miscellaneous158
1. Standard Operating Procedure for providing relief to Concessionaires on account of

suspension of collection of user fee due to demonetization of Rs. 500 and Rs. 1000
currency notes.
2. Executive Committee in its 310th meeting on 13.07.2017 approved the payment of

concession fee during subsistence of force majeure and interpretation of relevant clauses
relating to force majeure in the force majeure in the concession period for following modes
a. OMT Concessions
b. BOT Concessions
For detailed information, circular no. 8.4.16 may be referred.
3. Cabinet Committee on Economic Affairs (CCEA) approved proposal of rationalised

compensation to Concessionaires in case of delay not attributable to the Concessionaires
for languishing National Highway project on BOT(Toll)/Annuity mode except for projects
where tolling is permitted on the Appointed Date, which are languishing during construction
period due to the reasons not attributable to the Concessionaire.
4. Cabinet Committee of Economic Affairs in its meeting held on 13.05.2015 approved the
proposal for one time fund infusion to revive and physically complete languishing BOT
projects and also laid down the detailed procedure for one time fund infusion.
5. Competent Authority decided that offering of re-structured projects to the already

prequalified applicants may be resorted to in the situation of project cost getting reduced
upto 15% on re-structuring. In the case where projects cost are getting reduced by more
than 15% on re-structuring, the RFQ will be issued again.
6. Reserve Bank of India vide its letter DBOD.BP.No1517/08.12.014/2012-13 dated

26.07.2012 clarified that bank have been allowed to treat annuities under build-operate-
transfer (BOT) model in respect of road/highways projects and toll collection rights, where
there are provisions to compensate the project sponsor if certain level of traffic is not
achieved as tangible securities subject to the condition that banks right to receive annuities
and toll collection rights is legally enforceable and irrevocable.
158
Policy Circular no. 8.4.17 dated 13.03.2018, No. 8.4.16 dated 10.08.2017, No. 8.4.14 dated
19.01.2016 No. 8.4.9 dated 09.06.2015, No. 8.4.1 dated 20.05.2009, No. 8.4.2 dated 26.07.20128
1194
Appendix A

Re-structuring and rationalizing the
1. 28/2009 (8.4.1) 20.05.2009 project cost of PPP projects and re-
bidding.
Classification of debt as Secured and
2. 8.4.2 26.07.2012
Unsecured
Harmonious substitution of existing
NHAI/CMC/Misc./2013 (pt.)
3. 17.07.2013 concessionaires or the selected
(8.4.3)
bidder/consortium members
4. 123/2013 (8.4.4) 13.09.2013 Restructuring/refinancing of debt
Restructuring/ refinancing of the debt
5. 8.4.5 05.11.2013
in the highway projects reg.
Re-financing/ Re-structuring of loan-
6. 127/2013 (8.5.6) 18.11.2013
NOC reg.
Harmonious substitution of existing
NHAI/11033/CGM(FA)/4/ 2014
7. 29.01.2014 concessionaires or the selected
(8.5.7)
bidder/consortium members
Structuring/ Re-structuring of
8. 161/2014 (8.5.8) 27.07.2014
projects
One time fund infusion to revive and
NHAI/11033/CGM(FA)/ 2015
9. 09.06.2015 physically complete languishing BOT
(8.5.9)
projects.
Permitting 100% equity divestment
NHAI/11033/CGM(FA)/4/ 2015 after two years of construction
10. 09.06.2015
(8.5.10) completion for all BOT projects
irrespective of year of award.
11033/CGM(Fin)/2015 – 16 Clarifications regarding release of
11. 06.07.2015
(8.5.11) Viability Gap Funding (VGF)
12. 09.09.2015
13. 19.11.2015
Rationalised compensation to
concessionaires in case of delay not
195/2016
14. 19.01.2016 attributable to Concessionaires for
(8.5.14)
languishing highway projects on
BOT mode
Clarifications regarding release of
15. 8.4.15/2017 20.06.2017
Viability Gap Funding (VGF).
Payment of concession fees during
16. 8.4.16/2017 10.08.2017 subsistence of force mujeure and
interpretation of relevant clauses
1195

relating to force majeure in the
concession agreement.
Standard Operating Procedure
(SoP) for providing relief to
Concessionaries on account of
17. 8.4.17/2018 13.03.2018
suspension of collection of user fee
due to demonetization of Rs. 500
and Rs. 1000 currency notes-reg.
Policy circular- Delegation of power
for Permitting 100% equity
divestment after two years of
18. 8.4.18/2018 15.10.2018
construction completion for all BOT
projects Irrespective of year of
award- Reg.
Qualification criteria in case of
Harmonious Substitutions of existing
19. 8.4.19/2020 24.02.2020 Concessionaires or selected
bidders/consortiums by Fund
Houses
COVID-19 Loan to the BOT (Toll)
20. 8.4.20/2020 26.05.2020
Concessionaires - reg
COVID-19 Loan to the BOT (Toll)
21. 8.4.21/2020 26.11.2020
Concessionaires
Clarification on calculation of Price
22. 8.4.22/2020 02.12.2020
Index Multiple in HAM Projects - reg.
Interest Rate Applicable for HAM
23. 8.4.23/2021 05.01.2021
Projects-Interest under clause 23.6.4
Internal Guidelines for calculation of
24. 8.4.24/2021 03.02.2021 Termination Payments of Road
Projects on BOT (Toll) Mode.
Policy circular for processing
25. 8.4.25/2021 02.03.2021 refinancing proposal for PPP
Projects.
Internal Guidelines for calculation of
Termination Payments of Road
Projects on BOT (Toll) Mode-
26. 8.4.26/2021 04.03.2021
Modification to the Internal
Guidelines No. 8.4.24/2021 dated
03.02.2021.
Interest Rate applicable for HAM
27. 8.4.27/2021 07.04.2021 Projects- Interest under Article
23.6.4-reg.
23.6.4
23.6.4- reg.
1196

23.6.4
23.6.4
1197 Chapter: 9 National Highways Authority of India
Sub Subject
section
I. Delegation of Power in implementation of the Projects.
II. Appraisal of projects- Certificate regarding technically

sanction of proposals submitted to Ministry for
III. Criteria for PPPAC approval
IV. Conditions for invitations of Bids for Award of Projects
V. Dispensation of physical submission of Bid in various

procurement methods - Amendment to RFP clauses - Reg.
VI. Insertion of the Clause regarding Digital Signatory in

Notice Inviting tender document
VII. Evaluation of RFQ and legalization of power of attorney in

respect of foreign applicant member reg.
VIII. Procurement of NHAI Projects on BOT (Toll/Annuity)

under PPP Mode
IX Regarding replies being given by Technical Divisions as

‘As per RFP’ in response to the pre-bid queries in various
contracts (BOT/HAM/EPC/TOT, etc.).
X Assessment of existing commitments of prospective

bidders in respect of clause 2.2.2.1 of standard RFP for
EPC projects.
XI Engagement of Financial Consultant for Projects to be

implemented on EPC Mode – Maintenance of Roster
XII Amendment of Technical Specification Clause 305.8
XIII Guidelines for acceptance and award of single tenders-

reg.
XIV Public Procurement Policy for Micro and Small Enterprise

(MSEs) – Reg.
XV Deletion of Provision of Underground Tunnels at Toll

Plazas.
XVI Consolidated Instruction regarding Global Tender Enquiry

(GTE) under Rule 161 (iv) of General Financial Rules
(GFRs) 2017 upto Rs. 200 Crores and for relaxation on
Global Tender Enquiry for procurement of raw materials–
Reg.
XVII Reduction of contingency charges for the execution of

National Highways works-reg.
XVIII Standard operating procedure to debar/penalize/declare

as Non-Performer the Contractor/Concessionaire in
National Highways and other centrally sponsored road
projects.
XIX Appraisal of PPP projects- Standard parameters for

financial analysis of BOT(Toll), BOT(Annuity), HAM, TOT,
InviT mode of projects.
9.1: PROCUREMENT
I. Delegation of Power in implementation of the Projects159.
(A) The Delegation of Power (DOP) in implementation of the Projects is as follows:
Sr. Subject To whom Extent of Remarks

No. delegated Delegation
1.1 Approval of RO Full Powers (i) The award of compensation is

Compensation for made by CALA on or after
Land Acquisition 01.01.2015 as per the provisions of
determined by RFCTLARR Act, 2013.
CALA under NH
Act, 1956 (ii) The compensation for
structures falling within ROW shall
1.2 Approval of RO Full Powers be strictly as per Policy
Compensation for Guidelines(7.1.51) dated
Land Acquisition 10.04.2017.
enhanced by the
Arbitrator/ Court (iii) Procedure for processing
(including interest) Arbitral Awards shall continue to be
governed by Circular No.
06.09.2010. Paras 1(a), 1(b) and
1(c) of Circular ibid are cancelled.
(iv) RO may seek legal advice from

NHAI’s Counsel prior to deciding
whether to accept or challenge a
court order enhancing
compensation. Provided that [as
per Para-1(I) of Circular No.
06.09.2010], Arbitral Awards which
have been upheld by a Court must
not be challenged in a higher court.
(iv) ROs may approve the award of

compensation, based on CALA
Award/ Arbitration as per the
following guidelines160 :-
159
NHAI Policy circular no (i)18.24 dt. 21.08.2017, (ii)18.25/2017 dt. 06.09.2017, (iii)18.27/2017 dt.
27.09.2017, (iv)18.32/2018 dt. 02.07.2018, (v)18.35/2019 dt. 29.03.2019, (vi) 10.2.25/2020 dt.
28.09.2020, (vii)18.60/2021 dt. 05.01.2021
160
Inserted vide NHAI Policy Circular no 18.27/2017 dt. 27.09.2017
E. The land acquisition awards

may be examined by a
Committee comprising of :
e) Regional Officer
f) PD Concern
g) GM/DGM RO Office and
h) A representative of Finance
attached to RO Office
F. Award be accepted so long as

the compensation amount and
the valuation of the assets have
been done in accordance with
methodology adopted by the
State Govt.
G. In case it is felt that CALAs

Award deviates from
established norms RO may
submit the award to the District
Collector for advice and dispose
the matter in accordance with
advice tendered by the District
Collector.
H. Arbitral Awards may also be
generally accepted so as to
avoid accumulation of interest
liability on NHAI. But in case it is
felt that the Arbitral Award
deviates from established
norms, RO may submit the
award to the State Govt for
advice and dispose the matter in
rendered by the State Govt.
2. Approval of utility RO Rs. 30 Crore (i) The guidelines as per Policy
shifting estimates for each Circular (Tech. - 215/2016) dated
public utilities concerned 19.09.2016 shall be followed.
only(electrical, division of
water and other utility (ii) RO can approve supervision
public utilities) owning charges upto 10%. In case these
agency charges are more than 10%, RO
shall make a reference to HQ for
taking up the matter with
concerned State Government, but
Executive Full Powers he will sanction the estimate with
Committee 10% supervision charges pending
reconsideration of matter by State

Government.
(iii) The estimates shall be

obtained immediately after
finalization of alignment and shall
form part of Project Appraisal
(estimates on lumpsum basis at
appraisal stage shall not be
permitted).
3. Approval of PD Full Powers Tree Cutting/ Tree Plantation shall

estimates for Tree be as prescribed in the statutory
Cutting/ Tree clearances, the estimates shall be
Plantation as per the extant guidelines/ rules
of the concerned Government
Departments and it shall not form
part of the obligation of
4. Approval of PD Full Powers (i) The charges shall be as per the

estimates for Tree extant rules of concerned
Cutting/ Tree government department,
Plantation applicable to all Project Authorities
(but not exclusively for NHAI
Projects). Such charges shall be
recommended by Project
Preparation Consultant.
(ii) The payment of such charges is

not the obligation of
5. Hiring of PD Upto The work is not in the scope of

Equipment/ Labour Rs.50.0 Concessionaire/ Contractor.
for removal/ Lakh for
demolition of Project
structures failing in Reach
ROW/ clearing of
the acquired land RO Upto Rs. 1.0
for physical Crore for
possession161 Project
Reach
Executive Full Powers

Committee
6. Project Preparation/ Design Consultants
6.1 Procurement CGM (HQ) Full Powers (i). RFP shall be strictly as per the
Invitation of RFP, standard format and evaluation
161
NHAI policy no 18.60 dt. 05.01.2021
Response to pre- shall be strictly as per the

bid Queries, guidelines/ manual of NHAI.
Evaluation and
Recommendation (ii) Member(in-charge) in
for Award consultation with Member(Fin) will
6.2 Approval of CGM Full Powers Evaluation Committee. The
qualification Evaluation Committee for all
(Evaluation of intermediate stages of
Technical procurement shall comprise of
Proposal) members as per following
162
composition :
e) Concerned GM (Tech.) of
Technical Division - Convener
f) GM(Finance) - Member 1
g) GM (Tech.) from any other
Member 2
h) Dy. GM (Tech.) / Manager
(Tech.) /Dy. Manager (Tech.) of
concerned Division - Member 3

decide.
6.3 Award of Work Concerned Full Powers (i). The award of work based on
Member concerned.

162

satisfied163:
d) The procurement was

submission of bids;
e) The qualification criteria were
f) Prices are reasonable in

Chairman.

Mobilization
as per
Provisions
of contract
6.5 Grant of EOT (with Chairman Full Powers

or without levy of for review &
LD/ Penalty, but appeal
with no extra cost)
Committee Full Powers

comprising in cases
of where extra
Member(F), cost is
Member involved
concerned &
CGM(T) HQ
{or GM(T)
where
CGM(T) not
in
position}164
Member Full Powers

in case of
163
164
EOT with no
extra cost
CGM/RO Full Powers

for EOT
upto 100%
of Contract
Period
6.6 Change of Scope Member Full Powers

of Works
CGM/RO 20% of
Contract
Value
7. Project Supervision Consultant/ Independent Engineer/ Authority Engineer
7.1 Procurement (i). RFP shall be strictly as per the

Invitation of RFP, shall be strictly as per the
bid Queries,
Evaluation and
Recommendation
for Award (ii). Member (in-charge) in
consultation with Member (Fin) will
Evaluation Committee. The
Evaluation Committee for all
(i)Construction CGM(HQ) Full Powers intermediate stages of
Stage procurement shall comprise of
members as per following
(ii). O&M stage RO Full Powers composition165:
e) Concerned GM (Tech.) of
Technical Division – Convener
f) GM(Finance) - Member 1
g) GM (Tech.) from any other
Member 2
h) Dy. GM (Tech.) / Manager
(Tech.) /Dy. Manager (Tech.)
of concerned Division -
Member 3

165
decide.
7.2 Approval of CGM/RO Full Powers CGM at HQ during construction

qualification stage and RO during O&M stage
(Evaluation of are entrusted with the work of
Technical procurement.
Proposal)
7.3 Approval of Award Concerned Full Powers (i). The award of work based on
Member concerned.

satisfied166:
d) The procurement was

submission of bids;

Chairman.

Mobilization
as per
166
Provisions
of contract
7.5 Grant of EOT Committee For cases (i). Subject to the Consultant
comprising having having recommended EOT of
of financial Contractor/Concessionaire to
Member(F), implication NHAI.
Member of more than
concerned & 50%
CGM(T) HQ (ii). The contract value is excluding
{or GM(T) of taxes.
where
CGM(T) not
in
position}167
Member Full Powers

provided
financial
implications
are limited
to 50% of
contract
value
CGM/RO Full Powers

provided
financial
implications
are limited
to 25% of
contract
value
7.6 Change of Scope Committee More than The contract value is excluding of
of Works comprising 50% of taxes.
of Contract
Member(F), value
Member
concerned &
CGM(T) HQ
{or GM(T)
where
CGM(T) not
in
position}168
167
168
Member Upto 50% of

Contract
value
CGM/RO Upto 20% of

Contract
value
8. Concessionaire/ Contractor (DBFOT/ EPC/ Item Rate/ OMT)
8.1 Procurement: CGM (HQ) Full Powers (i). RFP shall be strictly as per the
Invitation of Bids, shall be strictly as per the
bid Queries,
Evaluation of Bids
and
Recommendation (ii). Member (in-charge) in
for Award consultation with Member (Fin) will
Evaluation Committee. CGM (HQ)
will decide on recommendations of
Evaluation Committee on all
intermediate stages of
procurement. However, if there is
no unanimity, Member (in-charge)
will decide.
8.2 Approval of Award : A Quarterly statement of the projects awarded shall be placed
before the Board
8.2.1 DBFOT (Toll) Board Full Powers In case only a single bid is received
Projects by the due date of receipt then the
Chairman The same shall be accepted if the rates
response to are reasonable & workable and the
the bid is process is valid with the
adequate (2 compliance of validity of process
or more recorded in writing. The process
valid bids) should be considered valid
and (i) VGF provided following conditions are
is upto 5% satisfied169:
above VGF
as approved d) The procurement was
by PPPAC/ satisfactorily advertised and
SFC; or (ii) sufficient time was given for
Premium is submission of bids;
upto 5% e) The qualification criteria were
below not unduly restrictive; and
premium
169
approved by f) Prices are reasonable in

PPPAC comparison to market values.
Member The (ii) In the event of single bid, the

response to decision should be made by Board
the bid is of NHAI. Board may accept single
adequate (2 bid after examining the
or more reasonableness of the same.
valid bids)
and (i) VGF
is less than
VGF as
approved by
PPPAC/
SFC; or (ii)
Premium is
more than
premium
approved by
PPPAC/SF
C
8.2.2 EPC/ Item Rate Board Full Powers (i). In case the response to the bid
Projects is adequate (2 or more valid bids)
Executive If the quote and the amount quoted by the
Committee is upto 5% preferred bidder is higher than the
(updated approved civil work cost, the
cost based procedure stipulated vide OM No.
on current 24(35)/PF-II/2012 dated
SOR) higher 29.08.2014 of Department of
than Expenditure, PF-II Division for
approved approval of RCE shall be followed
civil work first before approval of bid for
cost and award of the project.
response to
bid is
adequate (2
(ii). In case only a single bid is
or more
valid bids)
Member If the quote the rates are reasonable &
is less than workable and the process is valid
or equal to with the compliance of validity of
approved process recorded in writing. The
civil work process should be considered valid
cost and provided following conditions are
170
response to satisfied :
bid is
adequate (2 g) The procurement was
170
or more sufficient time was given for

valid bids) submission of bids;
h) The qualification criteria were
i) Prices are reasonable in
(iii) In case single bid is received,

the following procedure may be
adopted:
(a). In case the amount quoted by

the bidder is less than or equal to
the estimated civil cost approved
by the Competent Authority, the
bids for award purpose will be
approved by NHAI Board.
(b). In case the amount quoted by

the bidder is higher than the
approved civil work cost, the
procedure stipulated vide OM No.
24(35)/PF-II/2012 dated
29.08.2014 of Department of
Expenditure, PF-II Division for
approval of RCE shall be followed
first before approval of bid for
award of the project.
8.2.3 Hybrid Annuity Board Full Powers (i) In case only a single bid is
Projects received by the due date of receipt
Chairman If the bid then the same shall be accepted if
price is the rates are reasonable &
quoted is workable and the process is valid
upto 5% with the compliance of validity of
(updated process recorded in writing. The
cost based process should be considered valid
on current provided following conditions are
SOR) satisfied171:
above
estimated d) The procurement was
bid price satisfactorily advertised and
and sufficient time was given for
response to submission of bids;
bid is
171
adequate (2 e) The qualification criteria were

or more not unduly restrictive; and
valid bids) f) Prices are reasonable in
Member If the bid
price is (ii) In the event there is a single bid,
quoted the decision for award of the
below project shall be made by the Board
estimated of NHAI.
bid price
and
response to
bid is
adequate (2
or more
valid bids)
8.2.4 OMT Bids Board Full Powers (i) In case only a single bid is
Chairman If quoted then the same shall be accepted if
first year the rates are reasonable &
concession workable and the process is valid
fee is upto with the compliance of validity of
7.5% less process recorded in writing. The
than the process should be considered valid
assessed at provided following conditions are
the time of satisfied172:
SFC
approval d) The procurement was
Member If quoted
first year
submission of bids;
concession
fee is above
the
assessed at
the time of
SFC
(ii) In case single bid is received,
approval
except in case where due to other
reasons, like difficult conditions,
law & order, etc., the response is
expected to be poor, the proposal
may be put up to Board for
consideration, Board may accept
single bid after examining the
reasonableness of the same.
8.2.5 BOT (Annuity) Chairman If number of Where base parameters are

bids changed after getting approval of
received are the PPPAC and if this affects the
172
three or project evaluation, the matter

more and should be once again brought
the annuity before PPPAC174
quoted by
the
preferred
bidder is
less than the
annuity
amount
approved by
the
PPPAC173
8.3 Signing of Member (in- Full Powers If all conditions precedent are
Agreement and charge) satisfied. In case parties agree for
Declaration of waiver of conditions precedent
Appointed Date/ including waiver of damages, the
Commencement case is to be submitted to
Date for the project Chairman with full justification to go
for waiver alongwith firm targets for
satisfying the conditions precedent
8.4 Payments to Concessionaire/ Contractors in the Projects
8.4.1 Payment of Equity CGM/RO Full Powers As per provisions in the

Support (Grant) in for approval Concession Agreement.
Toll Projects/
Annuities in
Annuity Projects PD Full Powers
for release
after
approval
8.4.2 Payments in CGM/RO Full Powers As per provisions in the

Hybrid Annuity for approval Concession Agreement.
Projects viz
advances, PD Full Powers
payments during for release
construction period after
& operation period approval
(Annuity/O&M)
8.4.3 (a) Payments in CGM/RO Full Powers As per provisions in the Contract
Advances and
Final Payments PD Full Powers
for release
173
174
NHAI Circular No. 8.1.15 vide 11041/218/2007-admn (102/2012) dated 21.05.2012
after
approval
(b) Payments in PD Full Powers As per provisions in the Contract

Stage Payments & & release.
Maintenance
Payments
8.4.4 Bonus in Annuity/ EC Full Powers

for approval
Hybrid Annuity/
EPC Projects PD Full Powers
for release
after
approval
9 Change of Scope (COS) in DBFOT/ EPC Projects
Approval of COS Chairman Upto 10% of (i). Awarded Cost is TPC in DBFOT
the awarded (Toll)/ Bid Project cost in HAM/
cost of the Contract Price in EPC;
project
Executive Upto 15% of

Committee the awarded (ii). Guidelines on COS are being
cost of the issued separately.
project
(iii). PD and RO shall certify after

site inspection that COS is
NHAI Board >15% but absolutely essential/ unavoidable
upto 20% of in public interest.
the awarded
cost of the
project
(iv). In-principle approval for COS
MoRTH >20% of the will be conveyed by NHAI, HQ to
awarded RO, who in turn will issue COS
cost of the Notice/ Order within the cost
project approved in-principle
10 Operation & Maintenance (O&M) Works in case of the stretches maintained by NHAI
10.1 Variation in single RO Full Powers (i). Delegation of Power given in

BOQ Item (subject upto +/- 50% Policy Circular (Tech-209/2016)
to limit on total of original dated 02.08.2016 is modified to the
variation) quantity extent given herein.
10.2 New/ Non-BOQ RO Full Powers

Item (subject to upto 10% of
original
limit on total Contract (ii). Delegation of Power for

variation) Value emergent repair works is as given
in Policy Circular (9.4.21/2016)
10.3 Total Variation RO Full Powers dated 28.11.2016
(BOQ + Non-BOQ) upto 15% of
original
Contract
Value
10.4 Extension of Time RO Full Powers

(EOT) upto 50% of
original
Contract
Period
subject to
maximum 6
months
10.5 Sanction of RO Upto Rs. 10

Maintenance Crore per
Estimate (O&M, project
Renewal, SR, etc) reach per
annum
11 Contractual Member Payable Delegation of Power given in Para-

Disputes: Decision Concerned Amount (A)(8.1) of Policy Guidelines
to accept or (without (2.1.22/2017) dated 01.06.2017 is
challenge DRB interest) modified to the extent given herein
recommendation/ upto Rs.
Arbitral Award / 10Cr.
Court Order
(decision taken by Executive Payable
NHAI Board in its Committee Amount
meeting held on (without
17.08.2017) interest)
above Rs.
10Cr.
(B) Delegation of Power for signing of Letter of Intent (LOI), Concession Agreement,
Substitution Agreement and Escrow Agreement in respect of BOT Projects175
After the award of a project to a Concessionaire has been approved by the Competent
Authority, CGM/GM of the concerned Technical Division shall (i) issue Letter of Intent
(LOI) to the Concessionaire (ii) Sign the Concession Agreement with the
Concessionaire without further putting up files to the Chairman for approval.
The Concessionaire submits the Executed Substitution Agreement and Escrow

Agreement which are checked by Financial Consultant with reference to the standard
formats provided in the Concession Agreement. After checking, the Finance Division
forwards these documents to the concerned Technical Division for signing. If there is
no variation in these documents with respect to the standard formats, the CGM/GM of
175
the concerned division shall sign these documents on behalf of NHAI without any further
approval from Chairman. Only when there is a variation between these documents and
the standard formats, approval of Chairman may be sought before signing these
documents.
(C) Signing of the Concession Agreement/ Contract Agreement strictly as per the
RFP documents176.
All the General Managers are advised to exercise due care at the time of signing of
Agreement and shall ensure that the Concession Agreement/ Contract Agreement is strictly as
per the RFP documents.
II. Appraisal of projects- Certificate regarding technically sanction of proposals

submitted to Ministry for appraisal/approval-reg177.
There are three stages for approval of various proposals being considered in the
Ministry, namely: Technical sanction, financial sanction and administrative approval. At
present, there is no formal mechanism for technical sanction/vetting of the NHDP proposals
executed by NHAI and no specific technical sanction is used by NHAI for projects.
(II) In this context the following has been decided:
(ii) Before submitting any proposal for approval in Ministry, the same shall be ‘technically
appraised’ by NHAI, for which delegation of power for NHAI projects will be as under:
Sr. Particulars Extent of Delegation To whom Delegated

w.r.t Civil Cost
No.
1. Technical level at Up to Rs. 100 Crore GM (T)

which appraisal
2. for the project to Above Rs. 100 Crore CGM (T)
be accorded. and upto 1000 Crore.
3. Above Rs. 1000 Crore. Member Concerned
(III) The SFC/EFC memo must include information on scrutiny and acceptance of DPR in
NHAI at appropriate level. A certificate in this regard along-with the prescribed 24 point
checklist shall also be submitted to Ministry for appraisal/approval of Proposals.
III. Criteria for PPPAC approval178

As per policy regarding approval of projects by the PPPAC the following milestones
should be achieved before a project is submitted for approval of PPPAC:-
(iii) Notification under section 3(A) of NH Act should have been issued for at least 90% of
the land area required for the project and
(iv) The total area of land in possession together with the area notified under section 3(D)
of NH Act should be at least 60% of the area required for the project.
176
177
NHAI Circular No. 18.21/2017 dated 18.01.2017
178
NHAI Circular No. 8.1.16 vide NHAI/11013/DGM(LA/Coord)/Circular/2013/1 (66/2006) dated
07.01.2013
It is further stated that criterion as stated in SI. No. (i) above together with the criterion
as per S No (ii) above are required to be met before a project is considered for PPPAC
approval.
IV. Conditions for invitations of Bids for Award of Projects179
In view to achieve the annual targets for finalisation of project for implementation, a
need is felt to finalise the DPR project alignment and accelerate activities of land acquisition
and clearances etc. on one hand where proceeding with the bid process in parallel. In order to
accelerate both activities in parallel, commitment from RO will be essential so that there is no
mis-match in the timelines in obtaining land acquisition and clearances in the field and bid
process in HQ. Accordingly commitment from ROs shall be taken on assessment of timelines
for fulfilling the Condition Precedent, based on which the bid shall be processed. It shall be the
endeavor of ROs and PDs to pursue with the concerned agencies to fulfill the commitments
regarding Condition Precedents well in time for project award.
(ii) Accordingly the Competent Authority has decided to follow the following timelines as
per the table below:
Conditions for invitation of Bids for Award of Projects
Sr. Activity
No. Land Acquisition status for EPC Projects
1. (iii) 3 ‘A’ proposal has been processed by RO to HQ.

(iv) Within 45 Days, 60% of 3D shall be achieved by RO/PD. Commitment of RO/PD
shall be taken for achieving this within 45 Days.
2. Utilities: Utilises to be shifted, shall be identified and estimate shall be prepared.
(iii) Stage-I Forest Clearance proposal, wherever applicable, should have been
applied (uploaded) :
(iv) Environment Clearance obtained, if required.
Conditions for Receipt of Bid
1. (iv) Sanction of Competent Authority for the project shall have been obtained.
(v) 60% 3D achieved
(vi) 3G commenced; 3G=10%
Conditions for Award of Projects:
1. Land Acquisition Status:
Condition precedent fulfilled/commitment for fulfillment by RO/PD so as to achieve

Appointed Date as per the Concession/Contract Agreement or MoRTH extant circular
applicable for Appointed Date.
(iv) Environment Clearance Obtained, if required.

(v) Forest stage-1 clearance obtained.
179
NHAI Policy Circular no. 18.26/2017 dt. 13.09.2017
(vi) ROB approval are in advance stage to achieve well within the timelines of RFP
3. Bid for IE/AE to be initiated along with the civil work bid.
(iiii) Member concerned may decide invitation of bid on case to case basis based on likely
achievement of above conditions base on RO commitments.
V. Dispensation of physical submission of Bid in various procurement methods

- Amendment to RFP clauses - Reg180.
Authority in its 135th Meeting (Agenda item 135.15) held on 17.01.2019 decided that the bids
on all modes should be received online including Bid Security, Application Cost, POA etc. and
the requirement of submission of bids in physical form before bid due date for declaring the
bids responsive should be dispensed with immediately. In compliance to Authority’s decision,
physical submission of following documents on or before Bid Due Date is dispensed with:
h. Offline payment for cost of tender documents i.e Demand Draft etc.
i. Original of Bid Security Bank Guarantee
j. Original Power of Attorney for signing the bid
k. Original Power of Attorney for lead member of the JV, if any
l. Original joint bidding Agreement for JV, if any,
m. Original of Integrity Pact,
n. Original of experience certificates apostle at foreign origin, if any
II) Instead;
g) Bidders shall make online payment for cost of tender documents
h) Bidders shall upload copies of all document listed at para 1 (a to g) above while
i) Technical & Financial evaluation of bid and declaration of result shall be done
based on the documents received online after confirmation of Bid Security BG
from the issuing Bank and payment for cost of tender in Authority’s Account.
j) The successful bidder shall be asked to submit originals of all documents listed
at para I(b to g) above before issuance of LOA.
k) The successful bidder (including or any individual or any of its Joint Venture
Members) failing to submit the original documents required as per para 2 (d)
above shall be unconditionally debarred from bidding in NHAI projects for a
period of 5 years.
l) In case L-1 Bidder fails to submit the originals as per para 1(b to g), the bidding
process shall be annulled and Tenders shall be re-invited.
180
VI. Insertion of the Clause regarding Digital Signatory in Notice Inviting tender
document181 - In this regard, it has been decided to treat the Digital Signature of both the
persons i.e. person granting Power of Attorney (POA) and the person holding POA as
responsive.
VII. Evaluation of RFQ and legalization of power of attorney in respect of foreign

applicant member reg182.
Consequent upon the discussions held in the 302th Weekly Meeting held on 20th August 2008,
it has been decided that in case of consortium involving Indian and foreign applicant member,
the Power of Attorney (POA) for signing of applications and for lead member of consortium, if
executed and issued overseas, then the document shall have to be legalized by the Indian
Embassy in the country concerned and notarized in the jurisdiction where the POA is being
issued. However, any deficiency observed in POA at RFQ stage should not render the
applicants non-responsive and same may be insisted at the subsequent RFP stage.
VIII. Procurement of NHAI Projects on BOT (Toll/Annuity) under PPP Mode 183
For the purpose of determining the VGF or Annuity payout as the case may be, only
the PPPAC approved TPC is to be taken into account. In case, increase in TPC due to
justifiable reason(s), the prior approval of PPPAC to the revised TPC is required to be
taken mandatorily in appraisal to determine the revised/enhanced VGF or Annuity
payout.
IX. Regarding replies being given by Technical Divisions as ‘As per RFP’ in
response to the pre-bid queries in various contracts (BOT/HAM/EPC/TOT,
etc.)184.
It has been observed that while giving the replies to the pre-bid queries most of the
times the replies are given by Technical Divisions as ‘As per RFP’ which does not convey clear
view of the Authority to the Bidders.
(ii) Henceforth, while giving the replies to the pre-bid queries, answers should not be given
as ‘As per RFP’ at all. Instead, the provisions of the clauses in the bid documents should be
clearly explained in the reply in order to avoid any ambiguity leading to litigation at a later date.
X. Assessment of existing commitments of prospective bidders in respect of

clause 2.2.2.1 of standard RFP for EPC projects185.
Reference clause 2.2.2.1 of Standard RFP for EPC projects, after issuance of NHAI
Policy Circular No. 11.32/2021 dated 07.12.2021 and in supersession of NHAI Policy
Matters: Technical (67/2006) dated 06.06.2006, Executive Committee in its 505th
meeting has decided that all works for which bidder has emerged as the winner of the
bids shall also be considered while calculating value of existing commitment. EC
further decided following for calculation of value of existing commitment of a bidder
for EPC projects:
181
182
NHAI Circular No. 9.1.5 Vide 11041/218/2007 (TECHNICAL 17/2008) Dated 25.8.2008 & MoRTH
Circular no. RW/NH/37010/4/2010/EAP-Vol(IV) dt. 30.04.2020
183
184
NHAI Policy Circular no 18.58 dated 17.11.2020
185
(1) In case the existing commitment pertains to HAM project then the project shall be
considered under the scope of bidder unless bidder has submitted the relevant
documents supporting that another EPC contractor has been engaged for execution
of EPC works.
(ii) Contract value of HAM projects may be taken as 'Awarded Bid Project Cost/1.20'
for calculation of value of existing commitment.
XI. Engagement of Financial Consultant for Projects to be implemented on EPC

Mode – Maintenance of Roster186
Finance Division will appoint the financial consultant as per roster in accordance with the
roster register to be maintained in EPC Finance division from the empaneled list of Financial
Consultants considering the following guidelines: -
(ii) In case of fresh allotment of EPC project into a number of packages: - Only one package
may be allotted to the existing financial consultant and the remaining packages may be
allotted to the other financial consultant as per the roster maintained in Finance division.
(iii) In case the project is/are restructured from BOT (Toll)/BOT (Annuity)/OMT to EPC
mode: - One package may be allotted to the original financial consultant and remaining
packages will be allotted to the other Financial Consultant as per the roster maintained
in Finance Division.
(iv) Execution of Contract Agreement: - Concerned Technical Division shall execute a

Contract Agreement with the Financial Consultant so appointed as per roster by
defining the scope of work and TOR as per earlier practice and also as per earlier vetted
format of Contract Agreement with same rates, terms and condition as mentioned in
the RFP.
(v) Since, presently Authority i.e NHAI has adopted a single stage two-part system
(referred to as the “Bidding process”) for selection of Bidder for award of the project
under EPC mode and in the process of evaluation, financial consultants are to
undertake all the activities of RFQ and RFP evaluation, accordingly, the revised Stages
now will be in four (4) numbers of stages covering 100% fixed cost of Rs. 6.00 lacs plus
applicable Service Tax as per following details: -
Stage Particulars of work to be done by the FC % Payable
I Preparation/Evaluation of bidding documents i.e RFQ & 30%

RFP
II Preparation of EPC Documents 15%
III Evaluation of RFP 25%
IV Preparation of final EPC documents for signing of 30%

agreements
(vi) No repetition payment should be allowed in respect of EPC project, since, MoRTH has
already developed the model RFP and no major changes are permissible except
change in the name of Projects, Length etc.
186
NHAI Circular No. 9.1.10 Vide 11014/11/2016-HR I (9.1.10/2016) Dated 27.12.2016
XII. Amendment of Technical Specification Clause 305.8187
Different interpretations have been made to the Technical Specification Clause 201 with
regard to the provision of clearing and grubbing by the Contractors, Engineers, DRB and
Arbitrators. As a result, there are many arbitration awards in favour of the Contractors, which
are being contested by NHAI.
It has now been decided that it should be clarified to all concerned that clearing and grubbing
item is deemed to include backfilling upto a thickness of 150 mm. Therefore, no separate
payment for earthwork to the extent of 150mm thickness is payable. Accordingly, Technical
Specification Clause 305.8 shall be amended as follows for all future contracts.
Clause 305.8 : Add the following at the end of the first paragraph
“The original ground level referred to above shall mean the actual levels obtained after the site
is cleared and grubbed plus a thickness not exceeding 150mm to account for the incidental
item of backfilling after clearing and grubbing as per Clause 201 of the specifications to bring
back the ground level to the original level which was existing before start of clearing and
grubbing”. The original ground level referred above shall be same as the OGL referred in
Clause 109.6
XIII. Guidelines for acceptance and award of single tenders- reg188.
Ministry of Finance, Department of Expenditure vide circular No. F.1/1/2021-PPD dated

29.10.2021 has pointed out that re-bidding has costs: firstly the actual costs of re-tendering;
secondly the delay in execution of the work with consequent delay in the attainment of the
purpose for which the procurement is being done; and thirdly the possibility that the re-bid may
result in a higher bid. Lack of competition shall not be determined solely on the basis of the
number of Bidders. Even when only one Bid is submitted, the process should be considered
valid provided following conditions are satisfied:
j) The procurement was satisfactorily advertised and sufficient time was given for
submission of bids;
k) The qualification criteria were not unduly restrictive; and
l) Prices are reasonable in comparison to market values.
2. In view of above, it has been decided that in case only a single bid is received by the
due date of receipt then the same shall be accepted if the rates are reasonable & workable
and the process is valid as per para 1 above with the compliance of validity of process
recorded in writing.
XIV. Public Procurement Policy for Micro and Small Enterprise (MSEs) – Reg189.
Secretary, Ministry of Micro, Small and Medium Enterprises, Govt. of India, New Delhi
vide letter No.21(15) 2012-MA dated 9th January, 2014(Annexure ##- A) has requested for
taking appropriate measures for effective implementation of the Public Procurement Policy for
Micro and Small Enterprise policy and setting up a monitoring mechanism to review the same.
(ii) Public Procurement Policy for Micro and Small Enterprises (MSEs) was notified by the
Government under Micro, Small and Medium Enterprises Development Act, 2006 and it came
187
NHAI Circular No. 9.1.6 Vide 11041/218/2007 (TECHNICAL 21/2008) Dated 11.11.2008
188
NHAI Policy circular no 18.78/2022 dt. 18.02.2022
189
NHAI Policy circular no 18.16 through Circular no NHAI/CMC/Misc./2014 dated 18.03.2014
into effect from 01.04.2012. The policy mandates that at least 20% of the total annual
procurement of goods and services shall be made by all Central Ministries/ Departments/
Central Public Sector Undertakings (CPSUs) from the Micro and Small Enterprises (MSEs).
Within this mandated percentage, a sub target of 4% (of total procurement) is to be made from
MSEs owned by SC/ST Entrepreneurs.
(iii) Also, it has been informed that OM No. DPE /7(4) /2007-Fin dated 16.08.2013 of Ministry
of Heavy Industries and Public Enterprises, Department of Public Enterprises has been issued
for effective Implementation of this policy. This OM communicates about the decision with
respect to:
(III) Award of appropriate weightage in MOU of CPSEs for the year 2014-15 for
implementation of this policy.
(IV) Publishing information regarding implementation of this policy by CPSEs in the
Annual Public Enterprises Survey from 2012-13 onwards.
(iv) For effective implementation of the policy all PDs/ROs/NHAI-HQ officials are required
to ensure compliance of guidelines of MSEs in procurement works as applicable.
(v) Also PDs may ask the concessionaire under their jurisdiction, to consider the
procurements from MSME Entrepreneurs, if the required specification/supply schedule are met
by these Entrepreneurs.
(vi) The monitoring of the above guidelines is also required to be ensured by concerned
Regional Officers of field units of NHAI/CGM(T)s in HQ under their jurisdiction A centralized
report for compliance of various provisions of the Policy has to be sent by CMC Cell to the O/o
DC-MSME, Ministry of MSME, 7th Floor, Nirman Bhawan , New Delhi being Nodal of Office of
the policy, for which compliance report shall be made available by respective ROs for
procurements at field units and CGM (T)s for procurements at NHAI,HQ to CMC Cell on
quarterly basis.
XV. Deletion of Provision of Underground Tunnels at Toll Plazas190.
Toll Plazas are being constructed at designated points of National Highways for
collection of fee from the road users. In order to avoid miscreant activities and attack on the
toll creators to snatch cash, the provision of underground tunnel was introduced.
(ii) In the present scenario electronic toll collection through FASTags is going to be
mandatory for all vehicles. Further, Government is keen on moving to a system wherein 100
percent of the toll collected is through FASTag and no cash handling at toll plazas. Hence, toll
booths for handling cash will eventually get obsolete.
(iii) In view of above, it has been decided to stop making provision of tunnels at the toll
plazas from ongoing as well as future NH projects.
(iv) All technical divisions may accordingly make required amendments in their bidding
documents. Further, in case of works already awarded but work of tunnels completed is less
than 70%, notice for negative change of scope may be initiated with respective contractors/
concessionaires.
190
NHAI Policy circular no 18.64/2021 dated 08.01.2021
(v) All technical divisions shall issue suitable instructions to DPR/ Feasibility consultants
also for all DPRs/ Feasibilities under preparation.
XVI. Consolidated Instruction regarding Global Tender Enquiry (GTE) under Rule
161 (iv) of General Financial Rules (GFRs) 2017 upto Rs. 200 Crores and for
relaxation on Global Tender Enquiry for procurement of raw materials–
Reg191.
(A) MoRTH vide Letter No. NH-35014/20/2020-H dated 07.07.2021 has forwarded a copy
of Department of Expenditure’s OM No. F.4/1/2021-PPD dated 30.06.2021 on the above
subject. A copy of the same is placed at Annexure ##-B for information and compliance.
(B) MoRTH vide Letter File No. G-20016/03/2020-TF-II dated 21.02.2022 has forwarded a
copy of Department of Expenditure’s OM No. F.4/1/2021-PPD dated 14.02.2022 on the subject
of relaxation on Global Tender Enquiry for procurement of raw materials. A copy of the same
is placed at Annexure ##-C for information and compliance.
XVII. Reduction of contingency charges for the execution of National Highways

works-reg192.
MoRTH vide Letter No. A-12025/1/2020-NHIDCL (Pt.) dated 10.08.2021 has decided that
henceforth contingency charges for the execution of all National Highways related works will
be levied @ 1% of the civil cost component instead of existing 2.8%. This shall apply to all
estimates whether original or revised. This change in the contingency charges will be effective
from 10.08.2021. Projects which have already been cleared by SFC/ EFC/ PIB will not be
affected by this decision. This is for information and compliance.
XVIII. Standard operating procedure to debar/penalize/declare as Non-Performer

the Contractor/Concessionaire in National Highways and other centrally
sponsored road projects.193
It has been noticed that in many cases there are lapses on the part of the
Contractor/Concessionaire in fulfilling contract provisions during development period,
construction period and O&M Stage that lead to delay/acceptance of sub-standard works
leading to premature distress/failure during construction.
2. In order to ensure construction of roads as per standard and specifications laid down in
contract/concession agreements and to avoid project delays, it has been decided to
debar/penalize/declare as Non-Performer the Contractors/Concessionaires for their lapses in
National Highways and other centrally sponsored road projects as detailed herewith in the
same lines as issued vide MoRTH circular File No.RW/NH-33044/76/2021-S&R(P&B) dated
06.10.2021 & 04.01.2022.
1 Failure to set up institutional Declaring the contractor / concessionaire as
mechanism and procedure as per non- performer till institutional mechanism
contract. and procedure is properly set up as verified by
the Nominated Officer.
191
NHAI Policy Circular No. 18.72/2021 dated 31.08.2021 & 18.80/2022 dated 11.03.2022
192
NHAI Policy Circular No. 18.71/2021 dated 31.08.2021
193
NHAI Policy circular no 16.11/2021 dated 16.11.2021, IT Division OM File No 13057/01/2021/IT
dated 10.12.2021 & 16.14/2022 dated 31.01.2022

2 Fails to complete or has missed Declaring the contractor / concessionaire as
any milestone and progress not non- performer till milestone is achieved or
commensurate with contiguous project is completed as certified by the
unencumbered project length /ROW Nominated Officer.
available even after lapse of 6 months
from respective
project milestone/Schedule
Completion date, unless Extension of
Time has been granted due to
Authority’s Default or Force Majeure.
3 Fails to achieve progress Declaring the contractor / concessionaire as
commensurate with funds released non- performer till progress commensurate
from Escrow Account (Equity + Debt + with funds released is achieved as certified by
Grant) in BOT or HAM project and the Nominated Officer.
variation is more than 25% in the last
365 days.
4 Fails to achieve the target progress or Declaring the contractor / concessionaire as
complete the project as per schedule non- performer till completion of project or
agreed at the time of sanctioning of achievement of project target as certified by
funds under One Time Funds Infusion the Nominated Officer.
(OTFI) or relaxations to contract
conditions to improve cash flow solely
on account of concessionaire’s
failure/default.
5 (a) Fails to complete rectification Declaring the contractor / concessionaire as
(excluding minor rectifications) as per non- performer till rectification(s) is
time given in non-conformity reports completed.
(NCR) in design/ completed
works/maintenance or reported in
Inspection Reports issued by Quality
Inspectors deployed by the Authority or
Officers of the Authority.
(b) Fails to complete minor
rectifications exceeding 3 instances in
a project not completed as per time
given in non-conformity reports (NCR)
in design/completed
works/maintenance.
6 Fails to start the work or causes delay Declaring the contractor / concessionaire as
to maintenance & repair/overlay of the non- performer till it is completed as certified
project. by the Nominated Officer.
7 Fails to complete Punchlist items even Declaring the contractor / concessionaire as
after lapse of time for completion of non- performer till punch list items are
such items excluding delays completed as certified by the Nominated
attributable to the Authority. Officer.

8 Occurrence of minor failure of Rectification by contractor/concessionaire at
structures/highway due to its own cost + penalty of 5% of contract value
construction defect wherein no of failed/defective work or 0.5% of contract
causalities are reported. value of whole work whichever is more and
[Causalities include injuries to human written warning.
being or animals] The key personnel (head of the structures in
failure) may be kept on watch list for any
future recurrence besides issuing written
warning.
Nominated Officer.
9 Occurrence of major failure of Rectification by contractor/ concessionaire at
structures/highway due to its own cost and/or debarment up to 1 year
construction defect wherein no or till completion of instant work whichever is
casualties are reported. higher in NH or centrally sponsored road
[Causalities include injuries to human works + penalty of 5% of contract value of
being or animals] failed/defective work or 0.5% of contract value
of whole work whichever is more.
debarment of concerned key personnel up to
2 years in NH or centrally sponsored road
works.
Nominated Officer.
10 Occurrence of major failure of Rectification by contractor/ concessionaire
structures/highway due to construction at its own cost and/or debarment up to 3
defect leading to loss of human lives years or till completion of instant
besides loss of reputation of the work, whichever is higher in NH or centrally
Authority etc. sponsored road works. In addition, penalty of
10% of contract value of failed/defective work
or 1.0% of contract value of whole work,
whichever is more.
debarment up to 3 years in NH or centrally
sponsored road works.
Nominated Officer or a 3 member Committee.
3. Nominated officer shall be the GM(T) of the adjoining division. Frequency of reporting
shall be monthly by PD, based on which RO shall report to Member on action to be taken on
contractors/concessionaire.
4. Amendments shall be made in the provisions of Model Request for Proposal (RFP)
document for NHs and other centrally sponsored road works proposed to be implemented on
EPC, HAM & BOT(Toll) mode of contract as per Annexure ##-D.
5. Before deciding a contractor/concessionaire as Non-Performer or debarring/penalizing
it, the concerned Technical Division shall issue a notice to the contractor/concessionaire by
giving 15 days' time to furnish its written reply and allow personal hearing if so desired by the
contractor/concessionaire before Member concerned. Such a notice shall not be issued without
the approval of an officer not below the rank of Chief General Manager. In case of projects
where public safety is endangered by the behavior/conduct/action of the
consultant/contractor/concessionaire, the authority may temporarily suspend the
consultant/contractor/concessionaire from participating in ongoing/ future bidding upto 1 month
period during which the regular process of debarment shall be concluded.
6. Concerned Technical Division Chief General Manager, NHAI (HQ) are Competent
Authority for certifying the report submitted by Nominated Officer regarding completion of the
rectification.
7. The competent authority for approval of penal action is Chairman, NHAI and the
firm/individuals on which penal/deterrent action is taken may represent to the “Reviewing
authority” against the action/penalty imposed. The “Reviewing Authority” is the Secretary,
Road Transport & Highways.
8.1 Upon declaration of non-performer/debarred, the Contractor/Concessionaire will not be
able to participate in any bid for National Highways projects with MoRTH or its executing
agencies till such time the debarment persists or the Contractor/Concessionaire is removed
from the list of non-performers. In bidding for a particular project, bids from only such firms
should be considered for placement of contract, which are neither debarred on the date of
opening of tender nor debarred on the date of issue of Letter of Acceptance (LoA). Contractors
concluded before the issue of the debarment/declaration as non-performer order shall not be
affected by the debarment order(s) issued subsequently.
8.2 In case, any debarred/declared non-performer firm submits the bid, the same will be
ignored. In case such firm is lowest (L-1), next lowest firm shall be considered as L-1. Bid
security submitted by such debarred/declared non-performer firms shall be returned to them.
8.3 Debarment/declaration as non-performer of a particular firm shall automatically extend to

all its allied firms. In case a joint venture/ consortium is debarred, all partners/members shall
stand debarred for the entire period.
9. Upon declaration of non-performer/debarment of any agency (i.e.

Contractor/Concessionaire) concerned division/ ROs/ PDs shall upload the details of same in
Data Lake and also notify the details to Contract Management Division through e-office for
maintaining the record/data related. Concerned Division shall also notify Contract Management
Division if there is any change in non-performer/debarment status of any agency. Contract
Management Division will act as a Nodal Division and upload the details of Non-performing/
debarred agencies debarred by other government entities on Data Lake. It is clarified that
concerned division are responsible for uploading the details of Non-performing/ debarred
agencies pertaining to their division on Data Lake. Contract Management Division being a
Nodal Division with the help of IT Division shall make sure that list of Non-performing/ debarred
agencies is available on NHAI website.
XIX. Appraisal of PPP projects- Standard parameters for financial analysis of

BOT(Toll), BOT(Annuity), HAM, TOT, InviT mode of projects.
Reference directions of MoRTH vide OM no. NH-37017/1/2010-H dt. 19.01.2010 and letter nos
RW/NH-37011/67/2011/PP dt. 08.09.2011, RW/NH-37011/02/2010/PPP (Vol II) letter and OM
both dt. 16.11.2011 & NH-37012/09/2009-H dt. 16.06.2014 and Corrigendum dt. 20.06.2014
and subsequent circulars issued by NHAI vide Circular no. NHAI/11033/CGM(Fin)/2011 dt.
29.04.2011, Corrigendum no 1 dt. 02.05.2011 & Corrigendum no 2 dt. 25.11.2011, Standard
Parameters for adoption by Financial Consultants to bring uniformity in Financial Analysis of
BOT (Toll) and BOT (Annuity) Projects have been prepared. These are based on instructions
issued at different points of time. All Financial Consultants are required to adopt these Standard
Parameters without any exception for finalizing Projects Analysis Any Change in these
Parameters will be notified separately
(A) Assumptions for Financial feasibility Analysis of BOT (Annuity) 194
Projects
a) Capital Cost Assumptions
1. Civil Construction As per the Feasibility report escalated

Cost by 5% per FY upto the start of
construction
2. Construction period As per the feasibility report

Agreement
Schedule
4. Contingencies195 0% of Civil Construction Cost
5. EPC Cost EPC Cost to be sum of Civil

Construction Cost and Contingencies
i.e., Sl. 1 + Sl. 4
6. IC/Pre-operative
1% of EPC
Expenses
7. Insurance during
0.15% of EPC every year.
Construction
8. Financing 2.00% of Debt, if Civil Cost upto Rs

charges196 500 Crore
194
Presently no project under BOT(Annuity) are being invited on introduction BOT Hybrid Annuity.
195
As per MoRTH Circular No. RW: NH-24036/27/2010-PPP (Pt.) dated 09.05.2018
196
1.50% of Debt, if Civil Cost >500 Crore

but upto 1000 Crore
1.00% of Debt, if Civil Cost is above

1000 Crore
9. Escalation on balance EPC at the start

of an FY compounded 5% every FY
Escalation on actual EPC expenditure
Escalation in EPC in an FY The expenditure in that FY is
during to be assumed to be incurred uniformly
over the complete 12-month period and
Construction
thus such expenditure is to be further
escalated by 5% over 12 month period
e.g. in case expenditure in an FY is 100
cr then the same is to be incurred as
average of 100 and 100* 1+5%) i.e.
102.5 cr
10. Rate of Interest IDC to be calculated

During on the average of
Construction opening and closing
(IDC)197 debt balance for any
FY
SBI MCLR for 3 years + 2% 29.04.2011
16.06.2014 read with

20.06.2014
Base

b) Financing Assumptions
S. No. Items
2. Contingencies
7. Interest During Construction (IDC)
197
1. Debt-Equity Ratio 70:30
2. Equity Drawdown 25% upfront equity contribution and As per generally

balance in proportion to debt seen requirements of
the lenders
4. Rate of interest during SBI MCLR for 3 years + 2%

operations198
5. Moratorium Period for Construction period plus 6 months

Loan Repayment

Tenure

Moratorium Period), to be paid
c) Expenditure Assumptions
2. Periodic Rs. 35 lacs/Km/ 6 Year for base

Maintenance199 year 2011-12 for 4-lane Highway
for Flexible Pavement
3. Routine Rs. 3.5 lacs/Km/Year for Base Year In year of Periodic

Maintenance200 2011-12 for 4 Lane Highway for maintenance Routine
required.
Rs. 4 lacs/Km/Year for Base Year
5. Electricity & Patrolling

Rs. 1.25 lacs/Km/year for 2010-11
expenses
6. Insurance 0.15% of TPC/year
7. Inflation on above
expenditures (except
5% per year
Insurance)
198
199
200
8. Adjustment in Above rates are for Four. lane

Expenditure
for Six Lane 150% of the above are
d) Revenue Assumptions
1. Concession Period 17 Years
2. Annuity Semiannual Annuity Payment
e) Tax & Depreciation Assumptions
Sl. Head Suggested Assumptions Remarks
1. Corporate Tax As per IT Act201
2. MAT As per IT Act43
3. Tax Holiday As per IT Act43

5. Depreciation/Amortization As per CBDT Circular 09/2014 As amended from

dated 23.04.2014 time to time

201
As per MoRTH Circular no NH-37012/09/2009-H dt. 16.06.2014 & 20.06.2014
f) Assumptions for Key Indicators:

Outflow-IDC}
Where,
Equity)
Discount rate for

Project Cash Flows

{PAT + Depreciation- Loan
3. Holders for Equity IRR
Calculation
(Loan Repayment + Interest

Payment)

Debt Service
4. Coverage Ratio
(DSCR)

Tenor
Maximum Equity IRR 18% (in difficult

Assessment for areas having Law & Order problems,
5.
Semiannual Annuity securities inhospitable terrain, Equity
IRR can go upto 21%)
(B) Assumptions for Financial feasibility Analysis of BOT (Toll) Projects:
a) Project Assumptions
1. Concession period When total-traffic on the Toll Plaza

having the lowest traffic crosses the
road capacity or (b) 30 years
whichever is lower
Or, in case above is not yielding an

Equity IRR of 15% within
permissible Viability Gap Funding
(VGF), concession period to be
extended to achieve 15% equity
IRR subject to a maximum of 30
years.
Concession Period shall be rounded

off to a whole number such that in
that ear capacity is not breached
2. Highway Capacity
Lane Details Capacity in
Plain Areas
(PCUs)
2 Lane with 25,000

Paved
Shoulder
4 Lane 60,000
6 Lane 120,000
Where,
PCU= Passenger Car Unit
However, capacity for specific

cases such as Hilly area would be
separately provided by NHAI.
3. PCU Factors Following table provides PCU

factors for various vehicle
categories. However, in case of any
discrepancy in this table and the
Concession Agreement, provisions
of Concession Agreement shall

prevail.
Fast
Moving/Motor
driven
Cars/jeeps/Utility 1
Vehicles
Mini Buses 1.5
Buses 3
2-Axel Trucks 3
3-AxeI Trucks 3
Light Commercial 1.5

Vehicles (LCV)
Multi-Axle Vehicles 4.5

MA
Heavy Machinery 4.5

Equipment HME
lover sized vehicles
Two Wheelers 0.5
Three 1
Wheelers/Auto
Rickshaw
Agri Tractor without 1.5

Trailer
Agri. Tractor With 4.5

Trailer
Slow Moving/Not
motorised
Cycle 0.5
Cycle Rickshaw 2
Animal Driven 8
Hand driven 3
Others 1
b) Capital Cost Assumptions
1. As per the Feasibility report escalated by

Civil Construction Cost
5% per FY upto the start of construction
2. Construction Period As per the feasibility report

Schedule Agreement
4. Contingencies 0% of Civil Construction Cost202
EPC Cost to be sum of Civil Construction

5. EPC Cost
Cost and Contingencies i.e. Sl. 1 + Sl. 4
IC/Pre-operative
6. 1% of EPC
Expenses
Insurance during
7. 0.15% of EPC every year.
Construction
8. Financing charges203 2.00% of Debt, if Civil Cost upto 500 Crore
1.50% of Debt, if Civil Cost >500 Crore but

below 1000 Crore
1.00% of Debt, if Civil Cost is above 1000

Crore
Escalation on balance EPC at the start FY

of an compounded 5% every FY
Escalation on actual EPC expenditure in

an FY: The expenditure in that FY is to be
Escalation in EPC assumed to be incurred uniformly over the
during complete 12 month period and thus such
9.
expenditure is to be further escalated by
Construction 5% over 12 month period e.g. in case
expenditure in an FY is 100 cr then the
same is to be incurred as average of 100
and
i.e. 102.5
IDC to be
calculated on the
average of
Rate of Interest During
10. SBI MCLR for 3 years+2.5% opening and
Construction (IDC) 204
closing debt
balance for any
FY
202
As per Circular No. RW: NH-24036/27/2010-PPP (Pt.) dated 09.05.2018
203
204
TPC to be calculated at assessed VGF

amount and 15% Equity IRR.
Calculation of Total
Project Cost UPC) In case assessed VGF amount is more
11.
than the ceiling, TPC is to be calculated at
ceiling VGF amount.

S. No. Items
2. Contingencies
7. Interest During Construction IDC
c) Financing Assumptions
1. Debt-Equity Ratio 70:30 or suitably adjusted to meet

the requirement of Concession
Agreement Article 25 (i.e. grant
should not exceed twice the equity)
2. VGF (as % of TPC) Upto 40% in Phase III and Phase

IV Projects and upto 10% in Phase
V projects
3. Equity Drawdown In case of VGF : 100% upfront As per Article 25 of the

equity Concession Agreement
for VGF cases.
In case of no VGF : 25% of upfront
equity contribution and balance in Non VGF cases as per
proportion to debt generally seen
requirements of the
lenders
5. VGF Drawdown As per the provision of Article 25 of

Concession Agreement
6. Rate of interest SBI MCLR for 3 years+2.5%

during operations205
7. Moratorium Period for Construction Period plus 6 months

Loan Repayment

Tenure

Moratorium Period) to be paid
d) Expenditure Assumptions
Sl Head Suggested Assumption Remarks
As per the provisions of Concession

1. Premium
Agreement
Rs. 1.60 cr./Toll Plaza/ Year for 1.25crores/toll

Toll Plaza and O&M 2010-11 plaza/year in 2005-06
3.
Expenses escalated to 2010-11
by 5% pa
4. Periodic Maintenance206 Rs. 35 lacs/Km/ 6 Year base year

2011-12 for 4-lane Highway for
Flexible Pavement
Rs. 3.5 lacs/Km/Year Base Year In year of. Periodic

2011-12 for 4 Lane Highway for maintenance Routine
5. Routine Maintenance207 Rs. 4 lacs/Km/Year Base Year required

Electricity & Patrolling

7. Rs. 1.25 lacs/Km/year for 2010-11
expenses
205
206
207
8. Insurance 0.15% of TPC/ year
Inflation on above
9. expenditures 5% per year
Insurance (except
Adjustment in Above rates are for Four lane

10. Expenditure for Six lane 150% of the above are
e) Revenue Assumptions
1. WPI Actual WPI values to be considered, as

available on website of Office of
Economic Advisor. For projections, the
WPI values are to be escalated by 5%
per year
2. Start of Toll collection From Commercial Operation Date

(COD)
3. Traffic growth
5% every year
Rate
4. Discounts to Local Commercial Vehicles registered

Local in the district where toll plaza is located,
Commercial to be tolled at 50% rate. For all future
projects quantum of District Registered
Vehicles208 vehicles shall be worked out on the
basis of actual survey.
5. Traffic Leakage/ Car/Van/Jeep @ 10% and other

Traffic that will not vehicles @5%. For Stretches under toll
use Highway209 operation, no leakage shall be
considered.
6. Exempted Car/Van/Jeep @ 3% of revenue and

Vehicles210 other vehicles @Nil.
For Stretches under toll operation, no

leakage shall be considered.
f) Tax & Depreciation Assumptions
208
209
210
1. Corporate Tax As per IT Act
2. MAT As per IT Act
3. Tax Holiday As per IT Act

5. Depreciation/Amortization As per CBDT Circular 09/2014 dated As amended from

23.04.2014 time to time

g) Assumptions for Key Indicators

Outflow-IDC}
Where,
Equity)
Discount rate for

calculation
2. of NPV of Project 12%

Cash
Flows

Holders for Equity {PAT + Depreciation- Loan
3. IRR
Calculation

Debt Service
4. Coverage Ratio (Loan Repayment + Interest
(DSCR) Payment)



Tenor
Assessment of VGF / At 15% Equity IRR

5.
Premium
h) Summary of Toll Policy
1. As per National Highways Fee

(Determination of Rates and
Collection) Rules, 2008 as amended
Calculation of User from time to time
Fee
2. WPI Series Latest WPI Series to be used as

available on the website of Office of
Economic Advisor
(www.eaindustry.nic.in)
C) Hybrid Annuity Model for Implementing Highway Projects211
The Competent Authority considered the above-mentioned proposal of this Ministry on

27' January, 2016 (Case No. 5/CCEA/2016). Now, National Highway Projects are also
to be implemented on the Hybrid Annuity Model as one of the modes of delivery. This
model is a variant of PPP and may be adopted for projects not viable on BOT (Toll)
mode.
II. Salient features of the Model are as follows: -

i. The project concessionaire shall be selected through an open, transparent and
competitive bid mechanism.
ii. Bid Parameter - Life Cycle Cost (Net Present Value (NPV) of the quoted Bid
Project Cost + NPV of the O&M Cost for the entire Operations period) shall be
the bid parameter.
iii. Cash Construction Support of 40% of Bid Project Cost shall be payable to the
concessionaire by the Authority in five equal instalments linked to project
completion milestones.
iv. Concessionaire shall have to initially bear the balance 60% of the project cost
through a combination of equity and debt and construct the project highway.
v. Semi-annual annuity payments shall be made to the concessionaire by the
Authority on completion of the project for the balance 60% of the project cost.
The annuity payments have been aligned with typical revenue profile for highway
projects. Along with the annuity payments, interest shall be paid on reducing
balance of cost. Interest Rate for the same shall be average of one-year MCLR
of top 5 Scheduled Commercial Banks212 plus 1.25 percent.
vi. Project costs shall be inflation indexed (through a Price Index Multiple),.which is
the weighted average of Wholesale Price Index (P) & Consumer Price Index for
Industrial Workers (CPI) (W) in the ratio of 70:30.
vii. Concessionaire shall remain responsible for the maintenance of the project till
the end of the concession period.
211
MoRTH Circular No. NH-24028/14/2014-H (Vol-II) dt. 09.02.2016
212
As per MCA 10.11.2020 (The Authority shall declare the list of Top 5 Scheduled Commercial Banks
on 1st September every calendar year based on the balance sheet size as declared in their annual reports.
The 1-year MCLR of the top 5 Scheduled commercial banks shall be taken at the start of every quarter
viii. Toll collection shall be the responsibility of the Authority.

ix. O&M payments shall be made to the concessionaire by the Authority, in
accordance with the amount quoted which will be inflation indexed Concession
Period shall comprise construction period, which shall be project specific and
fixed operations period of 15 years.
x. The appraisal & approval mechanism for projects under the Hybrid Annuity
Model shall be the same as the existing procedure for highways projects in PPP
mode.
For example, a project with a cost of Rs 1000 crores taken up through the above model would
have the following basic parameters:
i. Project Cost - Rs 1000 crores

ii. Construction Support by Authority - Rs 400 crores
iii. Balance Project Cost required to be funded by the concessionaire - R$ 600 crores
iv. Debt and Equity requirement (assuming a 70:30 Debt: Equity ratio)
a. Equity required - Rs 180 crores (as against Rs 300 crores under the
conventional BOT(Toll) mode)
b. Debt required -Rs 420 crores (as against R 700 crores under the conventional
BOT(Toll) mode)
III. The following block-diagram provides an overview of the Model.
IV. The project implementing Authority shall source the expenditure requirements- for the
construction period to the tune of 40% of the project cost and also for the operations
periods for the annuity payments from the resource available with them including (a) the
budgetary allocation; and (b) market borrowings as permitted by Ministry of Finance.
V. It is clarified that BOT (Toll) mode still remains the default and the preferred mode of
delivery for national highway projects.
D) ToT Projects-
E) Projects to considered through InvIT-
*********
Appendix
Sr. No. Particulars Policy Date Remarks

No.
(A) Head 08: Public Private Partnership - Sub Head 08.1: Procurement/ MCA
8.1.1 Guidelines for acceptance and award of Tech- 17.05.2006 Superseded vide policy circular
single tenders. 66/2006 no 18.78 dt. 18.02.2022
8.1.2 Decision taken in the 23rd Weekly Tech- 01.08.2008 Obsolete in view of Standard
Meeting held on 11.06.2008 15/2008 O&M document issued vide
Policy Matter Tech(213/2016)
dt 01.09.2016
8.1.3 Handing Over of Completed 4-laned/6- Tech- 13.10.2008 Obsolete as there is no Corridor
laned Sections to Corridor Management 20/2008 Management Division as on
Division. date
8.1.4 Problem related to the repair of road and Tech- 22.04.2009 Obsolete as these guidelines
using mechanical aids such mechanized 25/2009 were project specific
cutters and hot mix propelled in the bid
document.
8.1.5 The ongoing project award process. Tech- 04.05.2009 Obsolete in the light of Policy
26/2009 circular no 18.78 dt. 18.02.2022
8.1.6 Approval of bids for the award of works. Tech- 22.01.2010 Obsolete in the light of Policy
46/2010 circular no 18.24 dt. 21.08.2017
8.1.7 Amendments in RFP (Vol. 1) vide 11.2.201 17.03.2010 Obsolete as same has been
Circular dated 11.02.2010- 0-Clarific incorporated in Model
Clarifications-Reg Concession Agreement
8.1.8 Submission of documents with RFQ Tech- 26.04.2010 Obsolete in light of single stage
Application – Clarification – 54/2010 bidding process and online
Corrigendum – reg. submission of documents
8.1.9 Procurement of NHAI Projects on BOT Tech- 01.07.2010

(Toll/Annuity) under PPP Mode: Total 63/2010
Project Cost (TPC) thereof.
8.1.10 Adjustment of Cost of RFQ Document 30.11.2010 Obsolete in light of single stage
bidding process
8.1.11 Approval of Bids for award of works Tech- 31.03.2011

under BOT (Annuity) mode. 75/2011
8.1.12 Opening of Bids 05.09.2011 Obsolete in view of

instructions given in Section
3 of Model RFPs
8.1.13 Delegation of Power for signing Letter of A/F- 20.07.2012

Intent (LOI), concession Agreement, 85/2012
Substitution Agreement and Escrow

Agreement.
8.1.14 Delegation of Power during intermediate A/F- 16.7.2012 Obsolete in the light of Policy
stages in Pre-qualification of Bidders in 83/2012 circular no 18.24 dt. 21.08.2017
procurement of PPP Projects. & single stage bidding process
8.1.15 Award of Annuity Projects by NHAI. Tech- 21.05.2012

102/2012
8.1.16 Criteria for PPPAC approval. 07.01.2013
8.1.17 Pre-appraisal meeting in Planning 22.05.2014 Obsolete as planning

Commission commission is no longer there.
8.1.18 Appraisal of PPP projects-standardize 20.06.2014

the formulation and appraisal
parameters –reg.
8.1.19 Delegation of powers for approval of Tech- 27.05.2015 Superseded vide Policy circular
bids for award of works under EPC/Item 178/2015 no 18.24 dt. 21.08.2017
rate mode, OMT projects and collection
of user fee.
8.1.20 Approval of BOT (Toll) bids for award of Tech- 19.09.2016 Superseded vide Policy circular
works. 216/2016 no 18.24 dt. 21.08.2017
8.1.21 Delegation of power for approval of bids Tech- 15.02.2016 Superseded vide Policy circular
for award of works under Hybrid 197/2016 no 18.24 dt. 21.08.2017
Annuity mode.
8.1.22 Adherence to the time line stipulated in Tech- 26.02.2016 Obsolete in the light of single
the RFQ document for PPP projects. 199/2016 stage bidding process
8.1.23 Promotion of Special Task Force to 8.1.23/20 24.07.2017 Obsolete in the light of fact
monitor timely procurements: Projects 17 that the activities mentioned
balance for award and project awarded in the circular are monitored
but appointed date not yet given. by the Technical Division and
EC Meetings.
(B) Head 09: Public Funded - Sub Head 09.1: Procurement

9.1.1 Inclusion of Bonus for early completion Tech.- 16.2.2005 Obsolete as the provision of
into Standard Bidding Document for the 47/2005 Bonus has been incorporated
Civil Work Contracts for NHDP Phase-II in Standard Bidding
Documents
9.1.2 Guidelines for acceptance and award of Tech.- 17.5.2006 Superseded vide policy circular
single tenders. 66/2006 no 18.78 dt. 18.02.2022
9.1.3 Evaluation of bid capacity for EPC Tech.- 06.6.2006 Superseded vide policy circular
Contracts (NHAI funded)-reg. 67/2006 no 9.1.12 dt. 10.03.2022
9.1.4 Monitoring of Project Directors working Tech.- 14.1.2008 Obsolete as there is no Corridor
with CM Division and review of progress 4/2008 Management Division as on
of O & M activities date
9.1.5 Evaluation of RFQ and legalization of Tech.- 25.8.2008

power of attorney in respect if foreign 17/2008
applicant member reg.
9.1.6 Incorporation of agreement item in Tech.- 11.11.2008

future works. 21/2008
9.1.7 Delegation of powers for approval of Tech.- 08.4.2013 Superseded vide Policy
bids for award of works under EPC/Item 131/2013 Circular Tech (198/2016) dt.
rate mode, OMT projects and Collection 15.02.2016
of User fee.
9.1.8 Consideration of RFAQ – 2013 results 19.3.2014 Obsolete in view of fact that
declared by MoRT&H in the RFQ of EPC for EPC projects new RFP
projects of NHAI – Regarding. has been issued on March,
2019
9.1.9 Revision in Delegation of Powers for Tech.- 15.2.2016 Superseded vide policy circular
approval of bids for award of works 198/2016 no 18.24 dt. 21.08.2017
under EPC/Item rate.
9.1.10 Engagement of Financial Consultant for 9.1.10/20 27.12.2016 Retained

Projects to be implemented on EPC 16
Mode – Maintenance of Roster-reg.
9.1.11 Dispensation of physical submission of 9.1.11/20 06.06.2019 Retained

Bid in various procurement methods - 19
Amendment to RFP clauses - Reg.
9.1.12 Assessment of existing commitments of 9.1.12/20 10.03.2022 Retained

prospective bidders in EPC projects 22
subsequent to issue of NHAI Policy
Guidelines No. 11.32/2021 dated
07.12.2021 to the extent of clause
2.2.2.1 of standard RFP for EPC
projects
(C) Sub Head 10.2: Administration of consultancy contracts
10.2.25 Finalization of Extension of Time (EOT) 10.2.25/ 28.09.2020 Merged with 18.24/2017
and Change of Scope (COS) proposals 2020 dated 21.08.2017 to the
in Consultancy Contracts – Reg. extent of para 1 of this
circular
(C) Head 16: Miscellaneous Guidelines
16.1 Guidelines on removing a contractor Tech- 21.07.2008 Obsolete in view of policy

from the list of non-performing 14/2008 circular no 16.11/2021 dt.
contractors 16.11.2021
16.2 Revised criteria for assessment of Tech- 18.05.2011 Obsolete in view of policy
performance of contractors/ 76/2011 circular no 16.11/2021 dt.
concessionaire 16.11.2021
16.4 Assessment of performance of 04.07.2013 Obsolete in view of policy

contractor/ concessionaire circular no 16.11/2021 dt.
16.11.2021
16.5 Deterrent action against defaulting Tech- 19.12.2013 Obsolete

consultants-Standing Committee of 144/2013
CGMs reg
16.6 Revised criteria for Assessment of Tech- 31.12.2015 Obsolete in view of policy
Performance of Promoter/Consortium 193/2015 circular no 16.11/2021 dt.
Member of Concessionaire. 16.11.2021
16.7 NHAI to review the progress of the 16.7/201 02.01.2017 Obsolete

Project "Two laning with paved 6
shoulders of Nagapattinam Thanjavur
Section of NH-7 in the state of Tamil
Nadu"
16.8 Updating/maintaining on NHAI website 16.8/201 22.12.2017 Obsolete in view of policy

the lists of (i) Debarred/Blacklisted 7 circular no 16.11/2021 dt.
Concessionaires/Contractors, 16.11.2021
Consultants & Individuals; and (ii)
Contracts terminated by NHAI for
defaults of Concessionaires/
16.10 Updating/maintaining on NHAI website 16.10/20 03.04.2019 Obsolete in view of policy

the lists of (i) Debarred/blacklisted 19 circular no 16.11/2021 dt.
Concessionaires/Contractors, 16.11.2021
Consultants & Individuals; and (ii)
Contracts terminated by NHAI for
defaults of Concessionaires/
16.11 Standard operating procedure to 16.11/20 16.11.2021 Retained

debar/penalize/declare as Non- 21
Performer the
Contractor/Concessionaire in National
Highways and other centrally sponsored
road projects.
16.14 Standard operating procedure to 16.14/20 31.01.2022 Merged with Policy circular no
debar/penalize/declare the 22 16.11/2021 dt. 16.11.2021
Contractor/Concessionaire as Non-
Performer in National Highways and

other centrally sponsored road projects
(D) Head 18: Miscellaneous Guidelines
18.5 Circular regarding approval of 13.09.2012 Superseded vide Policy circular

recommendation of the Evaluation no 18.24 dated 21.08.2017
Committee
18.16 Public Procurement Policy for Micro and 18.03.2014 Retained

Small Enterprise (MSEs) – Reg.
18.17 Signing of the Concession Agreement/ Tech- 15.12.2015 Retained

Contract Agreement strictly as per the 191/2015
RFP documents.
18.18 Insertion of the Clause regarding Digital Tech- 30.08.2016 Retained

Signatory in Notice Inviting tender 212/2016
document – Modification regarding.
18.21 Appraisal of projects- Certificate 18.21/20 18.01.2017 Retained

regarding technically sanction of 17
proposals submitted to Ministry for
18.24 Delegation of Power in implementation 18.24/20 21.08.2017 Retained

of the Projects. 17
18.25 Delegation of Power in implementation 18.25/20 06.09.2017 Merged with policy circular no
of the Projects:- Composition of 17 18.24/2017 dt. 21.08.2017
Evaluation Committee for selection of
Consultants reg.
18.26 Conditions for invitations of Bids for 18.26/20 13.09.2017 Retained

Award of Projects. 17
18.27 Revised Delegation of Powers for 18.27/20 27.09.2017 Merged with policy circular no
approval/release of compensation. 17 18.24/2017 dt. 21.08.2017
18.32 Revised Delegation of Power in award of 18.32/20 02.07.2018 Merged with policy circular no
EPC Projects. 18 18.24/2017 dt. 21.08.2017
18.34 Regarding Opening of Single bid 18.34/20 29.03.2019 Superseded vide Circular no
received in 3rd call after no response in 19 18.78/2022 dated 18.02.2022
first two calls- Reg.
18.35 Revised Delegation for award of 18.35/20 29.03.2019 Merged with policy circular no
projects on EPC & HAM Mode – Reg. 19 18.24/2017 dt. 21.08.2017
18.58 Regarding replies being given by 18.58/20 17.11.2020 Retained

Technical Divisions as ‘As per RFP’ in 20
response to the pre-bid queries in
various contracts (BOT/HAM/EPC/TOT,

etc.).
18.60 Delegation of Power in implementation 18.60/20 05.01.2021 Merged with policy circular no
of the Projects 21 18.24/2017 dt. 21.08.2017
18.64 Delegation of Provision of Underground 18.64/20 08.01.2021 Retained

Tunnels at Toll Plazas. 21
18.71 Reduction of contingency charges for 18.71/20 31.08.2021 Retained

the execution of National Highways 21
works-reg.
18.72 Consolidated Instruction regarding 18.72/20 31.08.2021 Retained

Global Tender Enquiry (GTE) under 21
Rule 161 (iv) of General Financial
Rules (GFRs) 2017 upto Rs. 200
Crores – Reg.
18.78 Guidelines for acceptance and award of 18.78/20 18.02.2022 Retained

single tenders- reg. 22
18.80 Relaxation on Global Tender Enquiry 18.80/20 11.03.2022 Merged with policy circular no
(GTE) under Rule 161 (iv) of General 22 18.72/2021 dt. 31.08.2021
Financial Rules (GFRs)s 2017 for
procurement of raw materials – reg.
(E) Other Circulars
1 Appraisal of PPP projects-standardize NH- 19.01.2010 Merged with circular dt.

the formulation and appraisal 37017/I/2 29.04.2011
parameters 010-H
2 Assumptions for Financial Analysis of NHAI/11 29.04.2011 Retained

BOT(Annuity) Projects/ BOT(Toll) 033/CG
Projects M(Fin)/2
011
3 Assumptions for Financial Analysis of NHAI/11 02.05.2011 Superseded vide MoRTH

BOT(Annuity) Projects/ BOT(Toll) 033/CG circular No. NH-
Projects-Corrigendum 1 M(Fin)/2 37012/09/2009-H dt
011 16.06.2014 & 20.06.2014 to the
extent of assumptions for
financial viability for MAT and
costing of structures taken care
of in NH Fee toll rules
4 Standard Parameters for financial MoRTH 16.11.2011 Merged with circular dt.
Analysis of BOT (Toll) And BOT Circular 29.04.2011
(annuity) projects. no.
RW/NH-
37011/02
/2010/PP
P(Vol.II)
5 Assumptions for Financial Analysis of NHAI/11 25.11.2011 Merged with circular dt.
BOT(Annuity) Projects/ BOT(Toll) 033/CG 29.04.2011
Projects-Corrigendum 2 M(Fin)/2
011

the formulation and appraisal 37012/09 29.04.2011
parameters /2009-H

the formulation and appraisal 37012/09 29.04.2011
parameters /2009-H
8 HYBRID ANNUITY MODEL FOR MoRTH 09.02.2016 Merged with circular dt.
IMPLEMENTING HIGHWAY Circular 29.04.2011
PROJECTS – reg. No. NH-
24028/14
/2014-H
(Vol-II)
9 Provision of Contingencies for arriving at MoRTH 09.05.2018 Merged with circular dt.
the Total Project Cost/Estimated Project Circular 29.04.2011
Cost in BOT (Toll/Hybrid Annuity Mode No. RW:
Projects) NH-
24036/27
/2010-
PPP (Pt.)
10 Provisions in Data Lake Portal for File no 10.12.2021 Merged with Policy circular no
publishing single point list of all 13057/01 16.11/2021 dt. 16.11.2021
Debarred/ Non-performer/ Blacklisted /2021/IT
Contractor/ Concessionaire,
Consultants (DPR/ AE/IE/ Safety/ Proof)
and its common dissemination to all
Tech Div in NHAI for regular updates.
Section: 9.2. Contract Administration
Sub Subject
section
I. Guidelines for adoption, maintenance and certification of

measurement recorded in the Measurement Books
II. Streamlining the procedure for approval of variations
III. Procedure for timely granting of Extension of Time in Civil

Work Contracts.
IV. Guidelines regarding delayed Item Rate (EPC) Contracts,

reporting of progress in Item Rate (EPC) Contracts &
Reporting of expenditure in Monthly Progress Reportsfor
BOT Projects.
V. Contract Agreements (EPC Works) / Concession

Agreements (BOT/Annuity Projects) / Consultancy
Agreements for Feasibility Study & DPR / Supervision
Consultancy and Agreements for Independent
Consultancy Services – Authorized Representative of
Employer (NHAI).
VI. Claims of the Concessionaires/Contractors in the ongoing

BOT/EPC Projects
VII. Check list for monitoring of EPC Contracts.
VIII. Release of Additional performance Security in Item Rate

contracts.
IX Amount of Insurance against injury to persons and

damage to property under sub clause 3.1 of Schedule-P
of Contract Agreement on EPC mode-clarification
regarding.
X Issuance of Provisional Completion Certificates or

Completion Certificates in EPC Projects-reg.
XI Guidelines for discouraging Change of Scope

(COS)/Reduction in Scope (RIS).
XII Determination of Extension of Time (EOT), Payment of

Price Adjustment & Damages in EPC Projects and
interim payment of 90% of Price Adjustment.
XIII Interest Bearing Working Capital Advance against unbilled

executed work to mitigate the cash flow problems of HAM
Concessioner & EPC contractors and modification in

Schedule-H of the EPC Contract.
XIV Instructions for clearing the pending undisputed payments

of Consultants & Contractors/Concessionaires and
ensuring timely release of payments in future.
XV EPC Projects – Guidelines on granting provisional

rescheduling of intermediate project milestones pending
approval of final EOT for smooth contract administration.
XVI Guidelines for determination of Cost of Change of Scope

(COS)/ Reduction in Scope (RIS) due to Withdrawal of
works/ Alteration (Change/omission in existing item) in
Works in Engineering Procurement Contracts (EPC)
Projects- Applicable Schedule of Rates, Design Charges,
Maintenance Charges regarding
9.2: Contract Administration
I. Guidelines for adoption, maintenance and certification of measurement

recorded in the Measurement Books213
I. Guidelines for adoption of Measurement Books:
(a) Separate Measurement Books will be used for recording of details of measurement
and for preparation of abstract of cost;
(b) The size of the Measurement Book may be 30x22 Cms. and each Measurement Book
may contain 200 pages. Where the details of measurement for items of works are
prepared in the form of a computer sheet, the sheet shall be of half the size of the page
of the Measurement Book. It shall be numbered and pasted in one page of the
Measurement Book and the abstract of quantities in the computer sheet shall be
recorded in ink on that page of the Measurement Book. Any blank space shall be
scored out;
(c) In case of projects being supervised by the Supervision Consultants, the competent
authority to record the measurements and to test check the measurements etc. shall
be as indicated in the Contract Agreements with the Consultants;
(d) In case of other works, the competent authority to record and test check the
measurements etc. shall be the corresponding level officer of NHAI as per the CPWD
guidelines in this regard.
II. All concerned are to ensure that all the payments made to the contractor (including material
advance etc.) are properly recorded in the Measurement Books so that adjustment of such
payments, if any, could be made out of the future IPCs/final bill.
III. These guidelines are subject to restrictions which might be imposed by Ministry of Finance
and Ministry of Road Transport & Highways from time to time and is also subject to
observance of the instruction contained in the various order issued in this regard.
IV. Guidelines on maintenance and certification of measurement recorded in the

Measurement Book214.
In order to fulfill the obligations on the part of the Project Directors, the following
guidelines are hereby prescribed for strict compliance by the Project Directors/ Technical
Officers at PIUs, before release of payment by the Drawing and Disturbing officers (DDOs):-
a) That Measurement Book is maintained by the Supervision Consultants in the

standard format and in accordance with the guideline prescribed/as per the contract
conditions.
b) That the mandatory percentage checking required to be conducted/certified by the
various key personnel of the Supervision Consultants, including the Team Leader,
as per the contract conditions have been duly recorded in the Measurement Book.
c) That the check test or the repeat test measurements, if requested for by the Project
Director/Technical officer, have been conducted in their presence by the Engineer
to verify the measurements recorded in the Measurement Books.
213
NHAI Policy Circular no (i)9.2.1(11018/7/96/Tech/PU) dt. 21.05.1997, (ii)9.2.4 (A/F-59/2003) dt.
03.10.2003, (iii) 9.2.6 (A/F-92/2004) dt. 18.11.2004
214
Inserted due to NHAI Policy no. 9.2.6 (A/F-92/2004) dt. 18.11.2004
d) That the abstract Measurement Book is neatly and correctly drawn by the
Supervision Consultants and have been signed by the Team Leader.
e) That the items, quantities and rates etc., in respect of the executed items/quantities
and as claimed under any IPC are as per the contract.
f) That all other contract conditions and guidelines issued by HQ on the subject have
been complied with.
g) That all the payments including advances and the recoveries are recorded in the
abstract Measurement Book and are duly authenticated by the Project Director and
the DDO.
h) Before release of payment against IPC, the Project /director and the Drawing &
Disbursing officer (DDO) shall ensure that the necessary requirements have been
complied with.
II. Streamlining the procedure for approval of variations215
Comprehensive instructions regarding variations in Civil Works Contracts:
1. The revised procedures for approval of variations are as under-
(i) Variations in individual BOQ items216:
a) Engineer: upto 25% of the value of individual BOQ item or 1% of contract value,
whichever is less.
b) CGM: Rs 30 lakhs for each item subject to a limit in aggregate of 3% of the
Contract Value for entire contract,
c) Member: Rs 50 lakhs for each item subject to a limit in aggregate of 5% of the
Contract Value for entire contract, including approvals at lower levels,
d) Any variation in individual BOQ item beyond above limits shall be approved by
the “Variation Committee” comprising Chairman, Member (Fin.) and the
Member/CGM of the concerned Technical Division.
(ii) New items (Non-BOQ items): Before issuing orders to execute new items of
work (non BOQ items) “Engineer” shall obtain technical approval from NHAI.
The Powers for granting technical approval shall be exercised at Headquarters
as under:
Sr. Item CGM Member Chairman
1. Limit for Rs. 30 Rs. 50 lakh Full powers subject to

each item lakh overall delegation given to
the Authority
2. Limit in 3% of 5% of contract Full powers subject to

aggregate contract value including overall delegation given to
for entire value approvals at the Authority.
contract lower levels
215
NHAI Policy Circular no. (i) 9.2.3 (A/F-31/2002) dt. 31.12.2002, (ii) 9.2.7 (A/F-119/2006) dt.
12.04.2006 & (iii) 9.2.8 (Tech.-8/2008) dt. 03.03.2008, (iv) 9.2.5 (Tech 45/2004) dt 21.10.2004
216
Modified due to NHAI Policy Circular no 9.2.7 (A/F-119/2006) dt. 12.04.2006
(iii) Determination of rate for new items and for BOQ items beyond the limits
prescribed in the contract:
a) In respect of new items/BOQ items beyond the limits prescribed, the rates may
be determined in accordance with the clause 52 of the general conditions of the
contract (FIDIC) or clause 38/39/40 of the general conditions of the contract
(NCB) or equivalent of the civil works contracts, as applicable for the specific
contract.
b) Technical Division (at the level of the concerned Member) may examine the rate
prescribed/determined by the ‘Engineer’ for its reasonableness and for its
acceptance before putting up the proposal to the Variation Committee for an in
principal approval of the variation.
c) In case it is considered that the rates fixed by the Engineer are on higher side,
NHAI may separately exercise the option of contesting as per the relevant
contract conditions (such as DRB, Arbitration etc.)
(iv) Overall Variations under Contract: Subject to provisions under (i) (ii) & (iii)
above, the “Engineer” is authorized to issue cumulative variations upto a limit of
10% of the original contract value (less negative variations/savings). The overall
limit shall apply collectively on all BOQ items as well as non-BOQ items and
shall include all the variations issued till that point of time including those
approved otherwise than by the Engineer. The overall limit shall be exclusive of
escalation.
2. However, where the limits prescribed at para 1 above restrict the powers of the
“Engineer” that have already been defined in the respective civil works contracts, the
“Engineer” may issue variation orders up to the limits prescribed in such civil works
contracts.
3. Variations beyond above limits: Any variation beyond above limits (individual items and
overall variations) shall be approved by the “Variations Committee” comprising
Chairman Member (Finance) and the Member/CGM of the concerned Technical
Division.
4. All variations approved for each contract shall be intimated by the Project Director to
the concerned Technical Division at Headquarters in the prescribed format (Annexure
##- A) on a quarterly basis. Concerned Technical Division shall compile the details and
submit for the information of Chairman and Member (Finance), NHAI.
6.1 (a) Revised Cost Estimates should be prepared and submitted to HQs at appropriate
time as per the guidelines of MoRTH for obtaining the sanction of the Competent Authority.
(b) Monthly information on variations should be reported to the Finance Division and
concerned Technical Division at HQ (Ref Para 4 above).
(c) No variation shall be approved unless recommended by the Engineer. The Engineer
should explain the Financial Implications alongwith detailed reasons and
justification. The Engineer should furnish the following information and details
alongwith the proposal.
(c.1) Vouchers and proper quotations in support of the market rates.
(c.2) Analysis of rates should be self-explanatory and supported by proper

drawings.
(c.3) Recommendations give should be self-explanatory and nomenclature of
the items should also be properly worded.
(c.4) Copy of analysis of rate given by the contractor.
6.2
Sr. Item Delegation Approved Remarks
Project CGM Member
Director
(Not below
The rank of
DGM)
1. Approval of NIL Full powers up Full powers up Chairman- Full

sub-contract to the limit to the limit powers up to the
any part of the specified in specified in limit specified in
works contracts contracts contracts
2. Removal and Full powers for Full powers for Full powers for Chairman-Full
replacement of domestic key staff key staff powers for all the
staff of the other/support (excluding (excluding staff including
consultant staff Team Leader) Team Leader) Team Leader/
domestic key staff
7. Future Contracts: In the contracts to be signed in future, the above clauses may be
incorporated at appropriate places.
Care may also be taken by all divisions to ensure that provisions contained in
the contract agreements with the Supervision Consultant and the civil work contractor
are in consonance. Further, sub-clause 2.1 defining “Engineer’s” Duties and Authority
may invariably be included in the conditions of Particular Application (Special
Conditions of Contract) as under:
(1)‘The Engineer shall obtain the specific approval of the Employer before taking any of the
following actions.’
a) Consenting to the subletting of any part of the works under clause 4;

b) Certifying additional cost determined under clause 12;
c) Determining an extension of time under clause 44;
d) Ordering suspension of works;
e) Issuing a variation under clause 51, except;
(i) In an emergency situation, as reasonably determined by the Engineer;
or
(ii) When such variation would increase the Contract Price for an individual
item by less than 1% of the contract value and such cumulative
variations add upto less than 10% of Contract value including the effect
of variation in quantities in the existing BOQ items.
(2)“Notwithstanding the obligation, as set out above, to obtain approval, if, in the opinion of
the Engineer for reasons to be recorded in writing, an emergency occurs affecting the safety
of life or of the works or of adjoining property, he may, without relieving the Contractor or
any of his duties and responsibilities under the Contract, instruct the Contractor to execute
all such work or to do all such things as may, in the opinion of the Engineer, be necessary
to abate or reduce the risk. The Contractor shall forthwith comply, despite the absence of
approval of the Employer, with any such instruction of the Engineer. The Engineer shall
determine an addition to the Contract Price, in respect of such instruction, in accordance
with clause 52 and shall notify the Contractor accordingly, with a copy to the Employer.”
8. Procedure for submission of proposals for Variations: Following may be included

in variation proposals submitted by the Technical Divisions for seeking approval of the Variation
Committee:
(i) Rates for non-BOQ items should be approved by the concerned Member and
the reasons be recorded for arriving at the rates.
(ii) The quantities will be verified by the Engineer. A certificate in this regard be
placed with the proposal of variation.
(iii) Concerned Project Directors will also certify that 3% checking of the quantities
have been undertaken by them.
(iv) The note for the Variation Committee should be approved by the concerned
Member.
(v) While recommending the proposal, the concerned Technical Division will certify
the compliance of points (a) to (d) stated above in their note.
9. Engagement of sub-contractors under civil works contracts on NHAI Projects217.
(i) In accordance with the provisions under Civil works contracts on NHAI projects (4.1 of
GCC & COPA), Contractors may sub-contract works upon a certain percentage of the contract
amount as specified in the contract, with the prior consent of the Engineer/Employer. If the
Engineer certifies to the Employer that, in his opinion, the contractor has contravened sub
clause 4.1 of the Contract, the Employer may terminate the employment of the Contractor
under clause 63.1 of the Conditions of the Contract.
(ii) It has however been observed that in some of the cases, approval for engagement sub-
contractor has wither not been taken or the extent of sub-contractors exceeds the extent
approved by NHAI. In some cases the Engineer apparently did not exercise adequate vigil to
fulfil their contractual obligations by taking timely action for violation on the part of the
contractor. Unauthorized sub-contracting undoubtedly calls for a deterrent action against the
contactor as well as the Engineer as such sub-contracting not only violates the contractual
provisions but also affects adversely the overall quality of the project.
(iii) Project Directors of PIUs / CMUs / SPVs are therefore requested to bring this matter to
the attention of the Contractors/Engineers in their respective jurisdictions and discuss with
them the steps to be taken to ensure that there is no violation of contract provision in this
217
Inserted in view of NHAI Policy no 9.2.5 (Tech 45/2004) dt 21.10.2004
regard. Any such contravention may also be brought to the notice of the NHAI Headquarters
immediately.
III. Procedure for timely granting of Extension of Time in Civil Work Contracts.218
The procedure for timely granting of EoT has been streamlined as given below:
(a) Timelines for processing of EoT cases (the following timelines are applicable to only
those contracts where such timelines are not prescribed):
(i) As prescribed in the Civil Work Contract, the Contractor should submit the EoT
requests on event basis. As a minimum, the Contractor should submit one EoT
application on annual basis.
(ii) Engineer shall give his recommendations within 28 days on above applications of
the Contractor (if the Contractor does not submit any application, the Engineer
based on his own assessment should recommend the entitlement of EoT on annual
basis within 28 days of end of year). PD should forward the above recommendations
of the Engineer within 15 days to HQ and Technical Division in HQ should convey
the decision on EoT within 28 days. The above timelines are to be adhered to even
in case any clarifications/ supporting documents are required for examination of
EoT cases.
b) Delegation to PDs on granting EoT: It has been decided to authorize PDs of rank DGM
and above to approve EoT upto 20% of the original contract duration with the
concurrence of concerned CGM. In case PDs are of Manager rank, the concerned CGM
would approve EoT upto above limit.
IV. Guidelines regarding delayed Item Rate (EPC) Contracts, reporting of

progress in Item Rate (EPC) Contracts & Reporting of expenditure in Monthly
Progress Reports for BOT Projects219.
The following policy decisions taken by Executive Committee in its meeting held on 22.02.2011
are conveyed for strict compliance:
1.1 Delayed Item Rate (EPC) Contracts whose progress is 98% & above: There are
several projects of NHAI whose progress is standstill for months together at 98% & above
mainly due to small portions of works lying incomplete. In case of such projects, the
reasons for delays in completion should be reviewed by CGM/ROs. If the reasons are not
attributable to the contractors like delays due to Land Acquisition, Court Cases etc. and
the main carriageway is complete the other affected portions may be excluded from the
scope of the contractor and such contracts may be closed. However, if the balance work
is delayed due to fault of the contractor, action should be taken including levy of penalties
as per provisions of the contract and no reduction in scope shall be permitted in such
cases.
1.2 Reporting of Progress in Item Rate (EPC) Contracts:
When the project reaches 50% progress, the anticipated variations (positive / negative)
should be firmed up and a Revised Estimate of the project cost / contract price be got
218
NHAI Policy no 9.2.9 (A/F- 43/2008) dt 29.12.2008
219
NHAI Policy no. 9.2.11{Tech (73/2011)} dt. 01.03.2011
approved from NHAI, HQ. Immediately thereafter, the progress should be reported with
reference to the revised project cost/ contract price to ensure that actual progress is
reported. Any delay in sending Variation Report would be looked negatively.
1.3 BOT Projects – Reporting of expenditure in Monthly Progress Reports:
1.3.1 Instances have come to the notice that the pre-construction expenditure made by NHAI
has not been reported in the Monthly Progress Report because the expenditure of the
Concessionaire has not been reported for want of declaration of Appointed Date/
Financial Close. In future, the expenditure on pre-construction activities must be
included in Monthly Progress Reports of NHAI from the month in which LOA is issued
for a project. Such expenditure being reported should be indicated separately for NHAI
and the Concessionaire as cost of Feasibility Report/ DPR, Land Acquisition; Utility
Shifting, VGF , if any, etc, is borne by NHAI.
1.3.2 All expenditure made by the BOT Concessionaire must invariably be reported every
month. It is the duly of PD to get this expenditure statement from the Concessionaire.
V. Contract Agreements (EPC Works) / Concession Agreements (BOT/Annuity

Projects) / Consultancy Agreements for Feasibility Study & DPR / Supervision
Consultancy and Agreements for Independent Consultancy Services –
Authorized Representative of Employer (NHAI).220
Executive Committee in its 74th meeting held on 09.05.2011 decided that General
Manager posted at RO Office and where GM is not posted in RO Offices, CGM/RO may be
declared as NHAI’s Authorized Representative for all the contracts under implementation / to
be implemented in that State and all the concerned contractors / concessionaires and
consultants may be informed accordingly. Any notices as an Authorized Representative on
behalf of NHAI may be issued by GM with the approval of CGM/RO. However, if CGM feels
that the notice is having larger implications / ramifications and requires approval of Member/
Chairman, he may forward the draft notice to HQ for specific approval.
VI. Claims of the Concessionaires/Contractors in the ongoing BOT/EPC

Projects221
The Project Directors of all the Project Implementation Units will have to inform
regarding the claims of the Concessionaires/ Contractors in the ongoing BOT/EPC
Projects, as applicable, to NHAI HQ along with their preliminary comments within a
week from the receipt of such claims, if any.
VII. Check list for monitoring of EPC Contracts.222
The various provisions defining obligations of the Authority and concessionaire have
been detailed in the various clauses of the Contract Agreement.
2. For effective contract administration/implementation and timely execution of the project, it

is important to monitor the various provisions/obligations under the contract from the
commencement of the work.
220
NHAI Policy no 9.2.13(Tech 79/2011) dt 06.06.2011
221
NHAI Circular No. 9.2.15 (Tech 110/2012) dt 30.07.2012
222
NHAI Policy No 9.2.16 (Tech-162/2014) dt. 31.07.2014
3. A check list (Annexure ##- B) has been prepared of important provisions for monitoring
the various activities under the EPC contract. All ROs/PDs are requested to monitor the
EPC contracts keeping in view the above check list besides other specific provisions of the
4. Further, it is also clarified that all payments i.e. stage payments and advance payments
under the contract shall be made by PD under intimation to RO and a monthly report
regarding all payments made to contractor under the contractor will be sent to RO by PD,
who in turn, will check that there is no intent liability on the part of Authority due to delay in
payment.
VIII. Release of Additional performance Security in Item Rate contracts.223
In Item rate contracts being executed in NHAI, there is a provision in the bid document
that additional performance security is required for seriously unbalanced bids in relation to or
substantially below the Engineer’s estimate of cost of work and of ITB and it form a part of the
performance security, which shall be valid until 28 days after the Defect Liability Period (DLP).
(II) Executive Committee in its 251st meeting held on 30.07.2015 has deliberated that the
purpose of additional performance security for unbalanced bid is achieved as soon as the items
considered unbalanced are satisfactorily executed. Executive Committee decided that in all
such projects as and when the unbalanced items are satisfactorily completed, the additional
performance security taken for them be released.
IX. Amount of Insurance against injury to persons and damage to property under
sub clause 3.1 of Schedule-P of Contract Agreement on EPC mode-
clarification regarding.224
It is observed that there is a large variation in the amount of insurance cover against
injury to persons and damage to property under sub clause 3.1 of Schedule-P in the various
EPC contracts (under bidding stage and already awarded) and this provision ranges from 10.0
lakhs to the value of contract price in various EPC Contracts.
II. Executive Committee deliberated the issue for a specific project, where the clause
stipulates the amount of insurance cover not less than the value of the Contract price and
decided as under:-
“Insurance amount be minimum Rs.2 crores for 3rd party insurance with condition that
it is contractor’s responsibility for any liability beyond that amount upto specified amount
in the agreement”.
III. In order to have uniformity in all the contracts, it has been decided by the Competent
Authority for adoption of following:-
In the contracts where minimum amount of insurance specified is upto Rs.2.0

crore, the insurance amount be minimum amount specified in the contract for
3rd party insurance. For all other contracts where specified amount of insurance
is more than Rs 2 crore the insurance amount be minimum Rs.2 crores for 3rd
party insurance with condition that it is contractor’s responsibility for any liability
beyond that amount upto specified amount in the agreement.
223
224
IV. All divisions are requested that the amount of insurance policy to be taken against injury to
persons and damage to property shall be as per above decision of the Competent Authority.
X. Issuance of Provisional Completion Certificates or Completion Certificates in

EPC Projects-reg.225
The Authority Engineer (AE) as per its TOR (Cl. 10 or TOR of the Consultancy
Agreement) seeks prior approval of the Authority for issuing the Provisional Completion
Certification (PCC) or Completion Certificate (CC) in EPC Projects. It is observed that the prior
approval of NHAI is taking time in view of various levels involved (PD,RO & HQ) thereby
resulting in issuance of PCC/CC with back date by the AE, leading to following resultant issues:
(i) NHAI is not in a position to start tolling of the completed section from the effective date
of PCC/CC, thereby losing toll revenues;
(ii) The proposal of AE for issuing PCC contains the Punch List in two parts viz List-A(
minor outstanding works which have to be completed within 30 days) and List-B (List
of outstanding works which could not be completed due to non-availability of land or
Authority’s default). Although List-A items are to be completed within 30 days of the
issue of PCC, the EPC Contractors are actually getting more than 30 days time to
complete the List-A items due to time taken in according prior approval by NHAI.
Further, there is no control/knowledge of NHAI-HQ on the works included in the List-B.
(iii) EPC Contractor gets bonus for early completion as per provisions in Cl.19.20 of EPC
contract. Thus, issuing PCC/CC with a back date leads to apprehensions about
completion, particularly in case where the payment of bonus is involved.
II. In order to overcome the above problems, it has now been decided to authorize the
Regional Officers of NHAI to approve the proposals of the Authority Engineer to issue
Provisional Completion Certificate in EPC projects, strictly observing the following:
Sr. EPC List of Clause Responsibility of Officer of NHAI

relevant to
No. Contract
the issue
Clause
1. 8.3 (i) Cl.8.3.2: (i) PD shall ensure handing over of all parts of the
Contractor agrees sites to the Contractor within the prescribed timelines.
to complete the In order to monitor timely handing over of the Sites,
works on all parts PD shall submit a quarterly report for each project to
of the site for the RO with a copy of the Member concerned at HQ
which RoW is on the parts of the sites not handed over to the
granted within the contractor and the hindrances thereon alongwith
prescribed time and action plan to address these issues. This
(90 days from the report shall invariably attach a statement jointly signed
Appointed Date or by the PD, AE & the Contractor on the reaches handed
the dates given in over and the hindrances in the remaining reaches.
225
NHAI Policy Circular no 9.2.22/2018 dt 02.08.2018
Schedule-A for The above reports shall continue to be submitted till

some parts). all parts of the site/RoW are handed over to the
Contractor or the works are withdrawn in the
remaining parts.
(ii) Cl.8.3.1 &
Cl.8.3.3: In case
of delays in (ii) If the PD is unable to resolve, RO and Member
providing RoW, concerned shall make efforts to get the hindrances in
either the handing over the balance parts of the sites for which
damages as per damages are to be paid (as per Cl.8.3.1) or works to
Cl.8.3.1 shall be be withdrawn (as per Cl.8.3.3).
paid to the
Contractor or the
works may be (iii) Based on quarterly report of the PD, the RO shall
withdrawn as per propose and the Member shall decide the parts of the
Cl.8.3.3. sites for which damages are to be paid (as per
Cl.8.3.3).
(iv) With the above system in place, List-B works

proposed with PCC i.e. the List of outstanding works
which could not be completed due to non-availability
of land or Authority’s default, is clearly known at all
levels in NHAI (PD, RO & HQ) and it will not be fait-
accompli at the PCC stage.
2. 12.1.1 On EPC On the Date & Time notified by AE, each test shall be
Contractor witnessed by the PD or other officer of PIU. In case
notifying its intent PD is pre-occupied, such pre-occupation is to be
to subject the recorded and then only the test shall be witnessed by
completed Section the other officer of the PIU.
to test, Date &
Time of each Test
to be determined
by AE and notified
to NHAI.
3. 12.2 (i) Cl.12.2.1: If On the day of witnessing the last test by PD/Officer of
the tests are PIU and if the PD satisfies that the test(s) are
successful, AE successful , without awaiting the formal report/
shall issue a proposal, of AE for issue of PCC, the PD shall inform
Provisional and request the RO to inspect the site. In turn, the RO
Completion shall carry out his inspection within 10 days of such
Certificate reference by the PD by which time the report/proposal
alongwith a Punch of AE on the Member the issue of PCC will also be
List and the list of received. Then, RO within 3 days of his inspection,
works in respect of shall send his comments to AE in reply to he report of
which time AE, with a copy to the Member concerned. The
extension has
been granted as proposal of AE and the comments of OR thereon shall

per Cl.8.3.1 and invariably take into consideration the following:
Cl.10.5
(i) The project highway meets the specifications &

(ii) Cl.12.2.5: No standards and has been constructed as specified in
provisional the EPC Contract. The completed works can be safely
Completion and reliably placed in operation/ service of the users
Certificate shall be thereof.
issued until the
Contractor
submitted valid (ii) The valid claims for payment (80%) are submitted
claims for
by the Contractor.
payment of atleast
80% of the
contract price less
lumpsum price of (iii) The Punch List (List-A) contains only minor
works withdrawn outstanding works which can be completed within 30
under Cl.8.3.3 day and such works do not materially affect the use of
the completed sections for their intended purposes.
The Contractor undertakes to complete such works
within 30 days and the AE certifies the same.
(iv) List-B (balance outstanding works) which could

not be completed due to non-availability of land or
Authority’s default (Ref. Cl.8.3.3) matches with the
report mentioned at Sr. No.1 above, the Extension of
Time has been granted for delayed works as per
Cl.10.5, the Contractor undertakes to complete such
works within the extended periods and the AE certifies
the same.
(v) The project highway has been constructed in

accordance with the Project Completion Schedule set
forth in Schedule-J of the Concession Agreement. In
the event of failure of the Contractor to achieve any
Project Milestone or completion of work, action as per
Cl.10.3.2 of the EPC Contractor is taken or the
proposal is referred for approval of the Competent
Authority of NHAI with the recommendation of AE
(vi) All lapses, defects or deficiencies observed by the

AE in construction of the project highway are rectified
and all NCRs issued by the AE are closed in
accordance with the provisions of the EPC Contract.
(vii) The approval of the Competent Authority of NHAI

for Changes of scope (positive/ negative), if any, has
been obtained or atleast the proposal for positive
change of scope has been referred to the Authority for
approval with the recommendations of AE and
negative Change of Scope, if any has been approved
in –principle by the Authority.
If the RO concurs with the AE’s proposal, the AE shall

proceed with issue of PCC. If the RO is of the opinion
that the project highway is not yet fit and safe for
operation and users service, he shall notify the
reasons for disagreement to the AE/Contractor. AE
shall thereupon reassess the proposal and in the
interim withhold issuance of PCC. It will be the
responsibility rectifies all defects or deficiencies
pointed out by the RO. Thereafter, duly satisfying
himself that all the defects/ deficiencies are remedied
and rectified by the Contractor, the AE shall proceed
with the issuance of PCC effective from the date of
issue of PCC (no back-dating of PCC is permissible).
If the PD observes that AE has not performed his duty
in issuing PCC diligently, PD may send a report along
with evidence to the RO with a copy to the Member
concerned for taking deterrent action against the AE.
III. RO shall forward a copy of the proposal of the AE to issue PCC, the report of the RO on
the proposal of AE to issue PCC and copy of the PCC issued by the AE to the Member
concerned for each project within 7 days of issue of PCC by the AE.
IV. No back-dating of PCC shall be allowed. Later, if the EPC Contractor lodges claim to NHAI
on account of delays in the issue of PCC, the responsibility of the Authority Engineer, PD
and RO shall be fixed by the Member concerned duly taking into consideration their efforts
to avoid delays in issuance of PCC.
V. It shall be the personal responsibility of the PD that the proposal for Fee Notification for
tolling of completed section by NHAI is initialed at least three months ahead of anticipated
completion of the project so that it is in place at the right time, the toll collection agency is
selected and the toll collection commences within 15 days of issue of the PCC so that there
is no revenue loss to the NHAI.
VI. The above procedure shall also apply for the issue of Completion Certificates.
XI. Guidelines for discouraging Change of Scope (COS)/Reduction in Scope

(RIS).226
Executive Committee raised serious concern on frequent Change of Scope (COS) in

projects leading to delays in completion of works as per original scope of works, unaccounted
cost implications etc. Executive Committee has also observed that due to these changes of
scope to indecisions on Reduction in Scope (RIS) of work, the scope of work remains open till
scheduled date of project completion. The delays in project completion due to such COS/RIS
attracts various claims of Contractors/Concessionaires related to idling, loss of overheads, toll
loss, price escalation etc.
II. In some cases, COS/RIS proposals were returned by NHAI officers to AE/IE/SC for
getting further details and thereafter these were neither pursued nor closed. In many cases,
this situation has been used as a strategy to cover up the delays in construction by the
Contractor. In other cases, COS works had already been taken up thereby making in-principle
approval a mere formality, which is blatant violation of instructions. Another practice by NHAI
officers is to ask for undertakings from Contractor for no claims on COS, despite knowing very
well that such undertakings have not much meaning and have been considered as 'given under
duress' in several Arbitral Awards/ Court Orders.
III. In view of the above, the Executive Committee directed to discourage Change of Scope
in awarded works. Change of Scope/ Reduction in Scope in case of awarded project shall be
finalized during the project design/development stage and incorporated in the project with the
approval of the Competent Authority of NHAI within six months of Appointed Date. Reduction
in scope, if any, due to non-availability of land or any other valid reasons shall be decided as
soon as noticed and shall not be left open. If COS/RIS proposal is not submitted within 6
months from the Appointed Date, justification on why action should not be taken against
AE/IE/SC & NHAI Officers should be given. COS/RIS proposals beyond 6 months of Appointed
Date will be allowed in very rare cases, after seeing the justification on why it could not be
recommended within the stipulated period and how fast it was processed after identifying the
requirement at site. Also, such belated COS works may be taken up through a separate bid or
if separate bid is not feasible, COS may have to be taken out of completion requirement so that
Contractors do not quote this as reason and cover up their own delays in completion of other
reaches/ works or claim prolongation costs. If processing of COS/ RIS is delayed without proper
justification, an appropriate entry in APARs will be made against concerned officer (s) of NHAI.
IV. Executive Committee has also directed that while proposing Change of Scope/ Reduction
in Scope, the reasons for deficiency in scope of awarded work shall also be examined for
necessary administrative action on the consultants/officers of NHAI, if required.
V. The following instructions are issued on taking in-principle approvals for Change-of
Scope (COS)/ Reduction-in-Scope (RIS):
(i). The purpose of in-principle approval to Change-of-Scope (COS)/ Reduction-in- Scope
(RIS) is to get it immediately after the requirement of COS/RIS was identified at site
and PD & RO are satisfied with such requirement. In several cases, it has been
observed that PD, RO & Tech. Divisions at HQ ask for detailed cost estimate, which
delays granting in-principle approvals, thereby defeating the very purpose of in-principle
approval. In some cases, even PDs allowed the start of COS work at site. Henceforth,
PD, RO & Tech. Divisions at HQ shall submit the proposals for in-principle approval of
226
NHAI Policy circular no (i) 9.2.24/2019 dt. 29.04.2019, (ii) 9.2.27/2019 dt. 23.09.2019 & (iii)
8.3.41/2021 dt. 24.08.2021
COS/RIS to the Competent Authority within 30 days of identification of requirement of

such COS/ RIS at site.
(ii). ROs had been delegated powers for issuing COS/RIS Order for cases where in-principle
approvals had been granted by the Competent Authority. Instances have come to the
notice, wherein in-principle approved cost of COS varied beyond 5%, thereby requiring
revised approval of cost of COS from HQ. In fact it should not have happened in the
normal course, if all components of works were identified properly. However,
considering that the detailed designs/ costs are finalized only after in-principle approval,
such eventuality cannot be ruled out. This has been examined and the following
guidelines are issued:
(a) While submitting the proposals for in-principle approval of COS/RIS, PDs & ROs
should ensure that the estimates are realistic to the extent feasible. Towards this,
the quantities shall be based on detailed designs and rates shall be taken form the
applicable SOR duly taking cognizance of the provisions in the
Concession/Contract Agreement.
(b) Once in-principle approval is conveyed by the competent authority, COS/RIS order
shall be issued by the Regional Officer within 10 days.
(c) Though revision of in-principle approved cost of COS/RIS should not happen, but if
necessitated, due to justifiable reasons, the Competent Authority as indicated below
can approve the revisions duly satisfying about the need for such revision.
Regional Officer Upto 5% of the cost approved in-principle
Member >5% and <15% of cost approved in-principle
Chairman Full Power
(iii). It may be noted that delays in submission of proposals for in-principle approval of
COS/RIS and/or revision of in-principle approved cost of COS/RIS would attract action
against all concerned for such delays and/or wrongly estimating the cost at the first
instance.
XII. Determination of Extension of Time (EOT), Payment of Price Adjustment &

Damages in EPC Projects and interim payment of 90% of Price Adjustment.227
The timely determination and approval of extension of date for completion of the Project
Milestones / Project Completion based on the applications of the Contractors with due diligence
at various levels is essential for smooth administration of the Contracts besides avoiding
disputes/ claims of the Contractors. In order to streamline the process of determination and
approval of EOT in EPC Projects, the following guidelines shall be followed:
I. The Contractor, Authority Engineer(AE) and Project Director (PD) shall regularly review
the progress of the works, forecast delays, make efforts for mitigation of delays and
record reasons for delays & its effects. PD/RO shall submit the reports as under:
Sr. EPC List of Clause Responsibility of Officer of NHAI

relevant to
No. Contract
227
Clause the issue
1. 8.3 (i) Cl.8.3.2: (i) PD shall ensure handing over of all parts of the
Contractor agrees sites to the Contractor within the prescribed timelines.
to complete the In order to monitor timely handing over of the Sites,
works on all parts PD shall submit a quarterly report for each project to
of the site for the RO with a copy of the Member concerned at HQ
which RoW is on the parts of the sites not handed over to the
granted within the contractor and the hindrances thereon alongwith
prescribed time and action plan to address these issues. This
(90 days from the report shall invariably attach a statement jointly signed
Appointed Date or by the PD, AE & the Contractor on the reaches handed
the dates given in over and the hindrances in the remaining reaches.
Schedule-A for The above reports shall continue to be submitted till
some parts). all parts of the site/RoW are handed over to the
Contractor or the works are withdrawn in the
remaining parts.
(ii) Cl.8.3.1 &
Cl.8.3.3: In case
of delays in (ii) If the PD is unable to resolve, RO and Member
providing RoW, concerned shall make efforts to get the hindrances in
either the handing over the balance parts of the sites for which
damages as per damages are to be paid (as per Cl.8.3.1) or works to
Cl.8.3.1 shall be be withdrawn (as per Cl.8.3.3).
paid to the
Contractor or the
works may be (iii) Based on quarterly report of the PD, the RO shall
withdrawn as per propose and the Member shall decide the parts of the
Cl.8.3.3. sites for which damages are to be paid (as per
Cl.8.3.3).
(iv) With the above system in place, List-B works

proposed with PCC i.e. the List of outstanding works
which could not be completed due to non-availability
of land or Authority’s default, is clearly known at all
levels in NHAI (PD, RO & HQ) and it will not be fait-
accompli at the PCC stage.
II. As soon as the Contractor informs the AE about the delays and claims EOT towards
Project Milestone or Project Completion as the case may be, under clause 10.5.2 of
CA, the AE shall examine the claims expeditiously with detailed delay analysis and
determine the allowable interim/ final time extension within a period of 30 days (as per
clause 10.5.4 of CA).. The AE’s determination of EOT should inter-alia consider the
following aspects:
(i) The EOT without damages and with price adjustment may be determined for
the effective length of the reaches affected due to the authority duly considering
the following:
(a) Cl.8.3.2 of CA clearly prescribes that the works on all parts of RoW
granted within 90 days of Appointed Date of as provided in Schedule-A
shall be completed before the Schedule Completion Date and shall not
qualify for any time extension.
(b) As per Cl.10.5.2 of CA, time extension shall be due and applicable only
for the Works which are affected by the events or circumstances given
in Cl.10.5.1 of CA and shall not in any manner affect the Project
Completion Schedule for and in respect of Works which are not affected;
(c) The land made available on the Appointed Date (AD) through joint
Memorandum as per Clause 8.2.1 of CA may not be reopened unless
there are exceptional circumstances with evidence of delay attributable
to the Authority;
(d) As specified at Para I above, based on quarterly report of PD, RO shall
propose and the Member concerned shall decide the parts of the sites
for which damages are to be paid ( as per Cl.8.3.1) or works to be
withdrawn (as per Cl.8.3.3). Such decision of Member shall be conveyed
promptly to AE & Contractor and AE should account for the same while
determining EOT. PD/RO/Member concerned may note the implications
in not taking such decision, in the light of Para (iv) below.
(ii) Simultaneously, the likely completion dates may be determined by AE for the
effective length of the reaches delayed by the Contractor alongwith the value of
remaining works in such reaches on the Schedule Completion Date (or date of
determination of EOT by AE, if EOT determination is before Schedule
Completion or on the approved extension date, if EOT determination of after
such date) on the basis of Schedule-H (say Rs. A (say Rs. X Cr.) and the revised
contract price (say Rs. T Cr.) as per Cl.8.3.4 of CA.
(iii) The price escalation as per Clause 19.11 of CA Should be restricted on the
value of works in the effective length of reaches delayed by the Contractor (i.e.,
on Rs. A Cr) and allowed only on the value of works in the effective length of
reaches delayed due to the Authority [i.e., on Rs. (T-X-A) Cr.];
(iv) If the completion date of the effective length of reaches delayed by the
Contractor is beyond the eligible EOT as per Para(i) above, for the difference
(days), further extension with damages may be allowed, in order to keep the
contract alive. In such case, the Contractor shall pay the damages to the
Authority for the difference (day) @ 0.05% of Contract Price for each day delay
as per Cl.10.3.2. & Cl.10.6 of CA subject to maximum of 10% of Contract Price
as given in Cl.10.3.3 of CA (or as per provisions of specific contract).
(v) In case of achievement /delays in the project milestones, AE may consider only
the works/ reaches handed over within 90 days of Appointed Date. For example
on the due date to achieve the Project Milestone-I (i.e., Stage Payments of 10%
of Contract Price on 180th day from the Appointed Date), if 5% of the works/
reaches were not handed over within 90 days of Appointed Date), the Stage
Payment of 10%x0.95=9.5% only may be achieved by 180th day from the
Appointed Date and in case of delays, the likely/actual date of achievement of

9.5% may be determined by AE.
(vi) Simultaneously, AE shall also obtain the details of Cost Claims from the
Contractor relating to EOT till that date and give his recommendations on Cost
Claim alongwith determination of EOT as per Para (i) above.
(vii) If any of the above guidelines are contrary to the provisions in the Contract
Agreement, the same may be brought to the notice of Member concerned
immediately through RO for issuing either a clarification or amendment to the
above guidelines.
III. Thereafter , within 28 days PD and RO shall examine the determination of EOT as
above by the AE with due diligence and forward the proposals to the Technical Division
at HQ for approval, who in turn shall process the proposals and grant necessary
approval within 14 days with the approval of Member concerned. It was decided to
delegate the power to grant EOT and sanction cost claims to the Member concerned,
henceforth.
IV. Pending approval of EOT by the Competent Authority, the Project Director may make
a payment of 90% of the Price Adjustment recommended by AE, besides the stage
payments less damages, if any , recommended by AE, duly satisfying with the principle
followed by the Authority’s Engineer in recommending EOT/ price adjustment with a
clear written intimation to the Contractor /AE that such payment shall be deemed to be
an interim arrangement and shall be subject to review and adjustment , if required
based on the final approval of EOT / Price adjustment by the Competent Authority of
NHAI. This interim arrangement shall be valid for 3 months from the date of
recommendation of AE on EOT, as it is expected that the approval of Member
concerned as at para-1.3 above will be available by that time.
V. Format for conveying the approval of Extension of Time in EPC Projects.228
All ROs & Technical Divisions at HQ shall ensure that the letter of NHAI conveying the
approval of EOT in EPC Projects shall be as per Annexure ##-C. A copy of the letter shall also
be loaded on EOT Portal. While sending the proposals on EOT to HQ, the draft letter conveying
the approval of EOT shall invariably be furnished by ROs in the enclosed format.
XIII. Interest Bearing Working Capital Advance against unbilled executed work to
mitigate the cash flow problems of HAM Concessioner & EPC contractors and
modification in Schedule-H of the EPC Contract.229
Ministry of Road Transport & Highways vide letter no. RO/MUM/NHDP-39/2015-16

(Computer No. 176793) dated 09.11.2019 (Annexure ##- D) has issued Guidelines on the
subject “Interest Bearing Working Capital Advance against unbilled executed work to mitigate
the cash flow problems of HAM Concessionaire & EPC contractors and modification in
Schedule-H of the EPC Contract”. It has been decided by the Competent Authority NHAI to
228
Inserted due to NHAI Policy Circular no 9.2.33/2020 dt 26.02.2020
229
follow the MoRTH guidelines dated 09.11.2019 for implementation of NHAI projects but with
the following modifications:
A. Interest Bearing Working Capital Advance for HAM Projects:

Para 1.2 (iii) and (iv) : Concerned Project Director NHAI (PD, NHAI) is authorized for
releasing the requisite grant as interest bearing working capital advance with the
approval of Regional Officer of NHAI (RO, NHAI).
B. Interest Bearing Working Capital Advance for EPC Projects:

Para 2.2 (v): Concerned PD NHAI is authorized for releasing the requisite amount with
the approval of RO NHAI
XIV. Instructions for clearing the pending undisputed payments of Consultants &
Contractors/Concessionaires and ensuring timely release of payments in
future.230
NHAI has introduced the system of issue of project sanctions/ sanction code and project-wise
allocation of funds/ budget, so as to maintain financial discipline & budgetary control. In order
to implement an efficient & transparent system of payment of bills of all stakeholders viz
Concessionaires/ Contractors/ Consultants, etc, the following decisions have been taken:
(i) All Heads of Offices of NHAI [Divisions at HQ/ Regional Offices/ PIUs] will ensure timely
payment of bills on the first-cum-first –serve basis. For this purpose, all heads of offices
shall maintain proper record/ MIS for monitoring & ensuring timely payment of bills,
which shall inter-alia include date of receipt & date of payment of bill.
(ii) Bills will be paid within maximum 5 working days. The bills received will be tracked date
wise alongwith date for payment by suitably modifying the Bill Tracking System and
action will be taken on the concerned for delays in making payments, without valid
reasons. In case of any hurdle in payment of bill, the heads of offices shall bring the
same to the notice of Member concerned immediately.
(iii) Further,
(a) Pending approval of EOT to the Consultancy Contract, the amount due to the
Consultant for overstay on the project which is billed as per actuals may be paid
without linking the same with approval of EOT of Consultants and / or approval of
EOT of Contractor/ Concessionaire.
(b) Member concerned will issue a warning to the concerned officer(s) for delay in
granting approval of EOT. The files dealing with the extensions of Consultants shall
not move back & forth between PD/RO/Tech. Divisions & Fin. Division. If
observations could not be sorted out after conveying them once to the concerned,
Member(s) concerned should sort out and take decisions.
(iv) Chairman & Members during the meetings with the stakeholders will keep pending/ bills
as a standing agenda item.
230
NHAI Policy Circular no 9.2.28/2019 dt. 22.10.2019 & 9.2.31/2019 dt. 20.12.2019
XV. EPC Projects – Guidelines on granting provisional rescheduling of

intermediate project milestones pending approval of final EOT for smooth
contract administration.231
There are various factors due to which the projects are getting delayed viz. the factors
attributable to the Authority (like ROW of Construction Zone, Environmental Clearance,
approval of GADs for ROBs, additional works involving Change of Scope and other delays
attributable to Authority); the factors attributable to the Contractor (like insufficient mobilization,
slow progress, cashflow problems etc.) and are Force Majeure Events. These factors lead to
extension of ate for completion of the Project Milestones/ Scheduled Completion Date. Timely
determination and approval of extension of date for completion of the Project Milestones/
Project Completion is essential for smooth administration of the contract, besides avoiding
disputes/ claims by the Contractor.
II. The issues of delay in approval of EOT, non-payment of Price Adjustment and imposition
of penalties are time and again being raised by the Contractors at various fora. In order to
expedite the determination of EOT and released issues including effective monitoring, a
web based portal is being developed by NHAI. However, till the time aforesaid portal
becomes effectively operational, the following guidelines shall be followed for rescheduling
of intermediate project milestones for smooth administration of the EPC contracts:
(i) Rescheduling of the intermediate project milestone may be provisionally determined
based on availability of unhindered land (i.e., vacant and unencumbered work front)
vis-à-vis land to be handed over as on Appointed Date, as per contract.
(ii) The provisional rescheduling of intermediate project milestones, pending determination
and approval of EOTs, should be done by permitting price adjustment & without
imposition of damages for smooth administration of the contract and avoiding cashflow
problem, with a clear understanding that necessary reconciliation in EOT, price
adjustment and damages as per contract shall be finalized at a later stage at the time
of detailed evaluation of EOT.
III. ROs are henceforth delegated the power to approve provisional rescheduling of the
intermediate project milestones within the scheduled project completion period, as per
above guidelines. However, any EOT, beyond scheduled project completion date, shall be
approved by the Competent Authority as per extant guidelines.
XVI. Guidelines for determination of Cost of Change of Scope (COS)/ Reduction in

Scope (RIS) due to Withdrawal of works/ Alteration (Change/omission in
existing item) in Works in Engineering Procurement Contracts (EPC)
Projects- Applicable Schedule of Rates, Design Charges, Maintenance
Charges regarding232
National Highways Authority of India (NHAI) has adopted Model documents issued by Ministry
of Road Transport & Highways (MoRTH) for procurement of Civil Work Contractors and
Concessionaires. Based on its procurement and operation experience, the implementation of
II. These guidelines are being issued in this reference for clarifications on applicable
Schedule of Rates, Design Charges and Maintenance Charges for determination of
231
232
Cost of Change of Scope (COS)/ Reduction in Scope (RIS)/ Withdrawal of works/

Alteration in Works in Engineering Procurement Contracts (EPC) Projects.
III. In cases where any specific provisions on COS/RIS are prescribed in the Contract
Agreement, the same shall prevail.
IV. These Policy Guidelines will be implemented strictly from the date of issue of this Policy
Circular for unapproved COS/RIS. In case of COS/RIS already decided, the approved
cost of COS/RIS shall not be reopened on the basis of these guidelines.
V. Schedule of Rates for Change of Scope (COS)/ Alteration (Change/omission in

existing item) in Works:
(a) Schedule of Rates (SOR) for Change in scope shall be as per relevant clause
13 of the Contract Agreement.
(b) For determination of the cost of Altered component (Change/omission in
specifications/dimensions of existing item), SOR shall be adopted as above.
Cost of Altered component of work shall be determined as difference (net)
between the cost for Altered Work and existing Work as per contract.
(c) No Change of Scope shall be executed unless the Authority as issued the
Change of Scope Order. Instructions given during inspections/meetings shall
not be treated as approval to go ahead with execution of COS until formal
approval of competent authority is obtained. Concerned Authority Engineer and
Project Director shall be held responsible for any failure on this account.
VI. Escalation is allowed where completion period is more than 18 month. Under CoS, it is
not expected to take up any item, which require more than 18 months. As such, No
price escalation shall be provisioned during construction period of COS/Altered
component Work.
VII. Design Charges for CoS Works: No design charges are normally allowed. However,
in cases involving complex structures and work proposed is not similar to the work in
the original scope, the design charges may be permitted with an upper cap @1% of
cost of such new works as decided by Authority Engineer.
VIII. Maintenance charges for COS Works: The maintenance charges shall be applicable
as per provisions of contract agreement.
IX. Cost and effect of Reduction in Scope (RIS) due to Withdrawal of work on the project
shall be done as per provisions of Concession Agreement. The value of works
withdrawn shall be determined from the details available in Schedule-H. In the event
that it is impossible to determine the value from Schedule-H, then the value shall be
determined in accordance with the provisions of clause 13.2 of contract document.
Annexure ##-A
Statement showing variations approved by the Engineer to the Project
1 2 3 4 5 6 7 8 9 1 11 12 13 14 15 16 17 1
0 8
Sr Name Net Cumulative Variations during Cumulative

. of the Variations up to the the Variations up to the
Packa Contr Previous Quarter Quarter
N act Quarter
Negative Variations/
ge
o.
Contract Price
Price BO No Total BO No Total BO No Total

Savings
Q n- Q n- Q n-
(4-5) Ite BO Ite BO Ite BO
ms Q ms Q ms Q
Ite Ite Ite
ms ms ms
Date of Commencement
Rs Rs. Rs. Rs. Rs. Rs As Rs. Rs. Rs As Rs. Rs. Rs As

. a a . a
in in in In In % in in % in In In %
in in
Cr. Cr. Cr. Cr. Cr Of Cr. Cr. Of Cr. Cr. Cr Of
Cr . col Cr col . col
. 6 . 6 6
Note : For each package, the nature of variation, both for BOQ and non-Boq items, may be
given in a separate sheet.
Annexure ##-C
NHAI/ ……………………………..
Date…………….
To
Contractor of EPC Project
Sub: Name of the Project of EPC Mode – Extension of Time (EOT) under clause 10.5 of the
Contract Agreement.
Ref.: (i) Your application for EOT vide your letter no. ……. Dated……….;
(ii) Authority Engineer’s letter no……….. dated………..;
This is reference to the above cited letters on the subject. Vide your letter dated……….
[Ref (i)], you had requested for Extension of Time (EOT). It is pertinent to mention the work
was awarded to you with date of start/ scheduled date of completion as ……………. /
…………… for a contract price of Rs. ………………..Cr. Your request for EOT had been
examined and the Authority Engineer vide letter at Ref (ii) had recommended the proposal in
which the delays, reach wise, attribute to both the parties had been informed.
2. In view of above, the Competent Authority has approved the Extension of Time for
………. days, i.e., upto …………… (date) for completion of the project subject to the following
conditions:
a) Against the contract price of Rs……...Cr. (X), a total amount of work, executed as on
SPCD, is Rs…………….Cr. [A] [billed A! & unbilled A2, i.e., A=A1=A2]. The additional
amount of work which could have been executed as per the work front available is
Rs………. Cr. [B]. The Extension of Time is hereby approved upto
…………………………(date) for an amount of Rs……….Cr. [C=X-(A+B)]. The price
escalation shall be paid on this amount of Rs…. Cr. [C].
b) The price escalation on the amount of Rs. [A2+B] Cr. During the extended period shall
be worked out based on both the applicable price indices as on SPCD and as on actual
billing date and the lower of the two shall be paid to the Contractor.
c) Contractor shall pay damages to the Authority in accordance with Clause 10.3.2 & 10.6
of the Agreement in case the Contractor fails to compete the work upto the date
determined by AE after taking into account the reasonable time needed for completion
of the most critical stretch/ work front delayed due to the Authority, i.e., which leads to
maximum shifting of completion period on account of delays attributable to the
Authority.
d) No bonus shall be payable to the Contractor as per provisions of Clause 19.20 of the
Contract Agreement in the event of project completion date occurring prior to the
extended date of completion, in view of works delayed by the
Contractor [Rs. B Cr.]
e) Contractor is advised to demobilize the resources (Plant & Machinery), which are not
required and deploy only those resources which are essentially required for completion
of balance work. Authority Engineer may specifically examine and advise the Contractor
on essentially required resources.
f) EPC Contractor informed vide letter dated…… that they has no claims on account of
above Extension of Time for this period.
OR
Contractor has raised claims amounting to Rs……Cr. And the same are not acceptable
for following reasons
(i) (ii) (iii)

OR
Contractor has raised claims amounting to Rs……Cr. Out of which claims for
Rs…….Cr. have been agreed to by NHAI as detailed below:
(i) (ii) (iii)
Encl. – As above
Appendix
List of Circulars superseded:

No.
9.2.1 Measurement Books 21.05.1997 Retained
9.2.2 Delegation of powers for 02.03.2000 Superseded vide

Managing Civil Works and Policy circular no
Supervision Consultancy 9.2.3(A/F-31/2002)
Contracts. dated 31.12.2002
9.2.3 Streamlining the procedure A/F- 31.12.2002 Retained

for approval of variations 31/2002
9.2.4 Recording in Measurement A/F- 03.10.2003 Merged with

Books 59/2003 circular no 9.2.1
dated 21.05.1997
9.2.5 Engagement of Sub- Tech.- 21.10.2004 Merged with Policy

Contractors under civil works 45/2004 circular no
contracts on NHAI Projects. 9.2.3(A/F-31/2002)
dated 31.12.2002
9.2.6 Guidelines on maintenance A/F- 18.11.2004 Merged with 9.2.1

and certification of 92/2004
measurement recorded in the
Measurement Book.
9.2.7 Streamlining the procedure A/F- 12.04.2006 Merged with Policy

for approval of variations in 119/2006 circular no
individual BOQ items (Sub- 9.2.3(A/F-31/2002)
Clause 51.2 of Conditions of dated 31.12.2002
Contract of Standard Bidding
document of NHAI)
9.2.8 Procedure for submission of Tech.- 03.03.2008 Merged with Policy

proposals for variations. 8/2008 circular no
9.2.3(A/F-31/2002)
dated 31.12.2002
9.2.9 Procedure for timely granting A/F- 29.12.2008 Retained

of Extension of Time in Civil 43/2008
Work Contracts.
9.2.10 Procedure for submission / 25.03.2011 Pertains to Admin

approval of proposals for Division. However,
Variation / Executive this circular is
Committee meetings. Obsolete in the
light of Policy
circular no

No.
18.31/2018 dt.
20.06.2018
9.2.11 Policy Decisions taken by Tech- 01.03.2011 Retained

Executive Committee in its 73/2011
meeting held on 22.02.2011
are conveyed for strict
compliance
9.2.12 Policy on presenting the Tech- 01.06.2011 Procedure for

consolidated EOT & variation 78/2011 submission of
proposals of completed proposals to EC/
projects before the Variation Variation
Committee. Committee
pertains to Admin
Division. However,
this circular is
Obsolete in the
light of Policy
circular no
18.31/2018 dt.
20.06.2018
9.2.13 Contract Agreements (EPC Tech- 06.06.2011 Retained.

Works) / Concession 79/2011 However the same
Agreements (BOT/Annuity circular is also
Projects) / Consultancy available at Policy
Agreements for Feasibility circular no 8.3.6.
Study & DPR / Supervision
Consultancy and Agreements
for Independent Consultancy
Services – Authorized
Representative of Employer
(NHAI).
9.2.14 Price adjustment in Item Rate Tech- 25.08.2011 Obsolete as

Contracts of NHAI – reg. 86/2011 guidelines are
related to Fidic
document
9.2.15 Claims of the Concessionaire / Tech- 30.07.2012 Retained

Contractors in the ongoing 110/2012
BOT/EPC Projects.
9.2.16 Check list for monitoring of Tech- 31.07.2014 Retained

EPC Contracts. 162/2014
9.2.17 Repair and maintenance of Tech- 10.10.2014 Shifted to Sub

entrusted highway stretches 168/2014 Head(9.4) –

No.
Chapter: Operation
& Maintenance
9.2.18 Release of Additional Tech- 07.09.2015 Retained

performance Security in Item 180/2015
Rate contracts.
9.2.19 Issue of policy guidelines for Tech- 25.04.2016 Obsolete in the

delegation of powers for 205/2019 light of policy
approval of Change of Scope circular no
(CoS) in EPC National 18.24/2017 dt.
Highway Projects. 21.08.2017
9.2.20 Revised Delegation of Power Tech- 02.08.2016 Shifted to Sub

with respect to Operation & 209/2016 Head(9.4) –
Maintenance (O&M) Works for Chapter: Operation
(4/6 lane) stretches & Maintenance
maintained by NHAI.
9.2.21 Amount of Insurance against Tech- 26.08.2016 Retained

injury to persons and damage 211/2016
to property under sub clause
3.1 of Schedule-P of Contract
Agreement on EPC mode-
clarification regarding.
9.2.22 Issuance of Provisional 9.2.22/ 02.08.2018 Retained

Completion Certificates or
Completion Certificates in 2018
EPC Projects-reg.
9.2.23 Modification of Schedule H of 9.2.23/ 12.04.2019 Superseded vide

EPC Contracts. Policy Circular no
2019 9.2.30/2019 dt
19.11.2019
9.2.24 Regarding Guidelines for 9.2.24/ 29.04.2019 Merged in

discouraging Change of 9.2.27/2019 dt.
Scope (COS)/Reduction in 2019 23.09.2019
Scope (RIS).
9.2.25 Determination of Extension of 9.2.25/ 24.07.2019 Retained

Time (EOT), Payment of Price incorporating sl no.
Adjustment & Damages in 2019 1 of table of policy
EPC Projects and interim circular no
payment of 90% of Price 9.2.22/2018 dt
Adjustment. 02.08.2018
9.2.26 Interest Bearing Working 9.2.26/ 16.08.2019 Superseded vide

Capital Advance against Policy Circular no
unbilled executed work to

No.
mitigate the cashflow 2019 9.2.30/2019 dt

problems of Contractors of 19.11.2019
EPC Projects.
9.2.27 Delegation of Power – 9.2.27/ 23.09.2019 Retained

Streamlining in-principle
approvals for Change-of – 2019
Scope (COS)/ Reduction-in-
Scope (RIS)
9.2.28 Instructions for clearing the 9.2.28/ 22.10.2019 Merged with

pending undisputed 9.2.31
payments of Consultants & 2019
Contractors /
Concessionaires and
ensuring timely release of
payments in future.
9.2.29 Hybrid Annuity Model (HAM) 9.2.29/ 05.11.2019 Shifted to Chapter:

Projects – Waiver of damages Concession
to the Concessionaires for 2019 Administration
delay in submission of the
Performance Security BG or
achieving the Financial Close
for the cases where the
Authority was not in a position
to hand over RoW
9.2.30 Interest Bearing Working 9.2.30/ 19.11.2019 Retained

Capital Advance against
unbilled executed work to 2019
mitigate the cash flow
problems of HAM
Concessioner & EPC
contractors and modification
in Schedule-H of the EPC
Contract.
9.2.31 Instructions for clearing the 9.2.31/ 20.12.2019 Retained

pending undisputed
payments of Consultants & 2019
Contractors/Concessionaires
and ensuring timely release of
payments in future
9.2.32 EPC Projects – Guidelines on 9.2.32/ 17.1.2020

granting provisional
rescheduling of intermediate 2020
project milestones pending
approval of final EOT for

No.
smooth contract
administration.
9.2.33 Format for conveying the 9.2.33/ 26.2.2020 Merged with

approval of Extension of Time 9.2.25/
in EPC Projects. 2020
2019 dated
24.07.2019
9.2.34 Guidelines for determination 9.2.34/ 10.6.2020 Retained

of Cost of Change of Scope
(COS)/ Reduction in Scope 2020
(RIS) due to Withdrawal of
works/ Alteration
(Change/omission in existing
item) in Works in Engineering
Procurement Contracts (EPC)
Projects- Applicable Schedule
of Rates, Design Charges,
Maintenance Charges
regarding
8.3.41 Serious Delays in taking in- 8.3.41/2021 24.8.2021 Merged in

principle approvals of Change 9.2.27/2019 dt.
of Scope (CoS) & Reduction in 23.09.2019
Scope (RIS)-reg.
8.3.1 (a) Procedure for payment Tech- 7.10.2008 Shifted to Head

& under Change of Scope 19/2008 (11) Standard
9.4.10 Orders in case BOT Projects; Document for
and (b) Recovery of 20% of updation of
value of work not completed standard bidding
upon termination of Contract document in
on account of default of the respect of para(b)
Contractors as per Sub-Cl 63.3 of this circular.
of COPA under NHDP Phase-II Para (a) of this
Standard Document. circular will be
implemented as
per concession
agreement.
Section: 9.3. Payment Related
Sub Subject
section
I. Minimum Value of IPC under various Civil Works

Contracts.
II. Guidelines for payments to contractors.
III. Guidelines for release of payments to Contractors/

Consultants.
IV. Payment in respect of Price Escalation.
V. Irregular payment of Royalty/Taxes.
VI. Recovery of Mobilization of advances.
VII. Payment of Mobilization Advance to the Contractors.
VIII. Utilization of Mobilization Advance to the Contractors.
IX Release of retention money against Bank Guarantees.
X Payment of Escalation on Material Advance.
XI Linking factor due to change of base year of WPI from

2004-05 to 2011-12.
XII Miscellaneous.
XIII Appendix
I: Minimum Value of IPC under various Civil Works Contracts233
It has been decided that relaxation with regard to minimum value of monthly Internal Payment
Certificates (IPC) prescribed in civil contracts should be done only in exceptional cases where
the circumstances justify/where situation warrant such relaxation and should be done only with
the approval of Variation Committee.
Accordingly, all Technical Divisions/Project Directors are requested to ensure that payments
against the monthly IPC are made strictly as per conditions prescribed in contract without
relaxation. In exceptional cases, specific proposals with proper justifications should be placed
before Variation committee for approval.
233
Policy Circular No. No 128/2006 dated 20.09.2006
II: Guidelines for payments to contractors234
With a view to bring uniformity in scrutinizing the proposal received from the Contractors for
acceptance of BGs/release of funds, it has been decided to uniformly follow the guidelines
issued in the circular.
The guidelines prescribed for (i) Scrutiny of BGs for performance security, (ii) Payment of
Mobilization Advance, (iii) Payment of Equipment Advance, (iv) Payment against Monthly IPCs
shall be read in conjunction with provisions of the contract under which the payment is sought
and shall be uniformly followed for processing all the cases for acceptance of BGs/release of
payments to contractors etc.
234
Policy Circular No. No. 08/2002 dated 19.06.2002
III: Guidelines for release of payments to Contractors/ Consultants235

With a view to streamline the procedure for release of payments to Contractors/ Consultants
etc., the following procedure is prescribed:
(i) All the initial payments, i.e. mobilization and equipment advances etc. shall be
processed and paid at headquarter. Proposals for release of retention money
against BGs shall be processed at Headquarter. Payment can be made by
PIU/Headquarter and accounting entries and other related documents be forwarded
to concerned PIUs by Headquarter.[both Technical and Finance Division]
(ii) All other payments shall be released directly PIU strictly in accordance with Contract
Conditions. PIU to ensure approvals from HQ, wherever necessary, are obtained
prior to release of payments.
(iii) All BGs will be maintained and monitored in accordance with existing guidelines
(Policy 12/2002 dated 2/8/2002)
(iv) In case, PIUs need any clarification before release of any payment, the same may
be obtained from HQ.
These guidelines supersede the instructions issued vide circular no. NHAI/F&A/PIU
Jaipur/98/16 dated 30.01.2002.
235
Policy circular no. no. 32/2003 dated 10.01.2003
IV: Payment in respect of Price Escalation236
It has been decided that payments relating to price escalation on all components except being
worded differently, the Law ministry has advised that price variation is not available in those
agreements where it is not found in the express language
In view of above, it has been decided that:
(i) Ni further payment on account of price escalation may be made under these
contracts where it is not found in the express language.
(ii) As regards recovery of payments on account of price escalation released in the

case of projects that have already been completed, the recovery may be made
immediately along with interest at SBI PLR as stipulated in policy circular 49/2003
(iii) Payments already released on account of price escalation, not secured against
BGs, may be recovered immediately along with interest at SBI PLR as stipulated in
policy circular 49/2003. However, in cases where contractors request NHAI to
secure such payments against BGs may be acceded to by the Project Directors.
(iv) Payments released earlier which were not secured against BGs but have now been
secured against BGs may be recovered in suitable installments along with interest
at SBI PLR as stipulated in policy circular 49/2003, subject to conditions that the
entire recovery is made before 90% of the final contract value has been paid for.
236
Policy Circular No. No. 49/2003 dated 26.06.2003, 57/2003 dated 25.09.2003, 85/2004 dated
20.05.2004, 88A/2004 dated 07.08.2004
V: Irregular payment of Royalty/Taxes237
During the course of audit for Gurgaon-Kotputli Project, the reimbursement/payment made by
NHAI as per Clause 70.8 of the Civil Works Contract was considered to be irregular by the
Government Audit on the ground that no separate payment was required to be made under
said clause if it was already covered under price adjustment formula.
In view of above observations, it has been decided to recover Rs. 4.47 crores reimbursed to
the contractor in case of Gurgaon-Kotputli project. Further, in case any similar payments have
been released in other projects, the same may also be recovered.
237
VI: Recovery of Mobilization of advances238
It has been brought to notice that recovery of mobilization advances paid to contractors under
the provisions of contract is made at rates specified only on amount of work done instead on
the value of IPC as prescribed under relevant provisions of contract.
Accordingly, all PIUs are advised to ensure that the mobilization advances are recovered
strictly in accordance with the conditions of the contract.
It has been observed that there are some inconsistencies in the provisions in some of the
contracts relating to the rate of recovery of mobilization advances paid to the contractors.
To remove the inconsistencies, the following procedure is to be adopted:
(i) Revise the recovery schedule in consultation with the contractor

(ii) Enter into a supplementary agreement with the contractor in this regard reflecting
the change in provisions of recovery of advances.
(iii) In respect of future contracts, where a total advance of 15% of contract price is
payable to the contractors, the following provisions for recovery of advance may be
incorporated in standard bid documents.
“recovery shall be made @25% of the gross amount of all IPCs (i) after the progress
payments made to contractor reach a level of 30% of contract price or (ii) on
completion of 40 (forty per cent of the contract period after the commencement of
the work, whichever is earlier, provided that the entire advance is recovered (i)
before 90% of the contract price has been paid to the contractor, or (ii) before the
expiry of the prescribed period of completion (including any extension of time which
has been granted) whichever is earlier”
238
Policy Circular No. No. 60/2003 dated 03.10.2003, 64/2003 dated 04.11.2003
VII: Payment of Mobilization Advance to the Contractors239
It has been decided to introduce the following provisions in the bid documents for entering
into contracts in future, except for EAPs where the conditions as per their standard bidding
documents may apply, for release of mobilization advances to the contractors:
(i) Payment of an upfront interest free mobilization advance to the tune of 5% of the
contract price.
(ii) Payment of an additional interest free advance to the tune of 5% of the contract
price after the contractor has achieved a financial progress of 10% of the contract
price.
(iii) Payment of interest free equipment advance to the tune of 5% of the contract price
against the equipments purchased by the contractors on or after the date of issue
of letter of acceptance (LoA), under its ownership, subject to production of proof of
payment.
(iv) No equipment advance shall, however, be admissible on any other equipment

where no purchase of equipment is involved (i.e., equipments already owned by the
contractor) or equipments purchased under hire purchase scheme/financing
agreement or on hired equipment etc.
239
VIII: Utilization of Mobilization Advance to the Contractors240
With reference to para 4.10 of Policy circular 08/2002 dated 19.06.2002, it has been pointe out
by the Internal Auditors that instructions are not being complied with by the PIUs at time of
release of payments against the IPCs.
All PIUs are directed to ensure that mobilization advances paid to contractors have been
utilized as required under the provisions of the contract. No payment may be made unless the
contractors have complied with. A maximum of 6 (six) months from date of release of such
advances may be granted for submission of utilization advances.
240
IX: Release of retention money against Bank Guarantees241
Policy Circular 121/2006 refers to circulars regarding early release of retention money against
Bank Guarantees otherwise at the stages prescribed in civil works contracts. Vide circulars
52/2003 and 77/2004, it was prescribed that such early release of retention money will attract
interest @6% for releases made on or after 28.08.2003.
In this regard, it is clarified that in case retention money is released only at stages as prescribed
in contracts (and the contracts do not specifically prescribe for levy of any interest on such
release of retention money); such releases will not attract levy of interest @6% p.a.
241
Policy circular no. 121/2006 dated 09.05.2006
X: Payment of Escalation on Material Advance242
With regard to Payment of Escalation on Material Advance whether to be made on value

material in escalation formulae “R” for which material advance paid to be considered 75% or
100% of material value.
It is found that for calculation of value of R prescribes the value of materials on which secured
advance has been granted/recovered, if any, for that month should be included/deducted for
that month.
All PIUs to ensure that correct indices are used for calculation of payment on account of price
adjustment.
Circular 103/2012 supersedes circular 66/2003 dated 15.12.2003.
242
XI: Linking factor due to change of base year of WPI from 2004-05 to 2011-12243
Due to change of base year of WPI from 2004-05 to 2011-12, references were received for
mechanism for adoption of WPI series 2011-12 for payment of price escalation in contracts
with base year of WPI as 2011-12.
List of the items dropped from old series and new items included can be found on
(www.eaindustry.nic.in) of Ministry of Commerce & Industry, Govt. of India. The number of
items in commodity basket has increased from 676 to 697. Number of quotations has
increased from 5482 to 8331 and average number of price quotation per commodity has
increased from 8 quotations in 2004-05 to 12 quotations per commodity in 2011-12.
Price adjustment formula for escalation in NHAI use WPI for (a) all commodities (b) Cement
& Lime (c) Grey Cement (d) Steel (Rods) (e) Rebars etc,
1. For Fresh Contracts

For all contracts entered afresh, the price variation formula may be defined by using
the items available in the new basket (WPI 2011-12). It is suggested that escalation
contracts should ideally be linked to index value at two digit level or four digit level of
aggregation.
2. For Old Contracts signed and still continuing

While launching the new series with base year 2011-12, OEA (Office of Economic
Advisor) notified that the new series will be effective from April 2017. For toll revision
and price variation formula, no linking factor to be used for WPI before April 2017.
Linking factor for conversion of WPI (2011-12) indices to WPI (2004-05) series shall be
used from April 2017 onwards.
Summary of Linking factors and formula for getting WPI of construction Machinery by using
Linking Factor can be found in the circular.
243
Policy circular no. 18.30 dated 20.03.2018
XII: Miscellaneous244
4. With respect to PIUs seeking clarification as to whether the interest is to be charged at

fixed rate or at floating rate of interest, it is clarified that the interest be charged at SBI
PLR prevailing on the date of release without any provision for interest reset.
5. With respect to PIUs seeking clarification as to whether retention money released

before issuance of policy circular 52/2003 dated 28/08/2003 would also attract interest
@6% per annum, it is clarified that interest @6% per annum will be charged only in
release of retention money in future without affecting the releases already prior to
mentioned circulars.
6. Technical Divisions are directed to ensure that all future contracts include the provisions
for price adjustment due to variance in percentage of binder used compared to
percentage specified for BOQ items as issued by MoRTH. Competent Authority has
also directed for removing the anomalies and introduction of cost adjustment clause in
all such type of Agreements/Tenders.
7. MoRTH vide its letter no. RW/NH-37010/4/2010/PIC-EAP (Printing) dated 29.09.2017

(copy enclosed in circular) has clarified that flexible interest rate i.e. Bank rate is to be
used for calculation of interest from date of payment of mobilization advance till the
recovery of the same.
244
Policy Circular No. No. 74/2004 dated 26.02.2004, 77/2004 dated 03.03.2004, 96/2012 dated
13.01.2012, 9.3.19/2021 dated 23.02.2021
Appendix A

32. 08/2002 19.06.2002 Guidelines for payments to contractors
33. 32/2003 10.01.2003 Guidelines for release of payments to

Contractors/Consultants
34. 49/2003 26.06.2003 Payment in respect of price escalation
35. 54/2003 01.09.2003 Irregular payment of Royalty/Taxes
37. 60/2003 03.10.2003 Recovery of Mobilization Advances
38. 64/2003 04.11.2003 Rate of Recovery of Mobilization Advances
39. 65/2003 18.11.2003 Payment of Mobilization Advance to Contractors
40. 67/2004 12.01.2004 Utilization of Mobilization Advances
41. 74/2004 26.02.2004 Interest of Recovery of Mobilization

Advances/payment of additional advances
42. 77/2004 03.03.2004 For early release of retention money
44. 88A/2004 09.08.2004 Payment in respect of price escalation
45. 121/2006 09.05.2006 Release of retention money against bank

guarantees
46. 128/2006 20.09.2006 Minimum Value of IPC under Various Civil
Works Contracts
47. 96/2012 13.01.2012 Price adjustment for variation in Binder Content
48. 103/2012 29.05.2012 Payment of Escalation of Material Advance
49. 18.30 20.03.2018 Linking factor due to change of base year of WPI
from 2004-05 to 2011-12
50. 9.3.19/2021 23.02.2021 Clarification to the Bank Rate mentioned in Cl.
19.2.1 of Standard EPC Agreement for National
Highways and centrally sponsored Road &
Bridge works proposed to be implemented on
Engineering, Procurement & Construction
(EPC) Mode-reg.
Section: 9.4. Operation & Maintenance
Sub Subject
section
I. Delegation of Power with respect to Operation &

Maintenance (O&M) Works for (4/6 lane) stretches
maintained by NHAI.
II. Maintenance of stretches entrusted to NHAI.
III. Maintenance of entrusted highways during monsoon –

Regarding.
IV. SOP for redressal of Complains received on Repair and

maintenance of entrusted highway stretches
V. Monitoring of Operation & Maintenance (O&M) -

obligations of Concessionaires/ Contractors.
VI. Equipment based monitoring of the projects during O&M

phase.
VII. NSV survey and data updation on Datalake Portal.
VIII. Appendix
9.4: Operation & Maintenance
I. Delegation of Power with respect to Operation & Maintenance (O&M) Works

for (4/6 lane) stretches maintained by NHAI245.
Delegation of power with respect to O&M works for 4/6 lane stretches maintained by
NHAI are as under:
1) O&M Contracts
A) Variation in BOQ/Non BOQ items for O&M Contracts

S.No Item Description Approval limit (upto) Approving Authority(ies)
1. Single BOQ Item +/-25% of original quantity Engineer

(subject to total
Contract variation) +/-50% of original quantity RO / CGM HQ
Full Power Concerned Member
2. New/Non-BOQ items 10% of contract value RO / CGM HQ

(subject to total
Contract variation) 25% of contract value Concerned Member
Full Power Concerned Member +

Member(F)
3. Total (BOQ+Non +/-5% of original contract Engineer

BOQ)
Contract variation +/-15% of original contract RO / CGM HQ
+/-25% of original contract Concerned Member
+/-50% of original contract Concerned Member +

Member(F)
Full Power Chairman/Executive

Committee
Note:-All above limits includes limits exercised/approved at lower level(s) as per above
B) Extension of Time(EOT) for O&M Contracts (with or without LD)

(i) RO/ CGM(HQ)-Upto 50% of original contract period subject to maximum of 6
month
(ii) Member-Upto 100% of original contract period subject to maximum of 12 month
(iii) Member with Member (Fin)-Full Powers.
Note: - All above limits includes limits exercised /approved at lower level(s)
C) Delegation of Power for sanction of Maintenance Estimates (O&M, Renewal,

SR etc.)
Following are Delegation of Power for sanction of maintenance estimates:
245
NHAI Circular No. (i) 9.2.20 through Technical 209/2016 dt. 02.08.2016, (ii)9.4.21/2016 dt.
28.11.2016, (iii)para 10 of 18.24/2017 dated 21.08.2017, (iv)18.43/2020 dt. 27.04.2020 &
(v)18.76/2021 dt. 31.12.2021
i. RO - Upto Rs.10 crore per project reach per annum

ii. CGM(HQ) – Upto Rs.10 crore
iii. Member Concerned – Upto Rs. 25 crore
iv. Member concerned with the concurrence of Member (Finance) –Upto Rs. 50
crore.
v. Executive Committee- More than Rs. 50 crore.
Note: - The estimate shall be prepared as per the SOR of concerned state PWD (NH
wing)
D) Approval of bids for maintenance works
Following are Delegations of Power:
i) Lowest bid price is upto 5% above the Regional Officer/CGM(T)

sanctioned cost HQ
ii) Lowest bid price is more than 5% and upto Member

10% of above the sanctioned cost
iii) Lowest bid price is more than 10% and Concerned Member +
upto 15% above the sanctioned cost. Member(F)
iv) Lowest bid price is more than 15% above Chairman / Executive
the sanctioned cost. committee
2) Emergent works relating to repair
For emergent repairs, the delegation to field units shall be as follows:

(i) PD-Upto aggregated limit of Rs. 50 (Fifty) lacs in a financial year.
(ii) RO-Upto aggregated limit of Rs. 5 (Five) crore in a financial year.
Note:-These power shall be exercised by RO/PD subject to the following:
i) There is no Contract under operation at the time of invoking this authorization.

(ii) The item(s) of repair/maintenance works where safety of users/structure on the
stretch would be impacted.
(iii) Proposal shall be sanctioned as per current SOR of respective state PWD (NH).
The work shall be awarded following the procedure prescribed in State PWD for
such nature of emergent repair work.
(iv) Concern Member/Concern RO shall be informed via e-mail/phone/letter before
sanctioning of estimate.
(v) Copy of sanction and tender notice shall be e-mailed/furnished within seven days
to Head Quarter with full details and reasons.
(vi) Variation on account of Swatcha Bharat Abhiyan Programme would also be covered
under this.
3) Maintenance of the road where declaration of appointed date is delayed

It has been decided that in cases where declaration of appointed date of awarded works
are delayed then maintenance of the existing road may be taken up as per the site
requirement and to keep the road in traffic worthy condition with approval of at least at
Member lever and above as per para 1(C)/(ii),(iii),(iv) above. Regional Officer shall seek
approval with necessary maintenance provisions and proper justification in the estimate
keeping in view the likely achievement of appointed date.
Note: - The RO will invite the bid after sanction of maintenance proposal and award the
lowest bid as per delegated power as above.
4) Appointment of Site Engineer / Site Supervisors.
i) Site Engineers / Site Supervisors may be engaged to work under PDs as per
procedure in the maintenance packages where IE / Supervision Consultant are not
in position. They may be considered mainly for the works where Concession
Agreements/Contracts have been awarded (project management) or where
maintenances activities have to be undertaken. However, they may be engaged
only in case of absolute necessity. Keeping this in view, the requirement shall be
assessed by the concerned PD in consultation with RO.
ii) On Mobilization of IE/Supervision Consultant for a particular package, the services
of the Site Engineer/ Site Supervisor will be terminated.
iii) The contract Site Supervisors / Site Engineers will not have any financial powers
and will not sign any cheques.
iv) The procedure for appointment of Site Engineer / Site Supervisor shall be as per
prevailing extant policy of NHAI on engaging the site engineer/supervisor
5) Delegated powers of the Regional Officers will apply for maintenance carried out
through State PWDs also, so long as RO satisfies himself that the maintenance cost is within
the norms of the Ministry.
6) Practice of proposals for post facto approval of Competent Authority on Variation of

BOQ Quantities or Variation of Non BOQ items should be discouraged and all the concerned
are hereby directed to get sanction/ approval prior to work allocation and seek timely approval
of NHAI HQ on Variation, if any.
II. Maintenance of stretches entrusted to NHAI.246
Poor condition of NHs not only invites lot of public criticism, but also hinders safe &
smooth flow of traffic. In order to facilitate timely action on maintenance, powers had been
delegated to ROs. Following SOP will be followed henceforth:
A. Maintenance of stretches entrusted to NHAI, but civil work contract for

development of reach not awarded: Considering the likely date of award of civil work in the
reaches, bare minimum/essential maintenance may be carried out, which may include filling
246
NHAI Circular No 18.37/2019 dated 09.12.2019, 18.38/2020 dated 07.02.2020 & 18.39 dated
12.03.2020
potholes and patch repair, but not bituminous surfacing. DBM & BC shall be used in exceptional
cases, like in bypassed sections, for the stretch which is being handed over to the state PWDs.
(a) Sections proposed to be bypassed/realigned: Member concerned may sanction the

estimate as per One Time Improvement Scheme of MoRTH and place the funds with State
Govt. / PWD for taking over the section being bypassed/realigned. If State Govt. wants further
improvement over & above the estimate sanctioned by NHAI, State Govt. is free to do it at their
cost.
(b) Sections not being bypassed/realigned: NHAI may undertake pothole & patch
repair. In case of badly patched area, thin surfacing to improve the riding quality may be
approved by Member concerned.
B. Stretches where civil work contact awarded: The following procedure is laid down
to meet the basic objective of motorable condition of the highways during construction:
B.1 Prior to Appointed Date in case of EPC/ BOT (Toll) and signing of Concession
Agreement in case of HAM 247.
(i) Project Director (PD) shall keep/Maintain the documentary evidence on the condition
of the highway existed on the bid due date like digital still photographs having dates
or drone videography or data using Network Survey Vehicle (NSV) as per MoRTH
Circular NO. RW/NH-33044/32/2019-S&R dated 13.11.2019 of MoRTH.
(ii) PDs/ROs shall take up the requisite maintenance to keep the stretch in condition as
stipulated in the contract/concession agreement as per the Delegation of Power upto
Appointed Date in case of EPC/ BOT(Toll) and signing of Concession Agreement in
case of HAM.
(iii) PD by taking timely initiative shall ensure the pothole free highway till the section is
taken over by the contractor /concessionaire. For maintenance, competitive bids shall
be invited.
(iv) ROs may authorize PDs to utilise the services of nearby ongoing highway contracts
depending upon nature & value of work and competitiveness of the rates of the nearby
contractor. ROs may authorize PDs to execute emergent work through short tender
(15 days to receive the bids.)
B.2 After Appointed Date in case of EPC/ BOT(Toll) and signing of Concession
Agreement in case of HAM:
(i) PDs/ROs and Authority Engineer shall ensure that minimum lanes of
existing/diversion road, prescribed in the agreement, always remain available to the
road users in good condition without any potholes, during the entire construction
period. In case the agency is not maintaining the highway, then PD shall have the
authority to get the work executed from any other agency as per the procedure
indicated above (as in case of before Appointed Date) after giving notice to the
247
Modified in view of clause 6.2 of MCA of BOT(Toll) issued on 24.08.2020
Contractor/Concessionaire, in accordance with the provisions in the agreement and

keeping digital photos or drone video or date from NSV on the condition of the
highway. The amount so spent shall be recovered from the next bill or from the
performance Bank Guarantee of the agency.
(ii) PDs by taking timely actions shall ensure that adequate safety sign boards are in
place during construction.
(iii) PD & RO can exercise full powers while carrying out maintenance at risk & cost of
the Contractor / Concessionaire.
B.3 Sections proposed to be bypassed/ realigned: As at (A)(a) above. The maintenance

cost saved by the Contractor may be decided by the Member concerned keeping in view the
party responsible for delay in completion of such sections.
B.4 Sections not being bypassed/realigned: Contractor shall maintain the section with
pothole & patch repair alongwith thin surfacing of badly patched area. In case completion of
section is delayed due to the Authority, the cost of maintenance of such section, after
Scheduled Completion Date, may be reimbursed to the Contractor, with the approval of the
Member concerned. Contractor shall also program his works in the manner that development
of such sections is completed on priority.
C. Project Reach completed and bypasses/realignments put to traffic: NHAI may

sanction an estimate as at (A)(a) above, complete such work and handover to State Govt./local
body. Alternatively, the estimate amount may be deposited with State Govt. and State Govt. is
free to improve the reach, at their cost, as deemed appropriate by them.
D. The cases at para–(A) (a) & (A)(b) above, where State Government is not coming
forward to take over the sections, may be brought before EC if overlay is to be permitted with
proper justification.
E. In case of developed projects where Concessionaires / Contractors are responsible for
maintenance of developed section / road signs & markings, action as at Para-B.2 (i) may be
taken.
F. Specifications: Depending upon the type of maintenance requirement, type of

treatment shall be decided keeping in view the likely date of award / Start of the work in the
reach under consideration. The maintenance shall be the bare minimum which may include
filling potholes and patch repair, but not bituminous surfacing. DBM & BC shall be used in
exceptional cases, like in bypassed sections for the stretch which is being handed over to the
State PWDs and the stretch should be handed over to the State PWD after completion of the
work. Proposal for maintenance shall be prepared in consultation with the Authority
Engineer/Independent Engineer. These should also include essential safety signboards
G. Budget: PDs/ROs shall propose reasonable budget provision for maintenance and
ensure that the expenditure on maintenance is within the budget.
H. Responsibility: With above clarifications, existing contractual provisions and

delegation, ROs/PDs are fully equipped to the handle the situations of maintenance issues. In
case of any complaint of any pothole on NHAI sections, the PD alongwith Team Leader of the
IE/AE/SC shall be personally responsible and accountable. They have to ensure reasonable
riding quality with most economical option, till the Toll/HAM/EPC agency takes over the reach.
You are aware that negligence of maintenance is punishable under Section 198(A)(2) of “The
Motor Vehicles (Amendment) Act 2019”.
III. Maintenance of entrusted highways during monsoon – Regarding248.
Before monsoon season, all Project Directors are advised to take necessary preventive
/ precautionary measures and be in state of preparedness to meet any eventually arising out
of heavy rains and floods during the monsoon. All the National Highways which have been
entrusted to NHAI for widening and strengthening or completed corridors should be kept in
traffic-worthy condition under all circumstances.
The responsibility for works of maintenance in the sections where widening and strengthening
work is in progress is of the civil contractor. The O&M contractors / operators are responsible
for the sections under O&M.
The following guidelines may be kept in view while formulating and finalizing the action plan on
subject:
(i). Sections Under O&M:
(a) All cross drainage works must be inspected immediately and it may be ensured that
there is no debris /dismantled material /any other obstruction in the water way.
(b) All pucca drains, kaccha drains, median drains, sub-surface drains, drainage spouts on
bridges and drainage pipes in the kept between the main road and service road etc. are
properly cleaned and maintained so that there is no ponding of water on the
carriageway or service road.
(c) Embankment protection and stone pitching etc. at all Cross Drainage works may be
checked in advance and rectified if required.
(d) Special attention / vigilance needs to be given to cross drainage structure and
embankment at the location of measure rivers and canals where there is a past history
/ precedent of flood damages
(e) Regular movement route patrol vehicle during the rainy season may be ensured and
staff on route patrol vehicle should be educated and trained for reporting of any unusual
observation during patrolling to the project director immediately. The Project Director
should also make frequent inspection of the sections during monsoon period specially
during the days when there is heavy down pour.
(f) Contact telephone no. of ambulance services should be displayed at regular intervals
specially near the accident / flood prone locations so as to provide immediate help in
case of any emergency.
(ii). Sanctions / packages under construction:
(a) It may be ensured that no dismantled or construction material is lying in the water
way of any c.d. works which is under construction or has been completed recently.
(b) For the bridge / C.D. works which are under construction adequate arrangements for
drainage by providing suitable numbers of pipes at the time of staging / shuttering
be ensured at site.
(c) No construction material / debris / loose soil should be dumped on road surface.
(d) The surface of embankment or sub-great should at all times during construction be
maintained at such a cross fall as will shed water and prevent ponding.
(e) The placement of construction material / earth in median / carriageway should be
checked and ensured that there is no spillage of such materials mud due to flow of
248
NHAI Circular No. 9.4.5 Vide 11041/21/2002-Admn (Technical 53/2005) Dated 03.06.2005
water on the carriageway under use so as to avoid any slippery surface causing
accidents.
(f) The key personnel of contractor / consultant and staff of NHAI should maintain a
comprehensive list of service provider of ambulance, hospital and trauma care
centers which have the facilities to take care of the accident victims. Such details
should also be readily available at the camp site of the contractor, office of the
consulted and PIU office of NHAI and displayed at accident prone locations.
(iii). Preparedness for all sections:
(a) Inventory of all equipment and machinery which are required during floods / rainy
season along with their availability should be prepared in advance and kept handy
in each PIU/CMU
(b) Necessary liaison and co-ordination with district administration / flood control centre
of the concerned district / state government should be maintained
(c) At critical locations / floods prone sites , arrangement for required material /gunny
bags and labours etc. may be made in advance to meet any emergency
requirements.
(d) Advanced warnings signs regarding positions of any of the highways closed/
damaged or diversion or any other information with needs to be advised to the road
users should be prepared in advance.
(e) Each PIU/CMU will designate one officer in charges for liaison and monitoring of the
floods related activities. Further, each PIU/CMU shall maintain liaison and co-
ordination with adjoining PIU/CMU to meet any emergency situation.
(f) All contractors working on the highway projects in NHAI must be advised to take all
necessary safety measures, precautions during construction to protect the work and
ensure safety of the road users during heaving rains and floods, Further, the area
under excavation / trenching should be properly cordoned off by providing suitable
barricading and arrangement for providing lighting, retro-reflective tapes sign boards
should be made at such hazardous locations.
IV. SOP for redressal of Complains received on Repair and maintenance of

entrusted highway stretches249
Instructions have been issued regarding maintenance of road stretches entrusted to NHAI.
Regional Officers have been advised that the road stretches under their jurisdiction are
maintained in traffic worthy condition.
II. There is a spate of complaints from the public as well as from the Hon’ble Members of
Parliament regarding maintenance of the road stretches entrusted to NHAI.
III. Complaints received regarding maintenance shall be considered on priority and following
actions shall be taken:-
(a) Immediately on receipt of the complaint, the Technical Divisions shall forward it via
email to the Regional Officer/Project Director and IE/Consultant. A copy of the
communication shall also be endorsed to the complainant via email. The complainant
will also be informed that the response of the Concessionaire/IE will be put on the
website. The details of the website will be intimated to him.
249
NHAI Circular No. 8.3.23 & 9.2.17 (168/2014) dated 10.10.2014
(b) In case the stretch pertains to BOT project, the IE shall send compliance/comments on
the complaint to the RO/PD via email within a period of 7 days. Communication
regarding compliance/comments of the IE shall also be put up on project website
already created for each project.
(c) RO shall ensure that the road stretch mentioned in the complaint is maintained. In case
the complaint is a VIP reference, RO shall send compliance/comments on the complaint
via email to the Headquarter within a period of 10 days from the receipt of the complaint.
In case of other complaints, RO shall send reply directly to the complainant with a copy
to this office.
(d) In case of VIP references complaint, the Technical Division shall send reply to the
complaint immediately on receipt of comments from the RO.
V. Monitoring of Operation & Maintenance (O&M) - obligations of

Concessionaires/ Contractors250.
Chairman is getting complaints frequently on poor O&M and lack of due care & attention
to O&M activities. There is a need to streamline the monitoring mechanism in order to ensure
that the Concessionaires / Contractors meet their O&M obligations prescribed in the
agreements. Therefore, the following instructions of Chairman are issued:
(i) IE/AE should be asked to submit by e-mail their inspection plan of every month in
advance (by 24th of preceding month or about a week in advance) to PD, RO & CGM
at HQ. After each and every inspection, IE/AE shall submit their inspection report to
PD, RO & CGM (HQ) by email, in addition to the consolidated monthly report.
(ii) RO & CGM at HQ shall study the inspection reports of IEs/ AEs and convey their
observations by e-mail within 7 days of receipt of report to IE/AE with a copy to PD on
compliance of provisions of O&M in the agreements. PDs shall ensure that the
observations of RO/ CGM, HQ are complied with by IE/AE and Concessionaire
/Contractor and give their feedback to RO/ CGM by e-mail on the last working day of
the month.
VI. Equipment based monitoring of the projects during O&M phase251.
Consultancy Contracts during the O&M phase have a provision of equipment based monitoring
of the highways at specified frequencies. It has been observed that during the O&M phase, the
project monitoring is not being carried out by use of equipment such as Network Survey
Vehicle, FWD, MBIU, Retro Reflectometer, ATCC etc. at the specified frequencies.
(II) The details of the penalties on the Consultants for not undertaking the equipment bases
monitoring in the prescribed months have been detailed under Para 6.2 (d) & (e) of General
Conditions of Contract. 10% penalty per month shall also be imposed for delay in use of
equipment. In case one or more equipment is not used during next 3 months of survey month,
this shall be treated as Breach of Contract and the performance security shall be liable to be
forfeited.
(III) In view of above, ROs and PDs are advised to comply with the provisions of the contract
conditions and take appropriate action on the consultants in case of default.
**********
250
251
NHAI Circular No 9.4.23 dated 02.03.2021
VII. NSV survey and data updation on Datalake Portal.
It is felt necessary to record the condition of the highway prior to commencement of work in
order to have a documentary evidence for status/ condition and quality of road. On completion
of the project, this exercise may invariably be done and recorded before issuing completion
certificate. The minimum parameter which has to be recorded during survey with NW in each
lane, not limited to the following;
(i) Inventory of Road;
GPS coordinates, Pavement Type, Pavement Width, Terrain, Land use, Shoulder type and
width, Drain Type and Width, Median Type and Width, Wayside Amenities, Crash barrier,
Signages etc.
(Note- All inventory items shall be recorded both side of road and Geo-tagged with images)
(ii) Condition of Road;
Roughness, Rutting, Distresses (cracking, Potholes, Bleeding, Surface failure etc.); (Note- All
inventory items shall be recorded for each lane and Geo-tagged)
2.Therefore, it is decided that for all the projects involving development of 2/4/6/8- lane,
Expressway, stage strengthening necessarily be surveyed with NSV before start of work and
thereafter at regular intervals as provided in the contract for each lane of pavement.
3. (a) In respect of contracts where provision for use of NW does not exist, the condition of
road shalt also be assessed using NSV. For this purpose, the Project -in-Charge may invite
quotations or follow the rates in the adjoining/ nearby contract packages in accordance with
relevant item rate stipulated in the contract agreement. The financial implication arising out, if
any, may be met out from the contingencies provisions of any of the sanctioned work in the
State. The time interval for carrying out survey using NSV shall be as under:
(i) Before start of the work,
(ii) Before issue of provisional/ final completion certificate,
(iii) Every 6 months after completion of work.
(b) The zone wise agencies empaneled by IT Division for carrying out NSV & FWD surveys
and their associated rates are placed as Annexure-1. The completion certificate shall be issued
only after obtaining satisfactory results complying to Ministry's I IRC Specifications and Manual.
4. Road inventory and condition survey details obtained from NSV shall be regularly uploaded
on NSV portal.
5. In order to identify and monitor the rectification works identified from the NSV survey
conducted for the EPC, BOT and HAM projects under O&M phase, a module “Priority
Maintenance” has been developed on Data Lake.
6. In the above module, the relevant defects identified through NSV survey stretch wise, and
the time limit for rectification/maintenance for each of the defects as per the schedule K
(Maintenance Requirement) or its relevant schedule of concession/contract agreement for BOT
and HAM project are filled up. In case of EPC projects, the defects are filled up as per
improvement required during O&M period.
7. This module broadly covers four major types of defects i.e. Roughness, Rut depth, Potholes,
and Cracks and the module is accessible to AE/IE, PDs, and GMs for response entry. The
planned start and end date will be provided by the system and the rectification work performed
is to be filled by the AE/IEs, irrespective of whether NSV survey is carried out by AE/IE or NHAI.
8. Under this module, effective dates are assigned by system to the identified defects. The
contractor/concessioner will get the timeline of 7 days from planned start date to initiate the
actual rectification work. In case the module does not get updated with actual start date on day
8 for rectification work then AE/IE or PD should visit the site to assess the preparedness &
readiness of the agency for the rectification work as per the stipulation of schedule K (or
relevant schedule as the case maybe) and if required initiate action to carry out the rectification
work at risk and cost of contractor/concessioner as per the agreement. During the execution of
the rectification work AE/IE or PD shall periodically check the progress of the rectification work
and update the same in module.
9. Further in case rectification is not completed within the timeline stipulated in schedule K then
PD may further extend the timeline along with the justification or submit the recommendation
to higher authorities including headquarter to take punitive action against the
Contractor/Concessioner. In such cases GMs(Tech) HQ shall issue the show cause notice to
the concerned Contractor/Concessionaire for its failure to comply stipulated contract condition
wherever applicable. Those project where AE/IE are not available concerned PD shall get
rectification work done at site based on the NSV survey and update the module with actual site
status.
10. All the PDs, AE/IEs, and GMs shall initiate information entry for the rectification work as
defined in the modules as per the timelines of schedule K “Maintenance Requirement” (or
relevant schedule as per agreement as the case maybe) of Contract.
11. The detailed workflow for the module is attached (Annexure 2), for reference and necessary
competence.
Annexure 1 - Empaneled agencies for Road Data Collection survey using Network
Survey Vehicle (NSV) and Pavement Strength using Falling Weight Deflectometer (FWD)
on National Highways.
Vide email dated 28.06.2021 (Web Admin), letter of empanelment and other information were
shared. In this connection, related important information are mentioned below:-
1. Zones List
Zone States
Zone 1 Bihar, Jharkhand, Odisha, West Bengal, Arunachal

Pradesh
Assam
Manipur
Meghalaya
Mizoram
Nagaland
Sikkim
Tripura
Zone 2 Himachal Pradesh
Jammu & Kashmir
Uttarakhand
Punjab
Chandigarh
Delhi
Haryana
Uttar Pradesh
Zone 3 Goa
Maharashtra
Dadra Nagar Haveli
Karnataka
Daman & Diu
Zone 4 Chhattisgarh
Madhya Pradesh
Gujrat
Rajasthan
Zone 5 Andhra Pradesh
Kerala
Pondicherry
Tamil Nadu
Telangana
Andaman & Nicobar Island
2. Award of work for NSV empanelment (rate per lane per km in INR):-
Sl. Name of Bidder Zone-1 Zone-2 Zone-3 Zone-4 Zone-5

No. (in Rs.) (In Rs.) (In Rs.) (In Rs.) (In Rs.)
Zonal wise approved rates 989 989 1250 900 800
Percentage of distribution of work
1. M/s Sri Infotech Mob:- 20% 20%

9866435305 Email:
sri.infotech14@gmail.com;
avinash@sriinfotech.co.in
2. M/s SATRA Services and 40% 60%

Solutions Pvt. Ltd.
Mob:- 9100119532
Email:
info@sataragroup.in;
tenders@satragroup.in
3. M/s Technical Consultancy 100% 100%

Services
Mob: 9997093344,
9997093347
Email:
tcsdoon@yahoo.com;
tcsdoon@gmail.com

4. M/s Indian Road Survey 30% 40%

and Management Pvt. Ltd.
Mob:- 9566081007
Email: info@irsm.in;
abhishek@irsm.in
5. M/s Aarvee Associates 50% 40%

Architects Engineers and
Consultants Pvt. Ltd.
Mob: 9848933884
Email: aarvee@aarvee.net
3. Award of work for FWD empanelment (rate per lane per km in INR):-
Zonal wise approved rates 1089 1089 1089 868 900
Percentage of distribution of work
1. M/s Sri Infotech Mob:- 40% 40%

9866435305 Email:
sri.infotech14@gmail.com;
avinash@sriinfotech.co.in
2. M/s SATRA Services and 40% 60%

Solutions Pvt. Ltd.
Mob:- 9100119532
Email:
info@sataragroup.in;
tenders@satragroup.in
3. M/s Technical Consultancy 65% 65%

Services
Mob: 9997093344,
9997093347
Email:
tcsdoon@yahoo.com;
tcsdoon@gmail.com

4. M/s Translink 60% 60%

infrastructure Consultants
Pvt. Ltd.
Mob:- 7043402040
Email:
translinkinfra@gmail.com
5. M/s Indian Road Survey 35% 35%

and Management Pvt. Ltd.
Mob: 9566081007
Email: info@irsm.in;
abhishek@irsm.in
Annexure 2 – Priority Maintenance Workflow
Case 1 – Maintenance is in scope of AE/IE*.
(*Note – PD & AE/IE receive a mail regarding intimation of work.)
Step 1: Search defects information based on NSV survey to perform maintenance by

AE/IE or NHAI.
Step 1A: AE/IE have to fill detail in blank form of priority maintenance. Details such as
Project/UPC > Select Defect type > Click submit (remaining field get auto filled).
Step 1B: After submission of details data related to priority maintenance will display in grid.
Step 2: Submission of Maintenance work status by AE/IE to PD.
Step 2A: For putting status of work AE/IE to click on button in action column.
Step 2B: After click on button in action column below mention fields will appear in popup
window.
Details that need to added are :
 Actual start date – AE/IE have to fill at time of starting of maintenance work.
 Before rectification image – AE/IE have to submit before rectification image at time of
starting of work.
 Status of work – Can update with progress of work (i.e. Yet to start, Work in progress,
Completed).
 Actual end date – AE/IE have to fill after completion of maintenance work.
 After rectification image – AE/IE have to submit After rectification image after
completion of maintenance work.
 Remark – Can update with progress of work.
Step 3: Verification of Maintenance work by PD.
Step 3a: PD has to fill detail in blank form of NSV priority maintenance. Details required are:
Project/UPC > NSV survey in scope of > Defect type > Click submit (remaining field get auto
filled)
Step 3b: After submission of details data related to maintenance work done by AE/IE will
display in grid.
Step 4: Action taken by PD over maintenance work
Step 4a: PD can take action by click on buttons in action column of grid.
Buttons appear in action column
 Approve – For approval of maintenance work.

 Reject – For rejection of maintenance work.
 EOT + SCN – Extension of time for maintenance work to perform.
 Risk & Cost + SCN – Remove AE/IE & maintenance work is performed by PD.
Approve, Reject, Risk & Cost + SCN
EOT + SCN
 Approve > Fill remarks > Submit.

 Reject > Fill remark > Submit.
 EOT + SCN > Revised end date justification > Revised end date > Submit.
 Risk & Cost + SCN > Fill remark > Submit.
Case 2 – Maintenance is in scope of NHAI*.
(*Note – PD receive a mail regarding intimation of work.)
PD have to fill detail in blank form.
Select Project > NSV survey is in scope of > Agency deployed
Name of Agency > Status of rectification Agency to be deployed > Status of

work > Submit rectification work > Submit.
Details save in grid.

VIII. Appendix
List of Policy Circulars Superseded

No.
9.4.1 Transfer of Corridors to Tech- 03.07.2003 Obsolete as Corridor

Corridor Management 22/2003 Management Division is not in
Division place
9.4.2 Maintenance of entrusted A/F-81/2004 13.04.2004 Obsolete in view of Policy

highways during monsoon – circular no 9.2.20 (Tech
reg. 209/2016) dated 02.08.2016
9.4.3 Beautification of National Tech- 10.08.2004 Obsolete as these guidelines

Highways leading to four 41/2004 were time specific for
metropolitan cities i.e. Delhi, completing the work by
Mumbai, Chennai, Kolkatta 30.11.2004
and Hyderabad, Bangalore
and Ahmedabad.
9.4.4 Operation and Maintenance Tech- 13.01.2005 Uploaded Policy circular is

of completed corridors – Late 46/2005 same as uploaded against
submission of BOQ. Policy circular no 9.4.5
9.4.5 Maintenance of entrusted Tech- 03.06.2005 Retained

highways during monsoon – 53/2005
Regarding.
9.4.6 Release of funds to State A/F- 18.05.2006 Obsolete in view of Policy

PWDs for maintenance of 123/2006 circular no 9.2.20 (Tech
National Highways-reg. 209/2016) dated 02.08.2016
9.4.7 REPAIRS & MAINTENANCE A/F-30/2008 16.04.2008 Obsolete in view of Policy

OF NHDP AND NON NHDP circular no 9.2.20 (Tech
STRETCHES 209/2016) dated 02.08.2016
9.4.8 REPAIRS & MAINTENANCE A/F-31/2008 01.05.2008 Obsolete in view of Policy

OF NHDP AND NON NHDP circular no 9.2.20 (Tech
STRETCHES 209/2016) dated 02.08.2016
9.4.9 Approval regarding Tech- 01.08.2008 Obsolete in view of new

requirement of crane, 15/2008 Standard O&M document
mechanized broomer/dust issued on 01.09.2016 vide
sucker vehicle in O&M Policy circular no 11.16 (Tech
contracts and release of 75% -213/2016)
payment for variation in BOQ
items and provision of GPS
and GIS
9.4.10 (a) Procedure for payment Tech- 07.10.2008 Shifted to Head 9.2: Chapter
under Change of Scope 19/2008 Contract Administration
Orders in case of BOT

No.
Projects; and (b) Recovery of

20% of value of work not
completed upon termination
of Contract on account of
default of the Contractor as
per Sub-Cl 63.3 of COPA
under NHDP Phase-II
Standard Document.
9.4.11 Repair & Maintenance of A/F-86/2012 23.07.2012 Superseded vide Policy

NHDP and Non NHDP circular no Tech 9.2.20 (Tech
Stretches. 209/2016) dated 02.08.2016
9.4.12 Delegation of Powers with A/F-88/2012 01.08.2012 Superseded vide Policy

respect to O&M works for 4/6 circular no Tech 209/2016
lane stretches maintained by dated 02.08.2016
NHAI
9.4.13 Delegation of Power with A/F-98/2012 08.11.2012 Superseded vide Policy

respect to O&M works for 4/6 circular no Tech 209/2016
lane stretches maintained by dated 02.08.2016
NHAI
9.4.14 Delegation of powers for A/F- 26.02.2013 Superseded vide Policy

other work contracts reg. 104/2013 circular no Tech 209/2016
dated 02.08.2016 & Policy
circular no 18.24 dated
21.08.2017
9.4.15 Delegation of Powers with Tech- 31.05.2013 Superseded vide Policy

respect to O&M works for 4/6 135/2013 circular no Tech 209/2016
lane stretches Maintained by dated 02.08.2016
NHAI.
9.4.16 Maintenance and repair of Tech- 27.01.2014 Superseded vide Policy

roads and appointment of 149/2014 circular no Tech 209/2016
Site Engineer. dated 02.08.2016
9.4.17 O&M of 4/6 laned Corridors. Tech- 14.02.2014 Superseded vide Policy
152/2014 circular no Tech 209/2016
dated 02.08.2016
9.4.18 Delegation of Powers with Tech- 31.05.2013 Superseded vide Policy

respect to O&M works for 4/6 135/2013 circular no Tech 209/2016
lane stretches Maintained by dated 02.08.2016
NHAI.
9.4.19 Bidding parameter for O&M Tech- 14.02.2014 Already Included in Standard
contracts for 4/6 laned 153/2014 O&M document issued on
Corridors 01.09.2016 vide Policy

No.
circular no 11.16 (Tech -

213/2016)
9.4.20 Maintenance and repair of Tech- 17.04.2015 Superseded vide Policy

roads and appointments of 177/2015 circular no Tech 209/2016
Site Engineer. dated 02.08.2016
9.4.21 Revised Delegation of Power 9.4.21/2016 28.11.2016 Retained. To be merged

with respect to Operation & with Policy circular no
Maintenance (O&M) works 9.2.20 (Tech 209/2016)
for (4/6 lane) stretches dated 02.08.2016
maintained by NHAI.
9.4.22 Monitoring of Operation & 9.4.22/2019 30.08.2019 Retained

Maintenance (O&M) –
obligations of
Concessionaires/
Contractors.
9.4.23 Equipment based monitoring 9.4.23/2021 02.03.2021 Retained

of the projects during O&M
phase.
9.2.20 Revised Delegation of Power Tech 02.08.2016 Retained

with respect to Operation & 209/2016
Maintenance works for 4/6
lane stretches maintained by
NHAI
8.3.23 Repair and maintenance of Tech- 10.10.2014 Retained

& entrusted highway stretches 168/2014
9.2.17
11.23 Revised Model Concession 11.23/2020 21.12.2020 Based on clause 6.2 of MCA
Agreement (MCA) of BOT of BOT (Toll), Policy
(Toll) projects – reg. circular no 18.37/2019 dt
09.12.2019 has been
updated.
18.24 Delegation of Power in 18.24/2017 21.08.2017 Sl. No. 10 of the circular

implementation of the Retained. To be merged
Projects. with Policy circular no
9.2.20 (Tech 209/2016)
dated 02.08.2016
18.37 Maintenance of stretches 18.37/2019 09.12.2019 Retained

entrusted to NHAI.

No.
18.38 Maintenance of Stretches 18.38/2020 07.02.2020 Retained. To be merged

entrusted to NHAI. with Policy circular no
18.37/2019 dt 09.12.2019
18.39 Maintenance of stretches 18.39/2020 12.03.2020 Retained. To be merged

entrusted to NHAI – with Policy circular no
Corrigendum to NHAI/Policy 18.37/2019 dt 09.12.2019
Guidelines No. 18.37/2019
dated 09.12.2019
18.41 Priority Maintenance of 18.41/2020 15.04.2020 Obsolete in view of fact that

National Highways entrusted these guidelines were time
to NHAI. specific for completing the
work by 30.06.2020
18.43 NHAI/Policy Guidelines/ 18.43/2020 27.04.2020 Retained. To be merged

Maintenance/ 2020 No. with Policy circular no
18.43/2020 dated 27th April, 9.2.20 (Tech 209/2016)
2020 reg Maintenance of dated 02.08.2016
NHs.
18.76 Maintenance of Stretches – 18.76/2021 31.12.2021 Retained. To be merged

reg. with Policy circular no
9.2.20 (Tech 209/2016)
dated 02.08.2016
10.2 SOP for rates of NSV Survey 10.2.27/2021 15.01.2021 Part referring to MoRTH
till empanelment of agencies policy dated 13.11.2019
Retained as Empanelment
of NSV Agencies Complete.
- Rectification works based on Internal 13.12.2021 Proposed for inclusion in

the observations of NSV Circular on the policy circular to
survey conducted and its updation of incorporate all components
updation on Priority O&M work on of O&M rec rectification &
Maintenance Module in datalake NSV survey data updation.
Datalake –reg
- Rates for NSV & FWD IT Division 30.06.2021 Rates of FWD & NSV
surveys through empaneled mail proposed to be included in
agencies circulated policy circular.
through Web
Admin
Sub Subject
section
I. RFP for DPR/AE/IE Consultancy Services.
II. Guidelines for preparation of DPR.
III. Consultancy bid submission and evaluation guidelines.
IV. Timely Engagement of AEs/IEs/SCs and interview before

LOA.
V. Penal action against consultants on their default.

I. ‘The Request for Proposal (RFP) for Consultancy Services of DPR/AE/IE’
1. In compliance to MoRTH Standard documents which have been issued vide their letter
no. H-39011/30/2015-P&P(Pt-1) dated 15.02.2019, NHAI issued the modified documents
vide Circular no. NHAI/11013/IE,AE&SC/RFP Docu./2017/136974 dated 25.06.2019
(Annexure –1) i.e. Request of
Proposal(RFP) for appointment of Authority’s Engineer(AE)/Independent

Engineer(IE)/DPR Consultancy Services for preparation of Detailed Project Report (DPR)
in respect of National Highways and Centrally sponsored Road Works.
(i) RFP for DPR ( to be downloaded from NHAI website > Resource Center >
New Policy Circulars )
• MoRTH has further issued DPR Guidelines for procurement, preparation, review
and approval of DPR vide their letter no. H-39011/30/2015-P&P(Pt-1) dated
12.03.2019 ( to be downloaded from NHAI website > Resource Center > New
Policy Circulars)
(ii) RFP for AE (to be downloaded from NHAI website > Resource Center > New
Policy Circulars)
(iii) RFP for IE (to be downloaded from NHAI website > Resource Center > New
Policy Circulars)
(iv) RFP for Independent Engineer Services during Operations & Maintenance (to be
downloaded from NHAI website > Old website > Old website > Modified RFP
Documents for engaging Technical Consultants > Appendix ‘A’-For
appointment of (IE) for O&M phase of BOT projects. The following circulars may
also be referred for modifications in relevant clauses:
x) Policy Guidelines no. 10.2.15 Dated – 18-07-2018 - Annexure-A at page no. 187-193 -
regarding Deployment of key personnel of IE/AE/SC for Under Implementation (UI) and
O&M of Completed Projects – reg.
y) Circular no. NHAI/11013/AE&IE/RFP Doc./2017/142970 dated 21.10.2019 Annexure-

B at page no. 194-195 -Reduction in remuneration of Key Personnel in case of
replacement under Consultancy agreements of AE/IE – reg.
z) Circular no. Reference POLICY MATTERS – TECHNICAL (181/2015) dated 10.09.2015

Annexure-C at page no. 196-197 – Remuneration for period less than one month for
personnel of IE and SC - clarification - reg.
1.1 Policy Guidelines/Circulars for amendments to standard documents have been issued
by NHAI from time to time.
The amendments issued by NHAI in this regard are listed as under:-
Amendment Policy No. regarding Standard RFP/ Date of

Sr. No issuance Annexure No.
1. Circular no. NHAI/IT/e-procurement/2/2017 Annexure-2
-Implementation of NIC’s e-Procurement module in NHAI

part – 2 (brought from Sr no. 19)
-Dated 21.03.2017
2. Policy guidelines no.10.1.17/2017 Annexure-3
- Acceptance of Single Tender for Consultancy Services-

Clarification (brought from Sr no. 21)
-Dated 23.06.2017.
3. Policy guidelines dated 02.11.2018 Annexure-4
-Project specific modifications in the RFP documents for

engaging (brought from Sr no. 24)
Technical Consultants.
-Dated 02.11.2018
Already attached as
4. Circular no.136974 Annexure-1
-Modified Document for Request of Proposal (RFP) for

Appointment of (brought from Sr no. 29)
AE/IE/Consultancy Services for preparation of Detailed

Project Report
(DPR) in respect of National Highways and centrally

sponsored road
works – Reg.
-Dated 25.06.2019
-Mandatory 15 days certification course for Road Safety

Expert – Reg. (brought from Sr no. 30)
-Dated 03.10.2019

6. Miscellaneous Policy Guidelines (18.48 /2020) Annexure-6
-Drainage Systems: Adequacy & Effectiveness (brought from Sr no. 34)
-Dated 08.07.2020
-Addendum to standard RFP document for engagement of

technical (brought from Sr no. 37 Only
Omnibus BG Provision
consultants-reg Partly
-Dated 04.09.2020 retained, remaining is to be
removed)
8. Policy Guidelines Legal 2.1.44/2020 Annexure-8
-Revision of fee payable to the Arbitrators in terms of the

Arbitration & (brought from Sr no.38)
Conciliation (Amendment) Act, 2015 in the Contractual

Disputes.
Dated-22.10.2020
9. Policy Circular no. 3.1.28 Annexure-9
-Delegation of Power to reduce the Performance

Security Bank (brought from Sr no. 43)
Guarantee (PSBG) to 3% of contract value
-Dated 29.12.2020
10. Policy guidelines no. 10.2.28/2021 Annexure-10
-Attendance Management System(AMS) for NHAI’s

AEs/IEs/Consultant (brought from Sr no. 47)
-Dated 15.01.2021
-Adoption of evaluation criteria for QCBS as 80:20 in

Consultancy (brought from Sr no. 49)
Assignments.
-Dated 11.02.2021

-Technical capacity provisions in RFP/Bidding of future

consultancy (brought from Sr no. 50)
assignments for maximum works to be permitted to one

consultant.
-Dated 30.03.2021
13. Policy Guidelines no. 11.28/2021 Annexure-13
-Provision of Highway Design Engineer and

Bridge/Structure Design (Brought from Sr no. 51)
Engineer in the RFP of AE/IE to be engaged for civil works.
-Dated 06.05.2021
-Technical Capacity provisions in RFP/Bidding of future

consultancy (brought from Sr no. 53)
assignments for maximum works to be permitted to one

Consultant
Eligibility in case of Joint Venture (JV)-reg.
-Dated 23.06.2021(addendum to S.No. 45 , to be merged in

S.No.45)
15. Policy Guidelines no. 3.1.31/2021 Annexure-15
-Amendment to proforma for Omnibus Bank Guarantee for

Consultancy (brought from Sr no. 54)
-Dated 24.06.2021
16. MoRTH Circular No. RW/NH-33044/88/2021-S&R(P&B) Annexure-16
-Consultancy Services for AE/IE – Regarding Extension of

Time (EOT)
-Dated 09.09.2021
17. Office Memorandum File no. 13057/01/2021/IT Annexure-17

-Provisions made in Data Lake Portal for decision support
while handling cases of replacement of personnel of AE/IE
including facility to check (brought from Sr no. 56)

against existing list of blacklisted/debarred personnel.

-Dated 08.10.2021
18. Circular no. NHAI/SRD&Q/PPP (MII)&GFR/2021/722 Annexure-18
-Proposed amendment in bidding documents of Consultancy (brought from Sr no. 58)

Contracts (AE,IE and DPR projects) to make bidding
documents compliant of revised rule for Public Procurement
(Preference to Make in India) Order, 2017 and Rule 144(xi)
of GFR.-Proposed amendments in Consultancy
RFPs
-Dated 07.12.2021
In order to ensure adherence to guidelines/directions of NHAI & MoRTH,

suitable amendments in standard RFP documents for Consultancy Services
of DPR/ AE / IE, be incorporated.
II. ‘Guidelines for preparation of DPR’
1. Guidelines for preparation of Detailed Project Reports (DPRs). Manuals of

specifications and standards for four-laning and six-laning of highways published by Indian
Roads Congress (IRC) vide IRC:SP:84 and IRC:SP:87 respectively are generally followed
in preparation of DPRs for the projects being undertaken by NHAI. However, with the
experience gained in the implementation of NHDP and the need for safety enhancement,
it is felt in NHAI that these Manuals need to be reviewed. Pending the requisite changes in
the Manuals, immediate need has been felt to incorporate certain provisions in the DPRs
in order to take care of future requirements and to improve road safety. These are detailed
as under:
1.1. ROW / land and related aspects:
(i) The land for any Expressway will be acquired with a RoW of 100 mtrs.
(ii) As for the four-lane / six-lane Highway Road Projects, experience shows that all the existing
two-lane Roads requiring upgradation to 4/6-lane involve acquisition of land, shifting of
utilities, felling of trees and other statutory clearances etc. As such, keeping in view a
futuristic approach, it has been decided that the land for any 4/6 lane Highway Road will
be acquired with a RoW of 60 mtrs irrespective of the width of the carriageway.
(iii) Land(minimum 5 acres, length and depth preferably in the ratio of 3:2) shall also be
acquired for establishment of Way-side amenities at suitable locations at distances
varying between 30 to 50 kms on both sides of the Highway.
(iv) All efforts shall be made to avoid any road alignment through National Parks and
Wildlife Sanctuaries, even if it requires taking a longer route / bypass. However, where
it becomes absolutely unavoidable and necessary to keep the alignment through such
reserve forest / restricted areas, land would be acquired with RoW of not more than 30
mtrs. The cross-section in such areas may be kept as 3.25m, (shoulder / Utility Corridor)
+ 10.5m (three-lane one side carriageway) + 2.5m (Median) + 10.5m (2' three-lane
carriageway) +3.25m (shoulder/ Utility Corridor).
(v) Similarly, though it may be difficult, while determining the alignment for any Bypass,
efforts be made to see if these could be along the revenue boundaries of two revenue
estates thereby minimizing the compulsions of land owners / farmers for cross-overs to
the other side. In case such an alignment is not found feasible, it should be ensured
that access to common facilities for the local people (e.g. schools, Healthcare facilities
etc.) is maintained only on one side of the alignment, thereby minimizing the need for
cross-over for day-to-day life
(vi) Protection of the acquired RoW against any possible encroachments is extremely important.
Boundary stones be provided at the end of the RoW. The boundary pillars alone, which are
subject to removal with passage of time, may not be enough to save against
encroachments. As such, the typical cross-section of a Highway Road is being re-visited
separately with the intention of providing permanent features in this behalf. For a typical
RoW of 60 mtrs, starting from one end, these will require the following:
(a)Use barricading of the RoW with plantation of hedge-like species (Ficus / Poplars) within a
3.0m wide strip area, dug up to 0.6 to 0.9m, of which 2.0 mtrs to serve as a Utility Corridor.
(b) Provision of a Service Road (along the inhabited area) with its drainage slope towards the
drain / area reserved for Strip Plantation, for a width of 9.0 mtrs.
(c) Earmark width of 1.5 mtrs for construction of a drain so as to be able to capture the rainwater
flow from the Service Road (wherever provided) and the main carriageway.
(d) Three lane with paved shoulders: Main carriageway- 10.5 mtrs, paved shoulder - 1.5 mtr
and earthen shoulder - 2.0 mtr (Total - 14 mtr).
(e) Median - 5.0 mtrs (effective width 4.5 m), and
(f) A Mirror Image on the other end.
1.2 . Approach to the provision and specifications for Structures:
(i) The structures on roads viz. Bridges, ROBs (Road Over Bridges, and Flyovers), RUBs
(Road Under Bridges) etc. are designed for more than 50 years. It is difficult to increase
the width of the structures at a later date which may also have larger financial implications
apart from construction related issues in running traffic. Therefore, it has been decided to
keep provision for all the structures including approaches comprising of retaining
structures as 6-lane (length of such approaches shall, in no case, be less than 30m on
either side) on all the four-lane highways except in the following cases
(i) Reserve Forest (ii) Wild life Areas (iii) Hilly Areas (iv) Urban Areas where site
conditions do not permit this.
(ii) Wherever elevated sections are designed through any inhabited areas, these should
be six-lane structures supported on single piers so that the road underneath serves as
effective service roads on both sides.
(iii) Highway projects shall be designed for separation of local traffic especially for
Vulnerable Road Users (VRUs), for longitudinal movements and crossing facilities
through viaduct(s) located at convenient walking distance. Provision of PUPs and CUPs
with size of 7.0m x 3.0m, as specified in para 2.10 of the IRC specifications, has proved
to be insufficient keeping in view the increased use of mechanization in agriculture

practices. These structures do not support the easy passage / crossing for the tractors
with trolleys so often used for agricultural operations. As traffic on cross roads is
increasing day-by-day, it has been decided to substitute the provision of Pedestrian
Underpass (PUP) / Cattle Underpass (CUP) [for para 2.10 of IRC specifies the
dimensions of 7.0m x 3.0m] with a VUP Grade-II with a minimum size of 12m (lateral
learance) x 4m (vertical clearance). Out of 12m lateral width, 2.5m width on one side
shall be raised for pedestrian sidewalks with grills to make pedestrian movement
convenient and safe. These structures shall be located at the most preferred place of
pedestrian / cattle / day-to-day crossings. Depending on the site conditions, feasibility
of dubbing the crossing facilities through service roads shall also be explored. Further,
the bed level of these crossings shall not be depressed as any such depression, in the
absence of proper drainage facilities becomes water-logged rendering the same
unusable. Ideally, the bed level of the crossings should be a bit higher with proper
connectivity to a drain, which could serve the drainage requirements of the main
carriageway, the underpass and the service road as well.
(iv) Wherever the alignment of 4-lane Highway road project is retained in-situ while
passing through inhabited areas (e.g. villages), it should be ensured that Service
Roads are provided on both sides of the carriageway, connected underneath with a
cross-over structure (VUP/PUP/CUP). Thus each habitation should preferably have
crossing facility at the highways with a vertical clearance of 4 mtrs.
(v) To ensure that bypass once constructed serves the intended purpose during its
life, all the bypasses shall be well designed and access controlled. The entry / exit from
/ to side roads shall be controlled such that they are grade separated at major roads
or at spacing not less than 5 kms. Side roads at closer spacing shall be connected to
the service roads on either side and taken to major roads for provision of grade
separated interchange.
1.3. Embankments, Drainage and rain-water harvesting
(i)The provision of embankments shall be kept minimum so as to save land as well as earth which
are scarce resources. This can be decided on case to case basis with due deliberations. However,
economic considerations may also be given due weightage before deciding the issue.
(ii) The project highway shall be designed to have well designed efficient drainage system, which
shall be subsurface, as far as possible. While constructing the underpasses, the finished road
level shall be determined so as to ensure that the accumulation of rain water does not take
place and run-off flows at the natural ground level. The drains, wherever provided shall be
constructed with proper gradient and connected to the existing outlets for final disposal.
(iii) The locations of the culverts should be planned in such a way that the proposed culvert
covers optimum catchment area & the location shall be decided on the basis of
topographical survey, local rainfall data, gradient of natural ground and enquiry from the
local habitants. All culverts should preferably be box culverts as pipe culverts get filled up
with silt, which is rarely cleared.
(iii) The rain water harvesting requirements be assessed taking into consideration the Ministry
of Environment & Forest Notification Dt. 14.01 (as amended on 13.01.,05.01 & 06.11). The
construction of rainwater harvesting structure is mandatory in and around water scarce /
crisis areas notified by the Central Ground Water Board. The provisions for rainwater
harvesting be executed as per the requirements of IRC:SP:42 (Guidelines for Road
Drainage) and IRC:SP:50 (Guidelines on Urban Drainage).
(iv) All the bridge structures having a length of 100m or less can be used for tapping of water
for serving dual purpose i.e. to cross the water body and to store water, if technically
feasible. Therefore, such structures should be designed as bridge cum barrage structures
(bridge cum bandhara). Ministry's guidelines in this regard issued vide letter no. RW/NH-
34066/59/2015-S&R(B) dated 18.04.2017 may be referred.
1.4. Road Safety features, Road markings and signage
(i)Road safety shall be the focus of design. The roads shall be forgiving, having self-explaining
alignment, safe designed intersections / interchanges segregation and safe crossing facilities for
VRUs with crash barriers at hazardous locations.
(ii) Road markings and proper signage constitute another important aspect of the Road
safety. The DPR shall contain a detailed signage plan, indicating the places, directions,
distances and other features, duly marked on the chainage plan. It shall specify the
suitable places where FoBs are to be provided. Road marking and signage plan shall
be included in DPR and shall be specifically approved by the NHAI.
(iii) As availability of suitable sight distance has a large effect on road safety, the alignment
of all the NHs should be finalized in such a way so as to have double the stopping sight
distance available to the road users at all locations.
(iv) DPR shall undergo the exercise of Road Safety Audit through the Road Safety
Auditor(separate from design team) and recommendations mentioned be incorporated.
1.5. Noise Barriers
Provision should be made for Noise Barriers wherever (especially where project highway passes
through dense habitation) required as a mitigation measure against noise pollution and nuisance.
Their location, dimension, type, material and shapes should be determined and defined in
environment impact assessment studies forming part of DPR.
1.6. Deleted
1.7. Use of Technology
(i) The use of technology, particularly environment friendly technology viz. recycling of bituminous
mixes, warm mixes and soil stabilization etc. should be adopted wherever feasible. Clause 519
of the "Specifications for Road and Bridge Works" (Fifth Revision) covers specifications for
recycling of existing bituminous pavement materials to upgrade the pavements. These
provisions notwithstanding, recycling of existing bituminous materials is yet to be implemented
in most of the NHAI projects. The reclaiming and reprocessing of pavement materials involve
both design (how the pavement should be designed using reclaimed materials with the given
properties) and technology (the methods to reclaim and reprocess, equipment, knowhow and
quality) issues. After addressing these issues, the recycling of pavements will be
environmentally and economically better option for rehabilitation, repair or reconstruction
compared to the use of fresh or virgin materials. Indian Roads Congress has published IRC:
120-2015 on “recommended practice for recycling of bituminous pavements” giving a detailed
procedure for its implementation.
(ii) The use of LiDAR, ROMDAS, Drone surveys or similar or any advanced Technologies has to
be built in the DPR for proper monitoring of the Road maintenance works. The monitoring of
maintenance condition of any road stretch shall require use of the technology / system at least
twice a year i.e. once in the months of March / April i.e. before the Monsoons and the second
round being post-monsoon i.e. during the months of October - November every year.
2. Project Proposals in DPR Stage-Provision of Vehicular Underpass/Flyover/ Overpass.
2.1 In access controlled/ partially access controlled project highways, VUPs/ Flyovers/
Overpasses along with Entry Exit Ramps/ Slips Roads/ Service Roads are being proposed to cater
for the traffic on the crossroads. These structures will also be used by the traffic crossing over from
one side to the other side of the project highway. It has been observed that when such crossover
traffic is high, in particular, traffic taking U-turn at the structure, there is a need to provide additional
spans for VUP/ Flyover/ Overpass to cater for traffic taking U-turn. These additional spans have
already been prescribed in the Manuals of IRC (Ref. fig 3.12 in SP-84 & Fig.3.5 in SP-87).
2.2 In view of above, it has been decided that in future projects, whenever a flyover/ overpass is
proposed with a service road of 10 m (7m black top + 2x1.5m shoulders), a minimum of 3 spans
for such flyover/ overpass should be provided so as to facilitate ‘U’ turn of traffic. The vertical
clearance of viaduct span may be kept in longitudinal slope/ gradient of approaches.
2.3. The approaches to structures viz PUP, VUP, Flyover, Overpass, Bridges, ROBs etc. should
be on earthen embankment wherever RoW is available or land is not costly to acquire. In case of
restricted RoW/ Costly lands and in order to accommodate entry-exit ramp/ slip road/ service road
within the available Row, first the option of earthen embankment with RCC toe wall and slope
protection may be explored. If it is not feasible, then only approaches with RCC Retaining Wall
(upto 2.5m height w.r.t floor height of structure, as it is cheaper to RE wall for low heights) and
RE Wall (for heights more than 2.5m) may be used. if further RoW is not to be acquired for
approaches due to high land cost, the same should be justified by comparing the cost of land with
cost of RCC toe or retaining wall/RE wall.
2.4. The service road level shall be kept same as adjoining fields/ ground level in order to maintain
its accessibility and deck levels of cross drainage works/ bridges on service road shall also be
kept at same level.
2.5. The project highway shall be carried at the existing level in the rural areas, where there is no
habitation and the cross road will be either underpass or overpass. However, in urban/ habitation
areas, the cross road shall be carried at the existing level. The decision whether the cross road
or the project highway is to be carried at the existing level shall be taken based on considerations
of land acquisition, provision of ramps for the grade separated facility, height of embankment,
drainage, project economy, etc. 2.6. These guidelines are for incorporation only in the projects
where appraisal/ approval is pending.
3. Policy for Development of Highways under Bharatmala Pariyojana
Ref: (i) Design principles for various category of roads under Bharatmala Project (BMP) and cost
optimization circulated vide letter no. NHAI/Bharatmala/EC/DPR/2016/117548 dated 14.05.2018
In supersession of Policy dated 14.05.2019, referred above, please find enclosed herewith Policy
for development of various Highways under Bharatmala Pariyojana. NHAI Technical divisions
and field offices shall ensure that DPR Consultants shall adhere to above Policy while designing
the project Highway.
Executive Committee in its meeting dated 20.09.2019 has approved above policy with directions
to seek concurrence of MoRTH, however, in the meantime NHAI shall use the policy in the project
proposals.
Policy for development of Highways under Bharatmala Pariyojana
3.1. Alignment of Corridor and development strategy
3.1.1 There are 50 Economic Corridors, including 6 National Corridors, identified for development/
improvement under Bharatmala Pariyojana. There is an option to develop these as Greenfield/
Brownfield corridors. Greenfield alignment could be shorter, entail least shifting of utilities and
tree-cutting and less LA cost but is expected to entail higher civil cost. The decision for
development of a corridor/ portion of a corridor as a Brownfield or Greenfield alignment is
proposed to be selected on the basis of total life cycle cost (including direct costs like Civil
Construction Cost, Maintenance cost a economic costs like Vehicle Operating Cost), Traffic
bearing capacity for a period of 30 years and the potential to diversify traffic and reduce distance
between Origin-Destination pairs in the network. DPR consultants shall be advised to submit
detailed reports on the merits/ de-merits of greenfield/ brownfield expansion in the pre-alignment
finalization stage as per guidelines dated 26th February 2018 issued by MoRTH on the subject.
3.1.2 All the Economic/National corridors are to be developed with minimum
4-lane standards and full access control having 6 lane structures irrespective of traffic. For all
other categories of roads partial access control facility is to be provided. Traffic reaching beyond
6 lane capacity shall be provided with alternate highway.
A. Development Strategy:
The following guidelines were decided for end-lane configuration status and the stage
development guidelines based on the present traffic including the induced traffic (PCU) and the
present lane status of the stretch:
Table A
Sr no. Present Present End Stage Development/Remarks ROW
traffic lane Lane
including status status
induced
traffic
(PCU)
A. Roads other than Economic / National Corridor
(i) Less than For viable project*, NHAI would develop the highway
or equal as per standard mentioned under sl. no. A(ii) below;
2L / 2L+PS
to 15,000
PCU For non-viable projects, MoRT&H may like to develop.
(ii) 4 lane highway with 4-lane
>15000
structures, with paved shoulders
<=20,000 2L / 2L+PS 4 lane of 1.5m width and earthen 45m

PCUs
shoulders of 2.0m
B. Economic / National Corridor
(iii) 4 lane highway with 6-lane
Upto
structures, with paved shoulders
20,000 2L / 2L+PS 6 lane 60m
of 1.5m and earthen shoulders of
PCUs
2m
C. All categories of road
(iv) Beyond 6 lane highway with 6-lane 60m
20,000 structures, with paved shoulders
2L / 2L+PS 6 lane
PCUs of 1.5m and earthen shoulders of
2m
Note: *Viable projects are those yielding Project IRR of 6.8% and above;
3.2. Adoption of Highway/ Expressway standards
Standards for Expressways and National Highways were compared

across different attributes and the standards for Economic Corridors
are proposed, as tabulated below
Attribute Expressways National Highway Economic
Corridor/National
Corridor
Design Speed 120 kmph/100 kmph 120 kmph/80 kmph 120 kmph/100 kmph
Lane Width 3.75 m 3.5 m 3.5 m
Median Width 12 m 4m 4m
Kerb Shyness 0.75 m 0.5 m 0.5 m

3m Paved
1.5 m Paved Shoulder +
Shoulder Shoulder 2 m Earthen Shoulder As per table. A above
Fully Access
Fully Access
Level of Access Controlled Partial Access Control Controlled
3.3. Augmentation methodology
(i) For 2 to 4 lane widening, it was decided to keep the widening eccentric to the extent
feasible, so as to gainfully utilise the already laid road assets and to minimise the
disturbances to trees, utilities, habitations, etc. Realignment shall be resorted to
wherever it requires the improvement to poor geometrics, kinks or to provide shorter
path. The cost-benefit analysis shall be carried out for major realignment. Further,
even for realignment/ bypasses eccentric development is to be proposed
(ii) Service roads of 2L shall be constructed, limited to the built-up sections (both in rural
and urban cases) and for connectivity of cross roads. No service roads shall be
proposed to be constructed in the open rural sections. However, space shall be
provisioned to construct 2L service roads on both sides without disturbances to main
highway along with its embankment in future widening. In rural areas, all weather
connecting roads to facilitate cross movement of farmers and their vehicles shall be
provided at LVUP/ VUP locations.
(iii) To enable fully access control facility, W beam metal crash barrier
shall be provisioned at both edge of roadway and both sides of median to ensure
safety. There shall be no median opening and no raised median in the access
controlled facility. For partial access control facility efforts shall be made to design
the highway with no median opening and cross movement/U turn shall be through
VUP/LVUP and in case where LVUP/VUP does not exist within 5 km, median
opening may be provided with storage lane.
3.4. Pavement composition
It was highlighted that there are different types of pavements viz. flexible pavement,
rigid pavement, cement treated base/ sub-base and perpetual pavement at present.
Each pavement option has its own merits and demerits in terms of cost of
construction, future maintenance, road user comfort, etc. However, no precise
mathematical model is available for life cycle analysis. DPR consultant shall conduct
a complete comparative analysis of the same and submit a detailed
recommendation by taking into account both the lifecycle cost and the local
conditions including soil condition, availability of material for construction, rainfall
conditions, etc.
The design life for structural design of pavement shall be considered 20 yr and for high
density corridors, higher design may be adopted as per clause 4.3 of IRC: 37. The
appraisal committee shall take a decision based on the details provided by the DPR
consultant
3.5. Optimization in terms of Vertical alignment design (ISD/ SSD), VUP v/s VOP, Drains
and Interchanges
3.5.1 Vertical alignment design (ISD/SSD)
The Vertical design, especially at grade change location, such as VUP/LVUP, ROB,
Bridge locations can be done using Stopping sight distance (SSD) or Intermediate
Sight distance (ISD) principle. Length of approaches in case of ISD is relatively larger
by about 30% but desirable in view of design speed of 100 kmph and also ISD is
prescribed in 4 & 6 lane
3.5.2 VOP vs VUP
Various combinations of Vehicular Over pass (VOP) and Vehicular Underpass (VUP)
were presented, wherein it was shown that VUP is cheaper than the VOP in conditions
of no constraint/ restraint. The final call is proposed to be taken keeping in view the
designed traffic, civil cost of construction, vehicle operating cost, environment cost,
travel time, site condition, etc. on the basis of output obtained using lifecycle cost
analysis including vehicle operating cost keeping the design life of 30 years. If the
analysis results into savings, then cross roads be carried above the main highway in
form of VOP. In case of VUP/ LVUP, the exposed structure base shall be kept 6 inch
(15 cm) above the ground level to minimize the height of approaches and ensure that
these VUPs don't become water accumulation points. However, the main highway shall
be kept above the cross roads in form of VUPs at interchange locations. As 70% of the
cross roads are village roads(<5.5m width),to ensure complete access-control and
make cost-effective grade separation, it was decided to introduce a third smaller
dimension VUP SVUP (4m x 7m) for all cross roads carriageway width lesser than
5.5m. Thus, the VUPs would be of three grades i.e. VUP - 5.5mx20m; LVUP - 4mx12m;
and SVUP: 4mx7m. It was also decided to minimize the use of RE-walls in VUP/ LVUP/
SVUP by using earthen slopes, so as to minimize the cost. Further, to negotiate
frequent rise and fall of main highway at structure approaches, gentler gradient (1 in
53) may be adopted with properly designed summit/valley curve. This would result into
increase in approach length and consequent increase in earth work, however, would
add substantially to comfort of road users.
3.5.3 Provisions of Grade separated structures
3.5.3.1 In access controlled/partially access controlled project highways,

VUPs/Flyovers/Overpasses along with Entry Exit Ramps/Slip Roads/ Services Roads
are being proposed to cater for the traffic on the crossroads. These structures will also
be used by the traffic crossing over from one side to the other side of the project
highway. It has been observed that when such crossover traffic is high, in particular,
traffic taking U-turn at the structure, there is a need to provide additional spans for
VUP/Flyover/Overpass to cater for traffic taking U-turn. These additional spans have
already been prescribed in the Manuals of IRC (Ref. SP-84 & SP-87). In view of this it
has been decided that in future projects, whenever a flyover/overpass is proposed with
2L service road, a minimum of 3 spans for such flyover/overpass should be provided
so as to facilitate 'U' turn of traffic. The vertical clearance of viaduct span may be kept
in longitudinal slope/gradient of approaches.
3.5.3.2 The approaches to structures viz, VUP, LVUP, SVUP, Flyover, Overpass,
Bridge, ROB's etc. should be on earthen embankment wherever RoW is available or
land is not costly to acquire. In case of restricted RoW/ Costly land and in order to
accommodate entry-exit ramp/slip road/service road within the available Row, first the
option of earthen embankment with RCC toe wall and slope protection may be
explored. If it is not feasible, then only approaches with RCC Retaining Wall (upto 2.5m
height w.r.t floor height of structure, as it is cheaper to RE wall for low heights) and RE
wall (for height more than 2.5m) may be used, If further RoW is not be acquired for
approaches due to high land cost, the same should be justified by comparing the cost
of land with cost of RCC toe or retaining wall/RE wall.
3.5.3.3 The service road level shall be kept same as adjoining fields/ ground level in
order to maintain its accessibility and deck levels of cross drainage works/ bridges on
service road shall also be kept at same level.
3.5.3.4 The project highway shall be carried at the existing level in rural areas, where
there is no habitation and the cross road will be either underpass or overpass.
However, in urban/ habitation areas, the cross road shall be carried at the existing level.
The decision whether the cross road or the project highway is to be carried at the
existing level shall be taken based on considerations of land acquisition, provision of
ramps for the grade separated facility, height of embankment, drainage, project
economy etc.
3.5.4 Improvement of At grade Junction:
It has been seen that at grade junction are safety hazard in view of high speed after
improvement/augmentation of highways which require change of Scope on later date
in most of the cases. It has been decided that no at grade junction is provisioned in
the main carriageway in any category of road under Bharatmala Pariyojana being
improved to minimum 4 lane standards. On village roads and cart track SVUP be
provisioned for crossing facility only and as far as feasible efforts shall be made to
design the vertical profile of main carriageway keeping the vertical grade unchanged
for sections having 2 or more cross/check roads within about 1 km reach.
3.5.5 Slope Stability
(i) Embankment with height 6 m or above shall be designed taking into account slope
stability, bearing capacity, consolidation, settlement and safety considerations based on
geotechnical and investigation data. Where the embankment is to be supported on a
weak stratum, appropriate remedial/ground improvement measures shall be taken;
(ii) Side Slopes shall not be steeper than 2H:1V unless soil is retained by suitable soil
retaining methods including Green Geo composite blanket, but limiting to 1.5H:1V . The
side slopes and the earthen shoulders shall be protected against erosion by providing a
suitable vegetative cover, kerb channel, chute, stone/cement concrete block pitching or
any other suitable protection measures depending on the height of the embankment and
susceptibility of soil to erosion. Drainage arrangement shall be provided as per Section
6 of the Manual. In high rainfall areas and where soil is susceptible to erosion, before
providing turfing on slopes and shoulders, a coir or jute blanket shall be placed on such
slopes and shoulders immediately after completion of work and in any event before on
set of first monsoon after completion of work in that reach
3.6. Longitudinal Pipe drain vs. Rectangular RCC drain
The storm water carrying capacity of pipe drain of 0.9m dia is lesser than 1.5x1.5m
wide conventional RCC drain. Further, pipe drain requires catch pit (either brick/
precast RCC panel) at 20 to 30m interval and relatively costlier than RCC rectangular
drain. Hence comparative analysis shall be carried out w.r.t efficiency and economy of
rectangular vs pipe drain and decision taken for adoption of type of RCC drain.
3.7. Selection of type of Interchanges
The type on interchanges associated with their functionality and cost were presented
and it was decided that since these interchanges are very costly meticulous planning
shall be carried out keeping in view the economy and conflict free traffic facilitation.
Based on turning motion studies the interchanges such as full clover leaf, double/single
trumpet, diamond interchange, rotary interchange, etc. shall be proposed judiciously
based on LA &RR cost, construction cost of interchange, type of Highway and crossing
road (system/service interchange), proximity to urban centre, major utility shifting, etc.
3.8. Provision of Boundary Wall on the extreme Boundary of RoW:
It was observed that encroachments on the acquired Right of Way for road corridors
affects future expansion. It is decided that provision of Boundary wall of 1.5m ht shall
be provisioned in all greenfield projects and Toe wall in all up-gradation projects, in line
with MoRT&H circular No. RW/NH-24036/27/2010-PPP dated 04.02.2019.
3.9. Utility Corridors:
It is also decided that space for 2m wide Utility Corridor shall be provisioned at the
extreme edges of the RoW on each side in all greenfield projects.
3.10. Manual for 4 laning and 6 laning 2019 version has been published recently
wherein there are substantial changes in the design of Highways. The same shall be
adopted for design.
4. Subject: Provision of Vehicular Underpass/ Flyover.
4.1. In continuation of the Policy Guidelines no. 10.1.18/2019 dated 30.04.2019, with a
view to provide a better facility to the road users, safer roads and to cater to the
requirements of future traffic on the cross roads, it is decided as under:
(i) Life of these structures is 60 years. The traffic projections for the next 15-20 years
should be kept in mind while designing VUPs/ Flyovers, particularly in semi-urban
areas where expansion of town is imminent.
(ii) At all locations of built-up areas and in semi-urban areas where high traffic growth
is projected in the time to come, a minimum of 3 spans for vehicular underpass
should be provided with a minimum lateral clearance of 30 m for the main span &
15 m for the viaduct spans on either side.
(iii) At locations other than (ii) above, single span underpass shall be provided with
minimum lateral clearance of 12-15 m which includes 1.5-2.5 m raised footpath for
pedestrians on either side.
(iv) For providing better line of sight, the visibility between the traffic plying on the cross
road and the traffic on slip road shall be improved at the junction of RE wall and the
structure by adopting suitable measures such as chamfering/ bevelling, tapering,
provision of gap slab etc., as indicated in the enclosed drawings and the structure
be designed accordingly. Further, the lateral clearance between the outer face of
the structure & the inner edge of the service/ slip road on either side shall be
maintained between 1.5m to 4.5m at the point of approaching the crossroad,
depending on the ROW available, as indicated in the enclosed drawings.
(v) In order to avoid crisscrossing of pedestrians on divided highways especially at

start a end of approaches to the structures, New Jersey Type Concrete Crash
Barriers (NJB) or Steel Railing with a height of 1.2m (to make it unclimbable) shall
be provided for a minimum length of 50m so as to discourage such crisscrossing
and avoid accidents. NJB may be provided where cutting of railing/ theft/ vandalism
is expected, otherwise steel railing may be provided for better aesthetics and to
avoid blinding effect. If pedestrian cross traffic is high at such locations, even FOBs
shall be planned.
4.2. These guidelines are for implementation while planning of all projects in future,
where project appraisal/ approval has not taken place. All the DPR consultants shall
prepare the schedules for contract/ concession agreements accordingly.
5. Guidelines on Planning and Design of Highways passing through urban/inhabited

areas-reg.
5.1. National Highways (NH) and other roads connect urban areas and cities. These
NH generally bypass Urban Areas but at some locations passes close to or passes
through the urban areas. The traffic in urban areas is quite different from that of NH,
therefore requires specific design considerations. In urban areas there are issues of
design speed, land availability, sight distance availability & large volume of
pedestrians and cyclists/2-wheelers.
5.1.2 The design of NH and urban road intersections have been dealt in various IRC
publications and specifications. The geometric design for urban road & streets is
covered in IRC:86-2018 which provides guidelines for balanced allocation of roads
space for pedestrians, cyclists & public transport users. Priority has been given to
accessibility over mobility. Various typical cross sections have also been given for
guidance.
5.2. However, the following deficiencies in integration of NH with urban

Area are observed:
(i) NHs are being developed independent of the urban context from which it passes.
Presently, local/ urban needs are neglected & NHs are planned largely keeping only
inter-city traffic in mind.
(ii) The development plans for urban areas are not properly integrated with the design
of highways.
(iii) No provision of Non-Motorized Transportation are considered for holistic

development.
(iv) Lighting/ Drainage requirements are not properly transitioned from the urban areas
to Sub-urban and semi-urban areas.
5.3. In order to integrate NH with urban roads, the following guidelines shall be adopted
for design of NHs in inhabited/ urban areas:
(i) The NH must be considered as a development spine for the urban area as a part of
major urban arterial road network and must ensure enhanced connectivity to
important urban destinations like airport, industrial hubs etc.
(ii) All relevant information regarding the current and future development plans for the
urban /semi urban areas through which the NH is passing must be collected from
the Urban Local Bodies Development Authority.
(iii) Assessment of traffic demand, lighting requirements, safety measures, drainage

requirements etc. must be assessed in a holistic manner giving due consideration
to the local requirements, resources, and planned capacities.
(iv) Facilities like NMV lane, cycle lane, service road, footpath, drains, lighting, bus
shelter, bus bays etc. may be designed considering site constraint of Urban Area.
(v) Provision of safe and continuous Non-Motorized Transportation facilities (as a part
of Complete Street) must be planned and designed as a part of service road
depending upon site requirements and constraints. Service Roads should be
planned and integrated with local roads/ sector roads. For safe movement of
pedestrians, footpaths of adequate width should be provided on service roads,
entry/ exit lanes, etc. The raised footpath shall be depressed at suitable intervals to
provide for convenient use of physically challenged persons.
(vi) Adequate number of entry/ exit points to the town from the NH shall be
provided and such entry/ exits should have sufficient width so that traffic leaving
NH does not backflow on NH and moves smoothly.
(vii) Service Road openings must be designed in a manner such that the openings
are at least 150m - 200m away from any intersection and/or from ramp take off/
merging points. The same principle shall apply in the case of auxiliary lanes as
well.
(viii) Planning and design of crossroads upto 200m along each arm from any
intersection shall also be explored in the DPR.
(ix) Safety must be accorded the highest priority in design of all components. This
will apply to grade separated intersections as well where visibility must be ensured
by adding viaducts with full headroom upto minimum 90m -100m on either side
(depending upon span arrangement) of the obligatory span. 'U' turning facilities
shall be provided through the viaduct farthest from the obligatory span.
(x) The grade separator must be useful for the urban traffic and to that extent, the
type of grade separator shall be decided considering the local traffic requirements
and the prevailing urban design elements along with the requirements of the NH
itself.
(xi) In case of intersections with lower order roads where underpasses are usually
provided for connectivity purposes (to villages, isolated important uses, etc.), the
surface level roads must be designed for maximum safety as per the provisions
of IRC:41. Special care must be taken to avoid blind spots around the intersection
through visually transparent designs.
(xii) For NH sections through hilly areas, recovery width of 2.50m clear of all
obstructions, must be provided beyond the unpaved shoulder. On the valley side,
and particularly at curves, an extra width of 1.50m must be ensured beyond the
crash barrier for safety.
(xiii) Approach design for toll plazas shall be on the basis of outputs of micro
simulation model of existing and expected traffic characteristics within the
approach area.
(xiv) Sub-urban and semi-urban areas preceding and following an urban area must
be treated as transition zones for managing stepping up/ down speed limits, road
cross sections, lighting, drainage requirements etc.
(xv) Drainage facilities must be designed keeping in view the entire catchment for
estimating design discharge. Drainage System for the NH must get adequately
integrated with the local drainage system with due cognizance being taken of its
capacity limitations and augmentation needs.
(xvi) Design of rainwater harvesting and development of sustainable urban

drainage system, as far as possible with locally available materials, shall be carried
out.
5.4. To integrate, NH with urban roads, the following SOP has been decided:
5.4.1. Projects where DPR is in progress:
(i) The geometric design of NH passing through urban areas may be immediately
reviewed and fresh design be recommended as per specific locations as Para 3
above. PD shall hire Urban Traffic Planner (Expert) through AE/IE immediately if
not provisioned. If expert is not available locally, PD will request RO to provide
one such expert. Simultaneously, this geometric design of NH shall be shared
with the local urban bodies, Development Authority, traffic police, etc. A joint visit
will be held with these authorities for finalization of such design and based on
such joint visit, if any amendment is required in design, the same may be
considered reviewed and fresh design be recommended as per specific locations

as Para 3 above.
(ii) ROs may empanel 2-3 such experts (Retired Engineers from local bodies/
Professor from institution etc.) as per EP Policy of NHAI initially on nomination
basis for 1 year to save time and simultaneously start recruitment process as per
EP Policy. These Experts will review the geometric design of the project proposed
by AE/IE a PD duly considering the comments/ suggestions of the local bodies
and traffic police. After their review, RO may approve such design.
(iii) The design of NH shall be proof checked by the Advisor (Urban/ Transport
Planning) at the time of Project Appraisal and Technical Scrutiny
Committee. For this, the details of design of NH through Urban Section shall
be submitted by PD/RO along with the Minutes of Meeting of joint site visit.
5.4.2 Under Implementation Projects: The above process for finalization of experts and
geometric design mentioned in Para 4.1 above be followed. Thereafter proposal for
including recommendations in the project may be considered either through COS or
standalone, as the case may be, the approval for which shall be accorded by Member
concerned.
5.4.3 Completed Projects: The geometric design of NH passing through urban areas in
completed projects need to be reviewed and proper traffic and road safety survey be
carried out and report be finalized in next 3months. The required rectifications be
carried out under O&M obligations of the Contractors/ Concessionaires, wherever
applicable.
5.5. The spirit of above Policy Guidelines is to ensure that urban traffic is integrated
with NH traffic with minimum conflict points providing optimum allocation of road spaces
for pedestrians, cyclists/ 2-wheelers, public transport, including road safety features,
traffic control devices, road side furniture, lighting, etc. This integration will provide
smooth, aesthetic, safe travel from NH to urban roads and vice versa
6. Amendments in the provisions of Toll Plaza consequent upon

implementation of Electronic Toll Collection (ETC)/ FASTag on all lanes.
6.1 The Toll Plazas on the Project Highways are being constructed at the locations as
specified in Schedule 'C' of the Contract/ Concession Agreements and in accordance
with the provisions specified in Schedule 'D', i.e., the relevant IRC manuals (IRC-SP-
73/IRC-SP-84/ IRC-SP-87).
6.2. The collection of User Fees by Electronic Toll Collection (ETC) through FASTags
has been mandated at the Toll Plazas on all lanes. Therefore, it has been felt that the
provisions and specifications of Toll Plazas need to be amended keeping in view ETC
penetration.
6.3. Accordingly, the provisions/ paras under Section-10 (Toll Plazas) of IRC Manuals
viz IRC-5P-73/ IRC-SP-84/ IRC-SP-87 are amended as under (other Clauses not
mentioned here in under remain unaltered):
(i) Para 10.3 Land for Toll Plaza:
Adequate land for Toll Plaza shall be acquired to permit the provision of toll lanes for a
projected peak hour traffic of 10 years subject to a minimum number of 6 toll lanes/8
toll lanes/12 toll lanes for 2-Lane/ 4-Lane/ 6-Lane Project Highway respectively
including all other buildings and structures to be accommodated at the Toll Plaza
location. Land shall be acquired as per provisions of the Concession Agreement. In
case expansion of existing Toll Plaza/ lanes is required in future, the staggered Toll
Plaza/ lanes within acquired ROW shall be constructed.
(ii) Para 10.4 Layout and Design of Toll Plaza:
10.4.1 (a) Typical Layouts of 6-lanes/8-lanes/12-lanes/16-lanes toll plazas are given in

the attached drawings. Toll Plazas shall be designed and constructed for projected
peak hour traffic of 10 years as mentioned at Para-10.3 above.
(b) No stage construction of toll lanes shall be allowed. All toll lanes in
both directions of traffic shall be ETC/ FASTag lanes. Not less than 2 middle toll lanes
shall be capable of being used as reversible lane to meet the demand of tidal flow.
(c) For purpose of design of Toll Plaza/ determining number of Toll lanes
capacity of individual toll lane (ETC/ FASTag enabled) shall be taken as 400
veh/hour.
10.4.3 Traffic Islands at the toll Plaza
Between each toll lane of the toll plaza, traffic islands are required for traffic distribution.
These islands shall be of minimum 35 m Length (22.5 m on approach side) and 0.6 m
width. Protective barriers of reinforced concrete and traffic impact attenuators shall be
placed at the front of each island to prevent out of control approaching vehicles crashing
into island. They would be painted with reflective chevron markings.
10.4.4 Toll Booths
Toll booths on extreme left lanes may be provided of prefabricated materials or of

masonry. The toll booths shall have adequate space for seating of toll collector,
computer, printer, cash box, etc. It should have provision for light, fan and air
conditioning. Toll booth shall be placed at the Centre of traffic island on extreme left
Lane. The toll booth shall have large glass window to provide the toll collector with good
visibility of approaching vehicles. The bottom of the toll window should be placed at
such a height (0.9m) above ground level so as to provide convenience of operation.
The toll booths shall be ergonomically designed and vandal proof. There shall be CCTV
camera installed at each booth.
10.4.5 Tunnels - Deleted

10.4.6 Transition
A transition of 1 in 10 may be provided from Two-lane/Four lane/ Six lanes section to

the widened width at Toll Plaza on either side.
10.4.7 Canopy to be replaced with Staircase and over-head Corridor.

The provision of Canopy be replaced with Staircase and overhead Corridor as specified
in the drawings. The vertical clearance shall be as prescribed in respective manuals.
(iii) Service Time at Toll Plazas:
10.6.2 The total number of toll booths and toll lanes shall be such to ensure a service
time of not more than 10 seconds per vehicle at peak flow regardless of methodology
adopted for fee collection. If at any time, the queue of vehicles in any lane becomes
more than 100 metres from the toll booth, then the boom barrier of that lane shall be
lifted and the free flow of traffic with no tolling be allowed till the queue comes within
100m. For this purpose, a yellow line at a distance of 100 m from Toll booth be marked
in each toll lane. This provision shall be prominently displayed/ informed to the users.
6.4. The Toll lane requirement for the projects be worked out based on traffic as per the
provisions of IRC guidelines with amended provisions as per Para 6.3 above.
Accordingly, the Land Acquisition requirements be calculated and land for Toll Plaza
be acquired. Suitable provisions for deviations in Schedule 'D' shall be incorporated.
6.5. While acquiring land, all other requirements as per respective IRC Codes/ Manuals
such as Static Weigh Bridge, parking space for overloaded vehicles, etc. at Toll Plaza
locations be accounted for.
6.6. These provisions shall be followed in the projects where DPRs are in progress and
in all projects where land for the Toll Plazas is yet to be acquired (3D under NH Act not
notified). In cases where construction of Toll Plaza has not yet started, the Toll Plaza
be replanned as per the above guidelines through COS and the land already acquired
be explored for effective utilization.
6.7. This circular issues with the approval of Competent Authority and supersedes all
earlier directions/circulars on the subject matter.
Encl:
(a) Layout plan for 6 (3+3) Toll Lanes
(b) Layout plan for 8 (4+4) Toll Lanes
(c) Layout plan for 12(6+6) Toll Lanes
(d) Layout plan for 16 (8+8) Toll Lanes
(e) Tentative Plan for Office Building at Toll Plaza

7. Cost Methodology for Estimation of Highway Projects under BOT.
The MoRTH has sent a letter dated 04.11.2010 for evolving a clear guideline for framing
cost estimates of all BOT projects of NHAI. The DEA also requested for formulating a
uniform Methodology for the same.
In view of above, the Competent Authority has decided the guidelines to be followed to by
all DPR/Feasibility Consultants and Financial Consultants, which shall be supervised by all
the Technical Divisions uniformly while framing and finalizing cost estimates of the BOT
projects and sending to Ministry for approval of PPPAC/SFC.
7.2. The Detailed Guidelines are summarized as Annexure-19.

III. : Consultancy bid submission and evaluation guidelines’

1. Relaxation in upper age limit for key personnel in supervision Consultancy
Services.
Instances have been noticed that Consultants are proposing replacement of key personnel
including Team Leader for the on-going supervision consultancy assignments by average
candidates in terms of the consultancy agreement owing to various reasons including
shortage of trained / qualified key personnel.
(i) The matter has been considered by the competent authority and has decided to relax
the upper age limit upto the extent of one year beyond prescribed upper age in
exceptional circumstances, provided the proposed duration of deployment is short and
the proposed candidate in replacement is in 'sound health' and found to be fit to
discharge his responsibilities effectively.
2. Guidelines for acceptance and award of single tenders- reg.
2.1 Ministry of Finance, Department of Expenditure vide circular No. F.1/1/2021-PPD dated
29.10.2021(Copy enclosed as Annexure-20) has pointed out that re-bidding has costs:
firstly the actual costs of re-tendering; secondly the delay in execution of the work with
consequent delay in the attainment of the purpose for which the procurement is being done;
and thirdly the possibility that the re-bid may result in a higher bid. Lack of competition shall
not be determined solely on the basis of the number of Bidders. Even when only one Bid is
submitted, the process should be considered valid provided following conditions are
satisfied:
i. The procurement was satisfactorily advertised and sufficient time was given for
submission of bids;
ii. The qualification criteria were not unduly restrictive; and
iii. Prices are reasonable in comparison to market values.
2.2. In view of above, in supersession of Policy Matter: Technical (66/2006) dated

17.05.2006, Policy Guidelines no. 10.1.17/2017 dated 23.06.2017 and Policy Guideline no.
18.34/2019 dated 29.03.2019, it has been decided that in case only a single bid is received
by the due date of receipt then the same shall be accepted if the rates are reasonable a
workable and the process is valid as per para 1 above with the compliance of validity of
process recorded in writing.
3. Consideration of experience certificate produced by the Consulting
Firms in respect of usage of equipment in the assignment for DPR/IE/AE services
3.1 It has been observed that the experience certificates are being issued to the Consulting
Firms deployed for above services by the concerned ROs/PDs without proper verification
of the ownership and experience. It has also come to the notice that the credentials are
being issued to the Consulting Firms on the basis of supervision of equipment usage,
whereas, work actually would have been performed by a third party. It is also a concern that
experience certificates are issued by NHAI officials in non-standard format. These kinds of
experience certificates are leading to anomalies and creating issues in evaluation of RFPs
at various levels.
3.2 It is to further inform that complaints are being received quite frequently about fraudulent
certificates on usage of equipment by the various Consulting Firms highlighting the issues
of not having specified equipment, ownership and experience in its actual usage. In this
regard, it may be clarified that the experience of the Firm shall be recognized only when the
Firm has actually performed the above activities through its own staff directly, to avoid
duplicity in claiming of the experience.
3.3. It is, therefore, required that a standard format as enclosed in Annex-I is adopted by all
the officers concerned who issue the experience certificate to Consulting Firms after due
verification and certification.
3.4. In view of above, all GMs/ROs/PDs are directed to re-examine the experience
certificates issued by NHAI and same shall be considered in evaluation of RFPs only after
due verification by the respective Technical Divisions and ROs. In case the credentials are
found to be false or fraudulent, the action against the Firm and the Issuing Authority may be
taken.
Draft sample of Experience Certificate
Sub: Experience certificate to consultants for use of Technology

in consulting assignments for DPR/IE/AE.
I. Name of the Consulting Firm (with JV & Associates, if any):
II. Start & End of Contract Period:
III. Type of Consultancy Services (DPR/IE/AE):
IV. Details of the Project (Length, Chainage, Lane configuration, etc.):
V. Types of equipment used:
Sr Details of Period of Length Whether

no. equipment use covered Owned/hired Output Remarks
reported to
by the firm HQ
(SRD&Q & RIS)
1 Network Survey
Vehicle (NSV)
2 Mobile Bridge
inspection unit
(MBIU)
3 Falling Weight
Deflectometer
(FWD)
Retro-
4 reflectometer
5 ATCC
6 Lidar
7 Any other to be
specified
3.5 Certified that the equipment used at site by the Consultancy firm
is as per the prescribed specifications in RFP documents and
SRD&Q and RIS Cell has been updated about usage of above
equipment vide letter no
(Signature of issuing officer

with Detail)
4. Consideration of Post-Graduation in Transport Planning as

the General Qualification for assessment of CVs for the
position of Road Safety Experts - Reg.
Ref.: (i) MoRTH letter no. RW/NH-39011/30/2015-P&P (Pt-l)

dated 15.02.2019 (ii) MoRTH letter no. H-39011 /30/2015-P&P
(Pt-l) dated 15.02.2019
4.1 MoRTH has issued modified documents for Request for Proposal (RFP) for appointment
of Authority/ Independent Engineer in respect of National Highways and centrally sponsored
road works vide letters under reference above.
4.2. These RFP documents specifies Post-Graduation in Traffic/ Transportation/ Safety

Engineering or Equivalent as the General Qualification for assessment of CVs for the
position of Road Safety Experts.
4.3. In this regard, since the subject of Transport Planning also involves road safety aspects,
it has been decided that the Post-Graduation (regular) in Transport Planning may be
considered under Equivalent category of the criteria specified in the RFP document,
provided, Post-Graduation in Transport Planning is obtained after Graduation in Civil
Engineering.
4.4. In view of above, all the Technical divisions/ ROs are advised to adhere to above
guidelines while evaluating the bids for appointment of Consultants in NHAI works, in order
to bring uniformity in the evaluation process.
5. Subject: Dispensation of physical submission of Bid in various procurement

methods - Amendment to RFP clauses-Reg.
5.1 Authority in its 135th Meeting (Agenda item 135.15) held on 17.01.2019 decided that
the bids on all modes should be received online including Bid Security, Application Cost,
POA etc. and the requirement of submission of bids in physical form before bid due date for
declaring the bids responsive should be dispensed with immediately. In compliance to
Authority's decision, physical submission of following documents on or before Bid Due Date
is dispensed with:
a. Offline payment for cost of tender documents i.e. Demand Draft etc.
b. Original of Bid Security Bank Guarantee
c. Original Power of Attorney for signing the bid
d. Original Power of Attorney for lead member of the JV, if any e.
Original joint bidding Agreement for JV, if any,
f. Original of Integrity Pact,
g. Originals of experience certificates apostle at foreign origin, if any
5.2) Instead;
a) Bidders shall make online payment for cost of tender documents
b) Bidders shall upload copies of all documents listed at para 1(a to g) above while
c) Technical and Financial evaluation of bid and declaration of result shall be done based
on the documents received online after confirmation of Bid Security BG from the issuing
Bank and payment for cost of tender in Authority's Account.
d) Bidders shall be asked to submit Originals of all documents listed at para 1 (b to g)

above after declaration of bid evaluation result by Authority.
e) All the Bidders (including individual or any of its Joint Venture Members) failing to submit
the original documents required as per para 2 (d) above shall be unconditionally
debarred from bidding in NHAI projects for a period of 5 years.
f) In case L-1 Bidder fails to submit the originals as per para 1(b to g), the bidding process
shall be annulled and Tenders shall be re-invited.
5.3) This practice shall come into force immediately w.e.f. the date of issue of circular.
6. Communication of Project related correspondences between

Concessionaires/Contractors, AEs/ IEs and NHAI through Project Management
Software and Data Lake Portal.
6.1 The Project Management Software(PMS)/Data Lake is an unique cloud based software
application, wherein the complete project execution work flows with timelines as per contract
and alert mechanism is portal based. The Beta Version of this Software was launched on
5th March, 2020.
6.2. Thereafter, it was decided vide NHAI Policy circular no. NHAI/IT/Data Lake/05 dated
21.04.2020 (Annexure-21) that with effect from 25th April, 2020, all project related
communications, approvals and correspondences between Contractors/ Concessionaires/
Consultants, AE/IE & PD/ RO/ HQ will be done through the Project Management Software/
Data Lake Portal only. No Physical paper will be accepted unless it is a legal requirement.
6.3. New version of Data Lake V-2.0 has been released on 01.09.2020 wherein mainly the
following features have been incorporated:
i. A comprehensives system to facilitate entire project management across the project

lifecycle from pre-construction stage till Operation & Maintenance.
ii. Provision for GIS linking of all project documents, videos, photos, test reports, NSV
reports, FWD reports and road inventory reports.
iii. Provision for input forms with batch upload facility for updating data on land acquisition,
construction, weekly progress update and other progress update.
iv. Provision for generating role based Executive Summary Dashboards and Reports of
projects at micro level as well as at macro level.
v. Provision for document approval processes and workflows for the pre-construction,
construction and maintenance phases of project across different execution modes (EPC,
BOT, HAM).
vi. Provision for Dynamic Live Ranking for seven key performance indicators related to
Construction, Award, DPR, Plantation, O&M and Road Safety of projects.
vii. Provision for generating overall ranking of Project Implementation Units, Regional
Offices and Technical Divisions of NHAI.
6.4. It was decided vide NHAI Policy Circular No. 6.23/2020 dated 15.09.2020 (Annexure-
22) that all Contractors/Concessionaires/Consultants shall mandatory submit the bills in the
PMS/Data Lake only and no physical bills shall be accepted from 17.09.2020 for payments.
6.5. Now, it has been decided to incorporate the suitable clauses in the Request for Proposal
(RFP) for EPC/ HAM projects and for AE/ IE / DPR Consultants in order to ensure
compliance of the NHAI circular mentioned above. Accordingly, for all future projects, where
bids are planned to be invited, the relevant clauses of the RFP for EPC/ HAM projects and
for AE/ IE/ DPR Consultants stand modified/ incorporated as per Annexure-23.
7. Subject: Instruction of Ministry of Finance, Department of Expenditure regarding
(1) Performance Security, (ii) Additional Security Deposit/ Bank Guarantee (BG)
in case of Abnormally Low Bids(ALBs) and(iii) Bid Security/ Earnest Money
Deposit
MoRTH vide OM no. F.No. G-20016/01/2020-TF-II dated 17.11.2020 has forwarded 3 Nos.
of Ministry of Finance, Department of Expenditure O.Ms. No. F.9/4/2020-PPD dated
12.11.2020 (Annexure – 24) on subject mentioned above for immediate implementation by
all concerned. A copy of the same is attached herewith for implementation with immediate
effect.
8. Subject: Additional Security Deposit/ BG in case of Abnormally Low Bids (ALBs).
Refer the enclosed Policy Circular No. 3.1.27 dated 19.11.2020 of NHAI on the subject
Ìnstruction of Ministry of Finance, Department of Expenditure regarding (i) Performance
Security, (ii) Additional Security Deposit/ Bank Guarantee (BG) in case of Abnormally Low
Bids (ALBs) and (iii) Bid Security/ Earnest Money Deposit'.
8.2. The Ministry of Finance, Department of Expenditure vide its OM No. F.9/4/2020-PPD
dated 12.11.2020 has stated that no provisions should be kept in the Bid Documents
regarding Additional Security Deposit/ BG in case of ALBs. Wherever, there are compelling
circumstances to ask for Additional Security Deposit/ BG in case of ALBs, the same should
be taken only with the approval of the next higher authority to the authority competent to
finalise the particular tender, or the Secretary of the Ministry/ Department, whichever is
lower. Further, these instructions are applicable for all kinds of procurements viz. Goods,
Consultancy, Works, non-consulting Services etc.
8.3. In the light of above, it has been decided to deal with the Additional Security Deposit/
BG of ALBs as given below in the bids/ contracts:
Bids to be received/future
bids Bids received In ongoing contracts
Consultant Provision of addl. BG for Addl. BG for ALBs be To be dealt with on

ALBs be deleted taken as prescribed in case to case basis
RFP but with as per OM dt.
maximum ceiling of value of 12.11.2020 of DoE,
such BG upto value of MoF.
Performance Security BG
(addl. BG can be part of
Omnibus BG)
Contract/ Provision of addl. BG for Addl. BG for ALBs be taken To be dealt with on
Addl. ALBs be continued in as prescribed in RFP but case to case basis
Concessonaire RFP but with maximum with maximum ceiling value as per OM dt.
ceiling of value of such BG of such BG upto value of 12.11.2020 of DoE,
upto value of Performance Performance Security BG MoF.
Security BG
Encl.: Policy Circular dated 19.11.2020 of NHAI (Annexure-25)

IV: ‘Timely Engagement of AEs/IEs/SCs and interview before LOA’
1. Subject: Appointment of Independent Engineer (IE)/ Authority Engineer (AE)/ Supervision

Consultant (SC)
1.1 Repeated instructions were issued earlier to invite RFPs for engaging IE/AE/SC along with the bids of Civil
Work Contracts, but still in several projects the appointment of IE/AE/SC is getting delayed. The allegations of
collusion of Consulting Firms a Contractors/ Concessionaires where IE/AE/SC is not appointed before award
of civil works and ridiculously low bids quoted by IE/AE/SC in some cases have also come to the notice.
1. 2. In order to streamline the appointment of IE/AE/SC, it has now been decided that the financial bids of Civil
Works Contract will be opened after the receipt of technical bids of IE/AE/SC contracts. After declaration
of L-1 bidder of civil works contract and after ascertaining the conflict of interest, the result of technical
evaluation/scores of IE/AE/SC will be declared and their financial bids opened.
2. Subject: Timely deployment and improving Quality of Consultants (IE/AE/SC).
2.1 NHAI works on outsourcing model with lean & thin organization structure. The success of outsourcing
model heavily depends upon standard of performance of the Consultants. In the recent past, several steps
have been taken to improve the quality of the consultants. The following steps are stipulated now for timely
deployment and to improve quality of services of the Consultants:
(i) Stopping the delays in appointing IE/AE/SC:
(a) Despite instructions dated 21.05.2020 & 03.11.2020, it was noticed that there are large number of
cases where bids of IE/AE/SC were not invited a finalised timely in awarded projects. Henceforth,
the award of consultancy assignments, where instructions dated 21.05.2020 and 03.11.2020 are not
complied, shall be submitted to Chairman along with justification for delays.
(b) Timelines for finalising the bid of IE/AE/SC: Member concerned was authorised vide Policy
Guidelines dated 28.02.2020 to allow engagement of a Financial Consultant for evaluating the bids
of the Technical Consultants with certain conditions. This has been further extended for procurement
of consultancy contracts being taken up by ROs as well. In this regard, the following timelines shall
be adhered to:
(b1) Technical Evaluation shall be completed within 30 days of receipt of bids. Evaluation Committee/ Tech.
Division to ensure that the Financial Consultants do not raise trivial issues and delay the process. The Financial
Consultants whose services are not found satisfactory or who are delaying the process shall be de-empanelled
through Finance Division.
(b2) After declaring L-1 bidder of civil work and ascertaining conflict of interest, if any, the technical evaluation
result be declared and financial bids of consultants be opened within 7 days of declaring L-1 bidder of civil
work.
(b3) The combined score & H-1 bidder be finalised and CVs be sent to the Expert Team [Ref. Para-(ii) below]
for interview within 7 days of opening of financial bids of consultants.
(b4) Expert Team to hold interviews of Key Personnel, get replacements, if required and Tech. Division to
award the consultancy assignment within 15 days of activity at
(b5) The generic issues in evaluating the technical bids of the consultancy assignments shall continue to be
referred to the committee constituted vide Policy Guidelines No.10.2.16 dated 07.09.2018 for deciding a
common approach within NHAI.
(ii) Interviews of Key Personnel of Consultants (IE/AE/SC): The earlier system of interviews of Key
Personnel after LOA, but before signing of the consultancy agreement was marred with several issues and
hence it was discontinued. Now, the following system shall be followed:
(a) The Expert Teams (2-3 to begin with) comprising of 3 eminent retired/ serving officers in each team will be
set up by each Member to take the interviews through VC of the Key Personnel of H-1 Consultant before
issue of LOA of consultancy assignments under their jurisdiction. The proceedings of VC shall lie on Data
Lake as a record. If any Key Personnel is found not suitable, such person will not be allowed to participate
for 1 year in NHAI's projects. The Consulting Firm will be given only one opportunity to replace unsuitable
person with a person of equal or better CV. No reduction in remuneration shall apply to such replacements.
If Consultant fails to produce alternate CV within 7 days or alternate CV/ Person is also not found suitable by
the team, then the bid of H-1 Consulting Firm will be considered non-responsive and the fresh financial bids
from the remaining qualified consulting firms in the same assignment (technical proposal scoring atleast 75
points) shall be obtained by giving 15 days’ time and then the above procedure shall be repeated. In case
the remaining qualified consulting firms are less than 2, then such consultancy bid shall be reinvited.
(b) Interview of Key Personnel already deployed at site: The Expert Teams as set up above will also take the
interviews of Key Personnel deployed in ongoing projects, where progress of civil work is 50% or less, as a
one-time exercise in the order of oldest project first, following the same process as at Para-(ii) (a) above. If
any person(s) is (are) found unsuitable by the Expert Team, such person(s) will be demobilised immediately
a will not be allowed to participate for 1 year in NHAI's projects and the Consultant will be given an opportunity
to replace such person(s) within 7 days failing which the Consultant will be kept on non-performer list so that
they do not bid in future projects of NHAI till they replace the unsuitable person(s) with equal or better CV.
In such interactions, PD shall present the performance of the consultant/ Key Personnel so far on the project
including quality of supervision/ inspections/ NCRs/ digital MPRs, delays in decision making like COS, EOT,
approval of drawings, etc. Expert Team may prescribe a format for this feedback from PD.
(c) During above interactions of Expert Teams, the following shall be present:
(i) MD or Permanent Director of Consulting Firm; and
(ii) CGM (T)/ GM(T) of HQ for procurements at HQ (or) RO/GM(T) of RO for procurements at
RO.
2.2. The above guidelines shall be effective from 16th November, 2021.
V: ‘Penal action against consultants on their default’
1. Subject: Standard Operating Procedure (SOP) in case of failure of structural components like
Bridges, Overpasses, Underpasses, RE Walls, Retaining Walls, etc. on National Highways during
Construction or O&M Period.
NHAI largely depends on construction through Contractors/ Concessionaires and supervision, monitoring etc.
through IE/ AE/ Consultants. The construction work of road and structures is coordinated by Project Directors
(PDs) and officers in PlUs, under a Regional Officer (RO) reporting to Member through Technical Division at
HQ.
1.2. It has been observed that certain structural failures have taken place in the past during currency of the
construction period and also during Operation & Maintenance period, leading to fatal accidents which are
unfortunate happenings and call for stringent steps to prevent such incidents which are bringing bad name to
the organization at large, apart from denting image of construction industry and engineering fraternity. Further,
these incidents seriously question the credibility of the technical expertise of the stakeholders involved, be it
design consultants, proof consultants, IE/ AE, contractors, concessionaires or PDs/PIU Officers concerned.
Such accidents are a huge setback to the progress of the work besides causing loss to the public life and
property.
1.3. While various circulars/ guidelines on quality/ inspection systems of NHAI/ IRC/ MoRTH are available for
prevention of such accidents, a proper Standard Operating Procedure (SOP) needs to be spelt out to deal with
such untoward incidents.
1.4. Accordingly, the following SOP need to be adhered to by all concerned to have a responsive post-accident
mechanism in place.
(i) Immediately after receiving information on failure of any component of Road & Structures like Bridges,
Flyovers, ROBs, RUBs, RE/ Retaining Walls, etc., ROs/ PDs concerned will reach the site without any
delay. While moving to the site itself, they shall manage over mobiles the rescue operations including
moving the injured to the hospital.
(ii) After reaching the site, they will assess the dangers like hanging parts of structures, if any and take
necessary precautions to prevent any further damage to life and property. After assessing the site
situation, RO/ PD shall inform concerned Member/ CGM on telephone within one hour of incident
followed by e-mail report (preliminary) about the accident within 3 hours duly taking photographs/ video
and samples for testing.
(iii) In case of casualty/ injuries, they will send a report to local District Administration in Addition to the
in-house efforts of taking the victims to the nearest hospital.
(iv) Plan for traffic diversion, if required, on account of the accident shall be put in place immediately
with the signages installed appropriately to guide the traffic.
(v) ROs/PDs will prepare a detailed report on collapse of Bridges/ Flyovers/ ROBs/ RUBs/ RE Walls
etc. as the case may be and submit it to NHAI HQ within 24 hours
(vi) A Committee of 3 Experts chosen from the empaneled list in the field of Bridges/Flyovers/ ROBs/
RUBs, etc. will be deputed by Tech. Division with the approval of Member concerned to visit the site
within 24 hours in order to carry out technical analysis and analyze the reasons of failure along with fixing
the responsibility for failure and submit its preliminary report within 3 days and final report within 7 days
to Member concerned.
(vii) Report submitted by the Expert Committee will be examined at NHAI HQ and deterrent actions
will be initiated against individuals & firms responsible for the incident like Concessionaire/
Contractor & its personnel and Consultants & its personnel, AE/IE, Design Consultant, Proof
Consultant, etc. including their debarment from NHAI projects. Further, action against the
officers of NHAI shall be taken, if found guilty of dereliction of their duty.
(viii) Suitable remedial measures/ actions as suggested by the Expert Committee will be taken
by RO in a time bound manner to restore the damaged Bridges, Flyovers, ROBs, RUBs, RE/
Retaining Walls, etc. including restoration of further construction/O&M activities. PD/ RO will submit
daily ATR till remedial measures/ actions are completed.
(ix) The Technical Report submitted by the Expert Committee and actions taken shall be
shared with all the Technical Divisions, ROs and PDs to avoid recurrence of such incidents in other
projects.
2. Standard Operating Procedure to debar/penalize/declare as Non-Performer the Authority’s

Engineer/Independent Engineer/Construction Supervision Consultant/Project Management
Consultant in National Highways and centrally sponsored road projects.
2.1 It has been noticed that in many cases there are lapses on the part of the Authority’s
Engineer (AE)/Independent Engineer (IE)/Construction Supervision Consultant (CSC)/Project
Management Consultant (PMC) in fulfilling their obligations under the contract as per
provisions of contract agreement that lead to delay/acceptance of sub-standard works leading
to premature distress/failure during construction.
2.2. In order to ensure construction of roads as per standard and specifications laid down in
contract/concession agreement and to avoid project delays, it has been decided to
debar/penalize/declare as Non-Performer the Authority’s Engineer (AE)/Independent Engineer
(IE)/Construction Supervision Consultant (CSC)/Project Management Consultant (PMC) for
their lapses/deficiencies in services in National Highways and centrally sponsored road
projects as detailed herewith on the same lines as issued vide MoRTH circular File No.
RW/NH-33044/76/2021-S&R (P&P) dated 07.10.2021 and letter of even No. dated
04.01.2022.
2.3. This policy Circular supersedes the NHAI Policy Circular No. 18.63/2021 dated 08th
January,2021
2.4. Provisions for Penal Action:
2.4.1 Following penal actions shall be taken against the Authority’s Engineer (AE)/
Independent Engineer (IE)/Construction Supervision Consultant (CSC)/Project Management
Consultant (PMC) in case of lapses on their part/deficiencies in services provided: -
Sl. No. Type of Deficiency Action to be taken against Consultant

(IE/AE/CSC/PMC) engaged during
construction & maintenance.
Key Personnel Firm
1(a) Failure to detect design/quality For first three instances, i. For first three instances,
deficiency in Non-key Components* key personnel may be to be kept on watch list.
kept on “watch list”.
(b) Failure to issue follow-up notices Thereafter, the ii. Thereafter, a monetary
to contractor/ concessionaire for concerned key penalty of 1% of the
delays in closure of NCRS, delays in personnel & Team consultancy fee (the
furnishing detail of time & cost Leader to be removed
claims/COS/revised work from the project and
programmes / work methodologies, debarred up to 6
etc. months.
(c) Delays or submission of improper aggregate of such

MPRS, improper review of penalties in a contract
methodologies, temporary works, would not exceed the
QA plan/manual, O&M plan/ Manual performance Guarantee
etc. amount) and/or declaring
the consultant as Non-
Performer upto 6 months
or till rectification of
deficiencies # and taking
adequate measures not

to repeat such instances
in future, whichever is
earlier.
2(a) Failure to detect design/quality The concerned key Declaring the Consultant
deficiency in Key Component** not personnel & Team as Non- Performer upto
having substantial cost (below 1% Leader to removed 1 year or till rectification
of civil work (cost) and /or time from the project and of deficiencies # and
implication (below 5% or project debarred up to year. taking adequate
completion period) measures not to repeat
such instances in future,
(b) Failure to detect deficiency in whichever is earlier.
quantity executed vis-à-vis design
not having substantial financial
implication (below 1% of civil work
cost).
(c) Failure to conduct/witness tests as

prescribed in the consultancy
contract agreement.
(d) Delay in processing EOT/COS

proposals, inaccurate assessment
of COS proposals, not issuing
NCRs, delays/improper review of
designs/drawings/work programme
or failure to submit Completion/
Provisional Completion
Certification as prescribed in
contract.
3(a) Failure to detect deficiency in The concerned key In addition to

quantity executed vis-à-vis design personnel & Team rectification of
having substantial financial Leader to removed from deficiencies and taking
implication (1% of civil work cost or the project and adequate measures not
more) debarred up to years. to repeat such instances
in future, the consultant
(b) Failure to detect design/quality to be debarred up to 2
deficiency in Key Component years.
having substantial cost (1% of civil
work cost or more) and/or time
implication (5% of project
completion period or more)
(c) Failure to detect deficiency/not

reviewing design (including
temporary works) and
construction (including
methodology) of structural
components of flyover/ bridges/
underpasses/overpasses/
ROB/RUB etc.
(d) Failure to propose action (like

cure period notice, levy of
damages,etc.) on
contractor/concessionaire as per
contractagreement for their
default/ poor progress having
material adverse effect on the
project implementation in terms of
cost (1% of civil work cost or more)
and/ time (5% of project completion
period or more).
(e) Improper/wrong interpretation of

provision in contract agreement;or
wrong certification of payment/
COS value/cost & time claims; or
poor performance of services
leading to cost (1% of civil work
cost) and/or time (5% of project
completion period) claims
against NHAI awarded by
DRB/CCIE/Arbitration/ Court.
Note ** Key Components are specified as under:
i) Foundation, sub-structure and super-structure of flyovers, road over bridges, road under bridges,
vehicular underpasses, vehicular over passes, major bridges, minor bridges, etc.
ii) Tunnels
iii) Expansion joints and bearings
iv) RE walls/retaining walls
v) The crust layers of flexible pavement
vi) The crust layers of rigid pavement
vii) Embankment and slope protection
viii) Issues affecting road safety
ix) Any other work endangering/impactingstability/reliability/durability/performance of
pavement/structures.
*The items not covered in above list shall be in the category of Non-key components.
# Excluding the delay solely attributable to the contractor beyond stipulated time.
2.4.2 The following penal actions shall be taken in case of any reports on failure of structures
after ensuring proper investigation.
Sr. Type of Failure Consultant

No.
Firm Key Personnel
(i) Minor failure of Token penalty of Rs. 5 lakhs The key personnel may
structures/ highway on consultancy firm engaged be kept on watch list
due to design/ during construction/ maintenance for any future
construction/ besides issuing written warning. recurrence besides
maintenance defect issuing written warning.
wherein no casualties
are reported.
(ii) Major failure of Monetary penalty of Rs. 20 lakhs Debarment of concerned

structures/ highway on consultancy firm engaged key personnel upto 2
due to design/ during construction/ maintenance years in NHAI works.
construction/ and/or Debarment upto 1 year
maintenance defect
wherein no casualties
are reported.
(iii) Major failure of Monetary penalty of Rs. 40 lakhs Debarment upto 3 years
structures/ highway on Consultancy firm engaged
due to construction/ during construction/ maintenance
maintenance defect and/or Debarment up to 2 years
leading to loss of
human lives besides
loss of reputation etc.
Note:
(i) The term Consultant refers to Authority Engineer, Independent Engineer, DPR/ Design Consultant,
Proof Consultant & Safety Consultant.
(ii) In case of delayed failure i.e., failure due to construction but reported during maintenance period after
the defaulting Consultant has been demobilised, action shall be taken against the concerned Consultant
only.
(iii) For each repeated lapse by the firm, the penalty for the subsequent offence shall be enhanced by an
additional 50% as compared to penalty imposed in the previous instance applicable against the category
of penalty under consideration.
(iv) In case the outcome of investigation is unclear or on the basis of conjectures, no action on debarment
shall be taken and only suitable monetary penalty shall be imposed on all consulting firms engaged in
construction/ maintenance.
2.5. Frequency of reporting shall be monthly by PD for each project based on which RO shall report to
Member on actions to be taken on Consultants.
2.6. Amendments shall be made in provisions of Model Request for proposal (RFP)
(i) For appointment of Authority’s Engineer (AE) as per Appendix-N referred therein.
(ii) For appointment of Independent Engineer (IE) as per Appendix-N referred therein.
(iii) For appointment of Project Management Consultant (PMC) as per Appendix-K referred therein.
(iv) In respect to RFP for Construction Supervision Consultant (CSC) the appropriate clause may be
incorporated.
2.7. Before deciding an AE/IE/CSC/PMC as Non-Performer or debarring/penalizing it, the

concerned Technical division shall issue a notice to the AE/IE/CSC/PMC by giving 15 days’ time to
furnish its written reply and allow personal hearing if so desired by the AE/IE/CSC/PMC before
Member concerned. Such a notice shall not be issued without the approval of an officer not below the
rank of the Chief General Manager (CGM). In case of projects where public safety is endangered by
the behavior/conduct/action of the consultant the authority may temporarily suspend the consultant
from participating in ongoing/future bidding upto 1 month period during which the regular process of
debarment shall be concluded.
2.8. The Competent Authority for approval of penal action as above will be the Chairperson, NHAI.
2.9. The firm/individuals on which penal/deterrent action is taken may represent to the “Reviewing
Authority” against the action/penalty imposed. The “Reviewing Authority” shall be the Executive Committee
(EC).
2.10. Provisions related to Debarment:
2.10.1 Upon declaration of non-performer, the AE/IE/CSC/PMC will not be able to participate in any bid
for National Highways projects with MoRTH or its executing agencies till such time the debarment
persists or the AE/IE/CSC/PMC is removed from the list of non-performers. In bidding for a particular
project, bids from only such firms should be considered for placement of contract, which are neither
debarred on the date of opening of tender nor debarred on the date of issue of Letter of Acceptance
(LoA). Contracts concluded before the issue of the debarment/declaration as non-performer order shall,
not be affected by the debarment order (s) issued subsequently.
2.10.2 In case, any debarred/declared non-performer firms submits the bid, the same will be ignored.
In case such firm is lowest (L-1), next lowest firm shall be considered as L-1. Bid security submitted by
such debarred/declared non-performer firms shall be returned to them.
2.10.3 Debarment/declaration as non-performer of a particular firm shall automatically extend to all its
allied firms. In case a joint venture/consortium is debarred, all partners/ members shall stand debarred
for the entire period.
2.11. Upon declaration of non-performer/debarment of any agency (Consultant)/key personnel,

concerned division shall notify the details to SRD&Q Division for maintaining the records/data
related to debarment/non-performer. Concerned Division shall also notify SRD&Q Division if
there is any change in non-performer/debarment status of any agency. SRD&Q Division will act
as Nodal Division and upload/update the list of Non Performing/Debarred agencies/Key
Personnel on NHAI website in first week of every month. It is clarified that concerned division is
responsible for forwarding the data to SRD&Q Division and for maintaining their records.
SRD&Q Division shall have an updated repository at all time. Details regarding non-
performer/debarment shall be notified to SRD&Q Division through e-office file by concerned
Division and shall be provided in the following format with Non-Performer/debarment order
document: -
Sl. Name of Consulting Non- performer/ Non- performer/ Non- performer/

No. firm declared as debarred from the debarred upto the debarment order
Non- Performer/ date date document
debarred
2.12. Initially all Technical Divisions shall upload the details of Non-performing/debarred agencies
(Consultant)/ key personnel, if any, on Data-Lake portal within 4 working days of issue of this
circular.
This issues with the approval of the competent authority.
Enclosure: Referred Annexures of Master circular,
(Annexure-1 to Annexure-25)
(Chandan Vats)
CGM (Coordination)
NHAI HQ
To
All officers of NHAI HQ/ROs/PIUs/CMUs/Site Officers
Copy to:
1. PS to Chairman
2. Ps to all Members/CVO
3. Hindi Officers for translation in Hindi
4. Library for hosting the circular on library site
5. Web admin for circulation

List of Annexures/Enclosures for Master Circular of “Category of Consultancy”10.1 Procurement
S No. Sub category of Quality assurance Annexure/Enclosure No. Page no.

Master circular (From - to)
1. Annexure-1 Circular no.
NHAI/11013/IE,AE&SC/RFP 48
Docu./2017/136974 on dated 25.06.2019
2. Annexure-2 Circular no. NHAI/IT/e-
procurement/2/2017 -Implementation of
NIC’s e-Procurement module in NHAI part
– 2 -Dated 21.03.2017 49
3. Annexure-3 Policy guidelines
no.10.1.17/2017 - Acceptance of Single
Tender for Consultancy Services-
Clarification -Dated 23.06.2017. 50
4. Annexure-4 Policy Guidelines dated -
Dated 02.11.2018 -Project specific
modifications in the RFP documents for
engaging Technical Consultants.
Dated 02.11.2018 -
51
no.10.1.19/2019 -Mandatory 15 days
(a) RFP for DPR/AE/IE Consultancy
certification course for Road Safety Expert
Services
– Reg. -Dated 03.10.2019 52
6. Annexure-6 Miscellaneous Policy
Guidelines (18.48 /2020) -Drainage
Systems: Adequacy & Effectiveness
-Dated 08.07.2020 53-55
no.10.1.23/2020 -Addendum to standard
RFP document for engagement of
technical consultants-reg -Dated
04.09.2020 56-64
8. Annexure-8 Policy Guidelines Legal 65-66
. 2.1.44/2020 -Revision of fee payable to
the Arbitrators in terms of the
Arbitration & Conciliation (Amendment)
Act, 2015 in the Contractual
Disputes.Dated-22.10.2020
9 Annexure-9 Policy Circular no. 3.1.28 67-82

-Delegation of Power to reduce the
Performance Security Bank Guarantee
(PSBG) to 3% of contract value
-Dated 29.12.2020
10 Annexure-10 Policy
Guidelines no. 10.2.28/2021
-Attendance Management System(AMS)
for NHAI’s AEs/IEs/Consultant
-Dated 15.01.2021
83
no.10.1.27/2021
-Adoption of evaluation criteria for
QCBS as 80:20 in Consultancy
Assignments.
-Dated 11.02.2021 84
12.
Annexure-12 Policy guidelines
no.10.1.28/2021
-Technical capacity provisions in RFP/Bidding
of future consultancy assignments for
maximum works to be permitted to one
consultant. -Dated 30.03.2021 85-90
13. Annexure-13 Policy Guidelines no. 91-93
11.28/2021
-Provision of Highway Design Engineer
and
Bridge/Structure Design Engineer in the RFP
of
AE/IE to be engaged for civil works.
-Dated 06.05.2021
14. Annexure-14 Policy guidelines 94
no.10.1.29/2021
-Technical Capacity provisions in
RFP/Bidding of future consultancy
assignments for maximum works to be
permitted to one Consultant Eligibility
in case of Joint Venture (JV)-reg.
-Dated 23.06.2021(addendum to S.No. 45 , to
be merged in S.No.45)
15. Guideline
Annexure-15 Policy s no. 95-102
3.1.31/2021
-Amendment to proforma for Omnibus
Bank
Guarantee for Consultancy
-Dated 24.06.2021
16. Annexure-16 MoRTH Circular No.
RW/NH- 103-104
33044/88/2021-S&R(P&B)
-Consultancy Services for AE/IE –
Regarding
Extension of Time (EOT)
17. 105-109
Annexure-17 Office Memorandum File

no. 13057/01/2021/IT
-Provisions made in Data Lake Portal for
decision support while handling cases of
replacement of personnel of AE/IE including
facility to check against existing list of
blacklisted/debarred personnel.
-Dated 08.10.2021
18. Annexure-18 Circular no. HAI/SRD&Q/PPP 110-119
(MII)&GFR/2021/722
-Proposed amendment in bidding documents
of Consultancy Contracts (AE,IE and DPR
projects) to make bidding documents
compliant of revised rule for Public
Procurement (Preference to Make
in India) Order, 2017 and Rule 144(xi) of
GFR.- Proposed amendments in Consultancy
RFPs -Dated 07.12.2021
19. (b)‘Guidelines for preparation of DPR’ Annexure-19 of para 6.2 Cost methodology 120-139
for estimation of highway projects under BOT.
20. Annexure-20 of para 2.1Ministry of Finance 140-162
DOE dated 29.10
21. Annexure-21 of para 6.2 Policy Circular 163
No. NHAI/IT/DataLake/05 dated 21.04.2020
22. (c) Consultancy bid submission and Annexure-22 of para 6.4 Submission of 164-165
evaluation guidelines’ bills related to project payments of NHAI
through Project Management
System(PMS/Data Lake) Portal
23. 166-
Annexure-23 of para 6.5 Modified 171
clauses of the RFP for EPC/ HAM
projects and
for AE/ IE/ DPR Consultants
24. Annexure-24 of para 7 Ministry of 172-

Finance DOE 179
OM no. F.9/4/2020-PPD dated
12.11.2020
25. Annexure-25 of para 8.3 Policy Circular 180-
dated 188
19.11.2020
26. Annexure- of para 1 (iv) Policy circular 189-
*RFP for IE Services during O&M A dated 195
18.07.2018
27. Annexure- of para 1 (iv) Policy circular 196-
*RFP for IE Services during O&M B dated 197
21.10.2019
28. Annexure-C of para 1 (iv) Policy circular 198-
*RFP for IE Services during O&M dated 199
10.09.2015
Annexure - 1
Annexure-2
Annexure-3
Annexure-4
Annexure - 5
Annexure-6
Annexure-7
Annexure-8
Annexure-9
Annexure-10
Annexure-11
Annexure-12
Annexure-13
Annexure-14
Annexure-15
Annexure-16
Annexure-17
Annexure-18
Annexure - 19
Annexure-20
Annexure-21
Annexure - 22
Annexure - 23
Annexure - 24
Annexure-25
Annexure-A
Annexure-B
Annexure-C
List of Policy Circulars issued upto date and available in library website related to
‘Category of ‘Consultancy’- 10.1 procurement
Policy guidelines No subject details with

Sr. No Remarks
date of issuance Under Procurement
1. Policy Matters Technical no. 38/2004 Weeded out
-Peer Review of the DPRs
-Dated 30.06.2004
2. Policy guidelines no. 111/2005 Weeded out
-Evaluation procedure of Bids received from

Consultancy
firms for DPR preparation
-Dated 07.12.2005
-General issues of key personnel in various

consultancies
projects
-Dated 11.10.2006
-Evolving a procedure to check the authenticity of

documents
submitted by the Consultant
-Dated 15.07.2008
5. Policy guidelines no. 69/2010 To be retained Included

in sub category
-Relaxation in upper age limit for key personnel in ‘Consultancy bid
Supervision submission and
evaluation guidelines’
Consultancy Services.
- Dated 19.11.2010
6. Policy guidelines no.70/2010 To be retained
Included in

Sr. No Remarks
-Cost Methodology for Estimation of Highway sub category

Projects under BOT
‘Guidelines for
-Dated 08.12.2010 Preparation of DPR’
7. Policy guidelines dated 07.01.2011 Weeded out
- RFP for appointment of IE for 4-laning / 6-laning

projects. –
Amendment to RFP
-Dated 07.01.2011
- Standard Sub-criteria for evaluation of RFP

proposal for
Appointment of IE for DFBOT Projects of NHAI
-Dated 05.07.2011
- Standard Sub-criteria for evaluation of RFP

proposal for
Appointment of IE for DFBOT Projects of NHAI

–
Corrigendum reg.
-Dated 27.07.2011
Weeded
10. Policy guidelines no. 93/2011 out
- Review of procurement in all types of

Consultancy
Procurements
-Dated 03.11.2011
Weeded
11. Policy guidelines no. 87/2012 out

Sr. No Remarks
-Delegation of Power during intermediate stages in

selection
of consultants/concessionaires and
composition of
Evaluation Committee.
-Dated 25.07.2012
Weeded
12. Policy guidelines no.142/2013 out
- Review of procurement procedure of IE and

other
consultants for BOT and EPC projects.
-Dated 02.09.2013
Weeded
13. Policy guidelines dated. 25.02.2014 out
-Points to be covered in the RFP documents of

Consultancy
Assignment on National Highways & related

Centrally
Sponsored Works.
-Dated 25.02.2014
Weeded
14. Policy guidelines dated. 12.05.2014 out
- NHAI is preparing a set of key performance

indicators (KPI)
for evaluation and assessment of performance

of the
consultancy firms working with NHAI.
-Dated 12.05.2014

Sr. No Remarks
Weeded
- Submission of fake/incorrect/inflated CVs
-Dated 26.11.2014.
Weeded
- Single tender for Consultancy Services –

Clarification – reg.
-Dated 10.12.2015.
To be weeded
17. Policy Matter Technical 217/2016 out
-Deterrent action against defaulting Consultants –

Standing
Committee of CGMs reg.
-Dated 20.09.2016
Weeded
18. Circular no. NHAI/IT/e-procurement/2017 out
-Implementation of NIC’s e-Procurement module in

NHAI
-Dated 20.03.2017
19. Circular no. NHAI/IT/e-procurement/2/2017 To be retained
-Implementation of NIC’s e-Procurement module in sub

NHAI part Included in category
-2 ‘RFP for

Sr. No Remarks
AE/IE/Consultancy
-Dated 21.03.2017 Services’
20. Policy guidelines no.10.1.16/2017 To be retained
- Guidelines for preparation of Detailed Project Included in Sub

Reports category ‘Guidelines
for preparation of DPR’
(DPRs)
-Dated 12.06.2017.

Included in sub
- Acceptance of Single Tender for Consultancy category ‘Consultancy
Services- bid submission and
Clarification evaluation guidelines’
-Dated 23.06.2017.
22. Circular no. NHAI/11013/IE,AE&SC/RFP Weeded out
Docu./2017
-Modification in the RFP documents for engaging

technical consultant IE for DBFOT and HAM
project Authority Engineer (AE) for EPC projects
under implementation and Independent Engineer
(IE) for OMT (BOT) project and Consultancy
Services for Supervision Consultant (SC) – Reg.
Dated – 10.11.2017

Sr. No Remarks
23. Office memorandum no. Weeded out
NHAI/Bhnhai.gov.in
aratmala/EC/DPR/2016/117548
-Design principles for various category of roads

under Bharatmala Pariyojana Including Economic
Corridors and cost optimization for Highway
Construction. -Dated 14.05.2018
24. Policy guidelines dated 02.11.2018 To be retained
-Project specific modifications in the RFP categ

documents for Included in sub ory
engaging Technical Consultants. ‘RFP for
-Dated 02.11.2018 AE/IE/Consultancy
Services’
-Consideration of experience certificate Included in sub

produced by the
Category ‘Consultancy
Consulting firms in respect of usage of equipment bid submission and
in the evaluation guidelines’
assignment for DPR/IE/AE services
-Dated 25.02.2019
26. Circular no. NHAI/11013/AE&IE/RFP
Doc./2017/133701 To be retained
Included in sub
-Consideration of Post-Graduation in Transport category ‘Consultancy
Planning as the General Qualification for bid submission and
assessment of CVs for the position of Road evaluation guidelines’
Safety Experts – Reg -Dated 22.04.2019

Sr. No Remarks
Policy guidelines no.10.1.18/2019 To be retained
-Project Proposals in DPR stage- Provision of categ

Vehicular Included in sub ory
‘Guidelines for
27. Underpass/Flyover/Overpass preparation
-Dated 30.04.2019 of DPR
-Dispensation of physical submission of Bid in categ

various Included in sub ory
procurement methods – Amendment to RFP

clauses – Reg. ‘Consultancy bid
submission and
-Dated 06.06.2019 evaluation
guidelines’
29. Circular no.136974 To be retained.
-Modified Document for Request of Proposal Included in sub

(RFP) for category of
Appointment of AE/IE/Consultancy Services for

preparation ‘RFP for
of Detailed Project Report (DPR) in respect of

National AE/IE/Consultancy
Highways and centrally sponsored road works

– Reg. Services’
-Dated 25.06.2019
-Mandatory 15 days certification course for Included in sub category

Road Safety of
Expert – Reg. ‘RFP for
Services’
31. Policy guidelines no.10.1.20/2019 Weeded out
-Guidelines on number of lanes at toll plazas to be

designed
duly considering hybrid ETC lanes and deciding

Change of
Scope in such works in ongoing Contracts.
-Dated 18.10.2019
no To be retained
32. Office Memorandum . (Partly)
su categor
NHAI/Bharatmala/EC/DPR/2016/143430 Included in b y
-Policy for Development of Highways under ‘Guidelines for

Bharatmala preparation
Pariyojana of DPR’
-Dated 30.10.2019
33. Policy guidelines no.10.1.21 To be retained

su categor
-Appointment of IE/AE/SC Included in b y
Engagem
-Dated 21.05.2020 ‘Timely ent of
AEs/IEs/SCs and
interview
before LOA’
Miscellaneous Policy Guidelines (18.48

34. /2020) To be retained
su categor
-Drainage Systems: Adequacy & Effectiveness Included in b y
-Dated 08.07.2020 ‘RFP for
AE/IE/Consultancy
Services’
-Technical Capacity provisions in RFP/Bidding

of future
consultancy assignments for maximum works to

be permitted
with one
consultant.
-Dated 10.08.2020
Miscellaneous Policy Guidelines (18.51

36. /2020) To be retained
-SOP in case of failure of structural components Taken from

like Bridges, Miscellaneous
Overpasses, Underpasses, RE walls, Retaining Guidelines and included

walls, etc. on in
National Highways during Construction or categor

O&M period. Procurement y
under sub category

-Dated 28.08.2020 penal
action against
consultants
on default.
su categor
Included in b y
‘Penal action against
consultants on their
default’
37. Policy guidelines no.10.1.23/2020 Only Omnibus BG
-Addendum to standard RFP document for Partl retained

engagement of Provision y ,
technical consultants-reg remaining is to be
-Dated 04.09.2020 removed.
su categor
Included in b y
‘RFP for
AE/IE/Consultancy
Services’
38. Policy Guidelines Legal 2.1.44/2020 To be retained
-Revision of fee payable to the Arbitrators in terms catego

of the Included in sub ry
Arbitration & Conciliation (Amendment) Act,

2015 in the ‘RFP or
Contractual Disputes. AE/IE/Consultancy
Dated-22.10.2020 Services’
-Appointment of IE/AE/SC (Amendment)
-Dated 03.11.2020
40. Policy guidelines no.6.24/2020 To be retained
-Communication of Project related catego

correspondences between Included in sub ry
Concessionaires/Contractors, AEs/IEs and

NHAI through ‘Consultancy bid
Project Management Software and Data Lake submission and

portal evaluation
-Dated 03.11.2020 guidelines’
To be
41. Policy Circular no. 3.1.27/2020 retained
-Instruction of Ministry of Finance, Department of Included in

Expenditure sub category
regarding (i) Performance Security, (ii) Additional

Security ‘Consultancy bid
Deposit/Bank Guarantee(BG) in case of submission and

Abnormally Low evaluation
Bids(ALBs) and (iii) Bid Security/Earnest Money

Deposit guidelines’
-Dated 19.11.2020
-Addendum to Policy Guidelines issued vide

no.
10.1.23/2020 dated 4th September, 2020
-Dated 09.12.2020
To be
43. Policy Circular no. 3.1.28 retained
-Delegation of Power to reduce the Performance Included in

Security sub category
Bank Guarantee (PSBG) to 3% of contract value ‘RFP for

Services’
44. Miscellaneous Policy Guidelines (18.63 /2021) Weeded out
-Standard Operating Procedure to decide penal

action in
case of failures of structures /highway in NHAI

projects
-Dated 08.01.2021.
Policy guidelines no.10.1.26/2021 To be retained Included

45. in sub category
-Provision of Vehicular Underpass/ Flyover ‘Guidelines for
-Dated 11.01.2021 preparation
of DPR’
To be
46. Miscellaneous Policy Guidelines (18.65 /2021) retained
-Guidelines on Planning and Design of Highways Included in

passing sub category
‘Guidelines for
through urban/inhabited areas-reg preparation
-Dated 11.01.2021 of DPR’
47. Policy guidelines no. 10.2.28/2021 To be retained Included

in sub
-Attendance Management System(AMS) for
NHAI’s AEs/IEs/Consultant Category ‘RFP for
AE/IE/Consultancy
-Dated 15.01.2021 Services’
48. Policy guidelines no. 3.1.30/2021 To be retained ‘Consultancy

bid submission and evaluation
-Additional Security Deposit/BG in case of
Abnormally Low Bids(ALBs) guidelines’
-Dated 20.01.2021
49. Policy guidelines no.10.1.27/2021-Adoption of To be retained Included in

evaluation criteria for QCBS as 80:20 in sub category ‘RFP for
AE/IE/Consultancy Services’
Consultancy Assignments.
-Dated 11.02.2021
50. Policy guidelines no.10.1.28/2021 To be retained Included in sub

category of ‘RFP for
-Technical capacity provisions in RFP/Bidding AE/IE/Consultancy Services’
of future consultancy assignments for maximum
works to be permitted to one consultant.
-Dated 30.03.2021
51. Policy Guidelines no. 11.28/2021 To be retained Included in sub

-Provision of Highway Design Engineer and AE/IE/Consultancy Services’
Bridge/Structure Design Engineer in the RFP of
AE/IE to be engaged for civil works.
-Dated 06.05.2021
52. Policy Guidelines no. 17.5.82 To be retained Included in

sub category ‘Guidelines for
-Amendments in the provisions of Toll Plaza preparation of DPR’
consequent upon implementation of Electronic
Toll Collection (ETC)/FASTag on all lanes.
-Dated 24.05.2021
53. To be retained.
Included in sub category of

Policy guidelines no.10.1.29/2021 ‘RFP for AE/IE/Consultancy
-Technical Capacity provisions in RFP/Bidding Services’
of future consultancy assignments for maximum
works to be permitted to one Consultant Eligibility
in case of Joint Venture (JV)-reg.
-Dated 23.06.2021(this circlar is addendum to

S.no.50 to be merged in 50)
54. Policy Guidelines no. 3.1.31/2021 Included in sub category of
-Amendment to proforma for Omnibus Bank ‘RFP for AE/IE/Consultancy

Guarantee for
Services’
Consultancy
-Dated 24.06.2021
55. MoRTH Circular no. RW/NH-33044/88/2021- To be retained Included in

sub category of ‘RFP for
S&R(P&P) circulated by NHAI vide email dated
AE/IE/Consultancy Services’
22.09.2021
-Consultancy services for AE/IE – Regarding

Extension of
Time(EOT)
-Dated 09.09.2021
56. Office Memorandum File no. 13057/01/2021/IT Included in sub category of
-Provisions made in Data Lake Portal for decision ‘RFP for AE/IE/Consultancy
support while handling cases of replacement of
personnel of AE/IE including facility to check Services’
against existing list of blacklisted/ debarred
personnel.
-Dated 08.10.2021
57. Policy guidelines no.10.1.30/2021 To be retained Included
-Timely deployment and improving Quality of in sub category ‘Timely

Consultants (IE/AE/SC)
Engagement of AEs/IEs/SCs
-Dated 15.11.2021 and interview before LOA’
58. Circular no. NHAI/SRD&Q/PPP To be retained as per GOI
(MII)&GFR/2021/722 Directions Included in sub

-Proposed amendment in bidding documents of AE/IE/Consultancy Services’
Consultancy Contracts (AE,IE and DPR projects) to
make bidding documents compliant of revised rule for
Public Procurement (Preference to Make in India)
Order, 2017 and Rule 144(xi) of GFR.-Proposed
amendments in Consultancy RFPs
-Dated 07.12.2021
59. Criteria for assessment of concessionaire/ To be retained Included from

contractor /consultant Policy guidelines no. Criteria for assessment of
16.12/2022- concessionaire/contractor/
consultant Policy guidelines
-“Standard Operating Procedure to debar/penalize/ no. 16.12/2022 Included in
declare as Non-Performer the Authority’s sub category ‘Penal action
Engineer/Independent Engineer/Construction against consultants on their
Supervision Consultant/Project Management default’
Consultant in National Highways and centrally
sponsored road projects”.
-Dated 18.01.2022
60. Criteria for assessment of concessionaire/ To be retained Included from

contractor/consultant Policy guidelines no. Criteria for Assessment of
16.13/2022- concessionaire/contractor/
consultant Policy guidelines
-“Standard Operating Procedure to debar/penalize no. 16.12/2022 Included
/declare as Non-Performer the Authority’s
Engineer/Independent Engineer/Construction
Supervision Consultant/Project Management in sub category ‘Penal action

Consultant in National Highways and centrally against consultants on their
sponsored road projects. -Dated 25.01.2022 default’
(to be merged with S.No.55)
61. Policy guidelines no.10.1.31 To be weeded out
-Addendum to Standard RFP Documents for

engagement of Technical Consultants Extension of the
provision of reduced Omnibus Bank Guarantee up
to 31.03.2022 in the RFP documents – reg
-Dated 27.01.2022
62. Policy Guidelines no. 18.78/2022 To be retained Included in sub
-Guidelines for acceptance and award of single Category ‘Consultancy bid

tenders-reg. submission and evaluation
guidelines’
-Dated 18.02.2022

(Amendment)
Included in sub category
-Appointment of IE/AE/SC ‘Timely Engagement of
AEs/IEs/SCs and interview
-Dated 21.02.2022 before LOA’
To be merged with
10.1.21/2020
• Consultancy- ’10.1 Procurement’-

Sl.No.1,2,3,4,7,8,9,10,11,12,13,14,15,16,17,18,22,23,31,35,39,42,44,61(24Nos.)
have been weeded out.
• Included in the following category
a) ‘RFP for AE/IE/Consultancy Services’ Sr. no. 19, 24, 29, 30, 34, 37, 38, 43, 47,
49, 50, 51, 53, 54, 55, 56 and 58 (17Nos.) (After modification in the standard
RFP document in the relevant clauses these annexures maybe weeded out
which becomes irrelevant)
b) ‘Guidelines for preparation of DPR’ Sr. no. 6, 20, 27, 32, 45, 46 and 52 (7 Nos.)
c) ‘Consultancy bid submission and evaluation guidelines’ Sr. no. 5, 21, 25, 26,
28, 40, 41, 48 and 62 (9 Nos.)
d) ‘Timely Engagement of AEs/IEs/SCs and interview before LOA’ Sr. no. 33, 57
and 63 (3 Nos.)
e) ‘Penal action against consultants on their default’ Sr. no. 36, 59 and 60 (3
Nos.)
• All the above circulars issued so for shall be retained and available in the archive in
the NHAI library for reference.
• In future the deletion and insertion may be made as per requirement in respective
categories
Section: 10.2. Administration of Consultancy Contracts
Sub Subject
section
I. Delegation of Power.
II. Extension of Time and Change of Scope of Consultancy

Contracts.
III. Peer Review of DPRs.
IV. Engagement of Financial Consultants.
V. Generic issues and Miscellaneous.
V. Performance Rating of Consultants

10.2 Administration of Consultancy Contracts.
I: Delegation of Power for Project Supervision Consultant /Independent Engineer/Authority

Engineer:
S.No. Subject To Whom Extent of Remark

Delegated Delegation
1 Project Preparation/ Design Consultants (decision taken by NHAI Board in its meeting
held on 17.08.2017)
1.1 Procurement CGM(HQ) Full Powers (i) RFP shall be strictly

Invitation of RFP, as per the standard
Response to Pre-Bid format and evaluation
Queries, Evaluation shall be strictly as per
and the guidelines/manual
Recommendation for of NHAI.
Award(decision
taken by EC in its
meeting held on
(ii) Member(in-charge)
24.07.2017) in consultation with
1.2 Approval of CGM Full Powers Member(Fin) will
qualification decide on consultation
(Evaluation of of Evaluation
Technical Proposal) Committee CGM(HQ)
will decide on
recommendations of
Evaluation Committee
on all intermediate
stages of procurement.
However, if there is no
unanimity, Member(in-
charge) will decide.
1.3 Award of Work Concerned Full Powers (i) In case only a single
Member bid is received
normally tender
process may be
cancelled and
rebidding done by
giving 4 weeks notice.
(ii) If re-bidding also

results in receipt of
single bid then it
should be opened and
the bid amount should
be compared with the
estimated cost. In case
of the bid amount
being within 15% of the
estimated cost, then
acceptance of the bid
may be considered
with proper justification
and reasons.
(iii) If the justification

given for the
acceptance of bid is
found reasonable then
the consultancy
proposal should be
accepted by the next
higher authority i.e., by
the Chairman.

Mobilization Advance
CGM/RO Full Powers as
per provisions of
contract.
1.5 Grant of EOT (with or Chairman Full Powers in

without levy of LD/ case extra cost is
Penalty, but with no involved and for
extra cost) review & appeal
Member Full Powers in

case of EOT with
no extra cost
CGM/RO Full Powers for

EOT upto 100%
of Contract Period
1.6 Change of Scope of Member Full Powers

Works
CGM/RO 20% of Contract
Value
2. Project Supervision Consultant /Independent Engineer/Authority Engineer (Decision taken by

NHAI Board in its meeting held on 17.08.2017
2.1 Procurement (i) RFP shall be

strictly as per the
Invitation of RFP, standard format and
Response to Pre-bid evaluation shall be
Queries, Evaluation strictly as per the
and guidelines/manual of
Recommendation for NHAI.
Award(decision
taken by EC in its
meeting held on (ii) Member (in-
dated 24.07.2017) charge) in consultation
with Member (Fin.) will
(i) constructi CGM(HQ) Full Powers decide on constitution
on stage of evaluation
(ii) O&M RO Full Powers committee. CGM (HQ)
stage will decide on
recommendation of
Evaluation Committee
on all intermediate
stages of procurement.
However, if there is no
unanimity ,Member (in-
charge) will decide
2.2 Approval of CGM/RO Full Powers CGM at HQ during
qualification construction stage and
RO during O&M stage
Evaluation of are entrusted with the

Technical Proposal work of procurement.
2.3 Approval of Award Concerned Member Full Powers (i) In case of

single bid received,
normally tender
process may be
cancelled and
rebidding done by
giving 4 week notice.
(ii) If re-bidding
also results in the
receipt of single bid
then it should be
opened and the bid
amount should be
compared with the
estimated cost. In case
of the bid amount
being within 15% of the
estimated cost, then
the acceptance of the
bid may be considered
with proper justification
and reasons.
(iii) If the
justification given for
the acceptance of bid
is found reasonable
then the consultancy
proposal should be
accepted by the next
higher authority i.e. by
the Chairman.
Mobilization
Advance CGM/RO Full Powers as
per provisions of
Contract
Chairman Full Powers (i) Subject to the

Consultant having
Member Full Powers recommended EOT of
provided financial Contractor/Concession
implications are aire of NHAI
2.5 Grant of EOT limited to 50% (ii) The Contract
[100% with the value is excluding of
consent of taxes
Member (Fin)] of
the contact value
CGM/RO Full Powers

financial
implications are
limited to 25%
Chairman Full Power The Contract value is

excluding of taxes
2.6 Change of Scope Member Up to 50% of
Contact value
CGM/RO Up to 20% of
Contact value
2. Subject: Delegation of powers to remove/replace staff of consultants.
2.1. Delegation of power to remove/replace staff of consultants, has been reviewed by the
Competent Authority and it has been decided that these powers shall henceforth be delegated
as follows:
S. Officer to whom power is delegated Extent of Delegation
No.
a) Chairman Full Powers
b) Member Full Powers, as per terms of contract
c) CGM Full Powers (except in respect of Team Leader)

as per term of contract
d) Project Director Full Powers in respect of support staff (except

key personnel), as per terms of contract.
2.2. Proposals for removal/ replacement of personnel in consultancy contracts may henceforth
be submitted /processed in accordance with above mentioned delegation of powers.
II: ‘Extension of Time and Change of Scope of Consultancy Contracts’
Guidelines regarding processing of extension of time cases relating to Supervision Consultancy

and Independent Engineer services were issued vide Policy Circular (Technical) No.121/2013
dated 08.01.2013.
1.2. It has been noted that these guidelines are not being followed scrupulously and there
have been references regarding delay in submission and approval of extension of time
proposals and consequently non-payment of amount due, which are billed as per actual by the
consultants. The matter has been considered and following has been decided with the approval
of the Competent Authority:-
i) Pending grant of EOT to the Consultancy Contracts the amount due for overstay on the
project and which are billed as per actual may be paid without linking the same with EOT
approvals.
ii) All pending proposals of extension of time of consultancy contracts shall be submitted by
RO/PDs within one month. Technical Divisions shall process these proposals and proposals
already received by them within a period of 15 days.
iii) Guidelines issued vide policy circular bearing No.11041/218/2007•Admn dated 08.01.2013
regarding processing extension of time cases of consultancy contract shall henceforth
be followed scrupulously by ROs/PDs/Technical Divisions.
1. Finalization of Extension of Time (EOT) and Change of Scope (COS) proposals in

Consultancy Contracts - Reg.
2.1 Policy Guidelines No. 18.24/2017 dated 21.8.2017 provide for Delegation of Power
in respect of grant of Extension of Time (EOT) and Change of Scope (COS) for DPR
Consultancy and Supervision/ Independent Engineer/ Authority Engineer Consultancy
Contracts. In partial modification of Delegation of Power under Serial. No. 6.5,7.5and7.6of the
said policy guidelines, it has been decided to constitute a Committee comprising Member
(F), Member concerned and CGM (T), HQ [or GM (T) where CGM(T) not in position] to
finalize the Extension of Time (EOT) and Change of Scope(COS) proposals for the following
cases:
(i) For DPR Consultancy:
(a) Grant of EOT in cases where extra cost is involved.
(ii) For Project Supervision Consultant/ Independent Engineer/ Authority Engineer:
(a) Grant of EOT having financial implication of more than 50%.
(b) Change of Scope involving more than 50% of contract value.
2.2 For this purpose, the Datalake portal shall be used (URL:
https://datalakeg.nhai.gov.in/NHAI/). CGM (T) at HQ will upload the agenda items, necessarily
with clear cut recommendations, on Datalake through their login and forward the same to
COS/EOT Committee. The aforesaid committee shall meet every week on Thursday or as
decided by the Committee to deliberate and take decisions on agenda items. The steps to be
followed in this regard on Datalake are enclosed.
2.3. Once the competent authority has approved EOT/COS of Consultancy Contracts, the
revised consultancy contract value as per approval is deemed to be the revised sanction
and Finance Division shall make necessary corrections in the sanctions, accordingly,
without any further reference/ file from Tech. Division.
2.4. The SRD&Q Division will be the nodal division in this regard
Ready to use steps to be followed:
Step 1: Url : https://datalakeg.nhai.gov.in/NHAI/
Step 2: CGM Login: View and Manage COS /EOT
Step 3: Once CGM logged in, DPR COS, DPR EOT and AE/IE/SC COS -EOT modules will be
.visible. They have to select any module:
Step 4: Once any of the module will be selected then, they have to select Set Target Date
Step 5: Once Target Date Set, CGM has multiple options as per following screen:
If CGM wants to recommend same to EOT/COS Committee, then they have to select
EOT/COS committee and upload agenda item with clear cut recommendation and the
EOT/COS will be automatically forwarded to EOT/COS Committee. The status will be
submitted to EOT/COS Committee.
Step 6: SRD&Q division will be able to see the document under their loo in and
they will consolidate the agenda received for consideration of the committee.
Step 7: SRD&Q will Get the option to upload minutes of Meeting of the Committee for EOT/
COS and the same will be forwarded to Finance for revision of sanction.
Step 8: CGM (T) has to prepare approval/ sanction letter based on decision of committee as
per exist no process.
2. Subject: Consultancy services for Authority's Engineer/Independent Engineer — Regarding

Extension of Time (EOT).
It has been decided that no Extension Of Time (EOT) shall be given to ongoing consultancy services
(AE/IE/PMC), which have been appointed for supervision of construction and maintenance works of
a project. In case of delay in construction, services of AE/IE/PMC shall he concluded after completion
of original consultancy period (project preparation* + construction + maintenance) mentioned in the
contract. Hence, para-3 of circular no. RW-NH-34048/7/2013-S&R(B) dated 29.10.2018 of the
Ministry is modified as under:
"In cases where EoT is granted to the civil works contractor, the consultancy period of Authority's
Engineer shall be extended for construction period only subject to the condition that consultancy
period shall be concluded after completion of original consultancy period including maintenance
period."
* applicable for PMC services only
3.2. Model RFP document for Authority's Engineer issued vide Ministry's letter no.
RW/NI-1-39011/30/2015-P&P (Pt-I) dated 15,02.2019 shall be modified as below:
Sr Reference Existing Clause Modified Clause

no. Clause
1 Clause Extension of Time for providing Extension of Time for providing
13.1.1 of services of the Authority's Engineer services of the Authority's
Section 6 maybe extended concurrently with Engineer may be
(last the Extension of Time granted, if extended concurrently with the
sentence) any, to the EPC Contractor for the Extension of Time granted, if any, to
project, subject to satisfactory the CPC Contractor for the project, to
subject performance of the satisfactory performance of the
Authority's Engineer, Authority's Engineer and limited
to original period of consultancy
services.
2 Clause Any period within which a Party Any Any period within which a Party shall,
2.7.4 of shall, pursuant to this Contract, pursuant to this Contract, complete
Section 7 complete any action or any action or task, be extended
task, shall be extended for a period for a period equal to the time
shall equal to the time during which during which Party was unable
such Party was unable to to such action as a result of Force
such Majeure.
perform such action as a result
perform of Force Majeure. Extension of Time for providing
services of the Authority's
Extension of Time for providing Engineer may be extended
services of the concurrently with the Extension of
Authority's Time granted, if any, to the EPC
Engineer shall be Contractor for the project, to
extended satisfactory performance of the
concurrently with the Extension of Authority's Engineer and limited
Time granted, if any, to the EPC to original period of consultant
Contractor for the project, subject services.
to satisfactory performance of
the Authority's subject Engineer.
3.3. Necessary amendments shall also be incorporated in the REP for Independent Engineer/
Project Management Consultant (PMC) on the above lines before invitation of proposals.
III. Peer Review of DPRs by engaging retired government officers - reg.
1.1 NHAI largely depends on services of consultancy firms for preparation of Feasibility
Reports/ Detailed Project Reports so as to form the basis of works contract. Hence, it is
inevitable to ensure that all the aspects of the Project Highway are correctly covered in the
DPR as poor planning at DPR stage often leads to time & cost overruns.
1.2. While the focus is on reducing cost of construction by bringing in efficiency without
compromising on the quality, negligence during the pre-construction/ DPR stage may
affect the national exchequer adversely in terms of Change of Scopes/ Variations which are
mostly identified during the project execution.
1.3 Despite the explicit guidelines & contractual provisions in place, several deficiencies
have been observed in the services of consultancy firms which includes, but not limited to, the
following:
(i) Poor physical survey of proposed/ existing ROW

(ii) Deficiencies in land acquisition in terms of missing/ extra plots
(iii) Exclusion of various assets of proposed land to be acquired
(iv) Incorrect assessment of forest land & trees resulting into delay in obtaining their
clearances
(v) Lack of public consultation with local residents/ authorities
(vi) Inadequate design of drainage system along the Highway
(vii) Negligence in detailed hydrological studies resulting in incorrect design of cross drainage
structures
(viii) Improper utility relocation plan, particularly with respect to sub-surface utilities
(ix) Incorrect sub-soil/ geotechnical investigations leading to wrong designs of Structures/
Pavements
(x) Incorrect preparation of Plan and Profile and poor data collection with respect to Highest
Flood Level (HFL)
(xi) Poor preparation of physical inventory of cross drainage structures
(xii) Retention of distressed/ inappropriate structures due to poor condition assessment
(xiii) Inadequate geometric design jeopardizing Road Safety Issues
(xiv) Improper Project Facilities
(xv) New/ alternative/ unconventional technologies are not considered
(xvi) Selection of unsuitable toll plaza location and necessity of re-designing toll
lanes in view of electronic toll collection
1.4. In view of above, it has been decided to adopt the following procedure for peer review of
the DPRs
(i) Eligibility: Retired government officers of the rank of Chief Engineer or equivalent and
above with minimum 10 year experience in Highway/ Bridges, provided there is no conflict
of interest with the DPR consultancy firm. A certificate to this extent may be obtained from
the retired officers.
(ii)The terms of reference of peer reviewers is specified in Annexure-1.
The entrustment of DPRs for peer review to the retired officers will be assigned by Member
(Proj.) through concerned CGM (T). Not more than two DPR
packages will be awarded to one person at a time for Peer Review. The retired
officers settled near the project reach may be preferred for the assignment.
(iii) Though request for empanelment will be invited through NHAI website on the continuing
basis i.e. without any time limit, a list of officers retired from different central/ state
government departments is identified & given in Annexure-2.
(iv) A formal consent on the terms may be obtained prior to assigning the DPR to the retired
officers for peer review. The officer undertaking the peer review shall also certify that he was
not associated with the preparation of DPR & has no conflict of interest with the DPR
consultancy firm.
(v) One DPR package is expected to be reviewed in 15 days time (including site inspection
with PD and discussion as necessary with concerned CGM/ GM at HQ of NHAI, New Delhi
for which prior permission from concerned CGM shall be obtained). Inordinate delay or delay
beyond 30 days will result in no future work being entrusted to the Officer.
(vi) For Peer Review of one DPR package (irrespective of the length), a consolidated
remuneration of Rs.1,00,000/+ TA/DA (against proper vouchers) as per
entitlement of CGMs of NHAI can be given. Taxes, if any, will be paid by NHAI.
1.5. Henceforth, DPRs for those packages which are already completed and bids are yet to be
invited shall necessarily be referred for peer review to the officers listed at Annexure-2 or
empanelled subsequently.
IV. Engagement of Financial Consultants’
1. Engagement of Financial Consultants for Evaluation of Bids of Supervision Consultant

(SC)/Authority Engineer (AE)/Independent Engineer (IE) and other assignments of
Technical Consultants for NHAI's Projects - reg.
1.1 Vide policy circular No. 10.2.21/2020 dated 28.02.2020, Member concerned has been
authorized to allow engagement of a Financial Consultant for evaluating the bids of the
Technical Consultants.
Now, the Competent Authority has approved revised fee of Rs. 9,500/- + taxes as applicable
per bid for the current Financial Year (2021-22) with a provision of escalation @ 5% for the
subsequent years. The increase of 5% every year shall take effect w.e.f. 1st April of the year.
V. ‘Generic issues and Miscellaneous’
1. Inviting suggestions/comments of State Authorities while finalizing the DPRs.
1.1 It has been observed that there is no formal arrangement for involving State Authorities in
finalization of DPRs. This leads to a situation where objections are raised by the Authorities
during the implementation of the work.
1.2. In view of the above, it has been decided that prior to finalization of DPRs, participation of
State Authorities should be ensured in order to incorporate their views/comments in the project
preparation. Accordingly, following actions are to be taken by the concerned Technical
Divisions:
(i) At the time of finalization of DPR, the concerned Chief Engineer of the National Highway
Division of the State may be invited to participate in the discussion.
(ii) Prior to sending proposals to Government, the concerned Nodal Officer of the State
may also be invited for discussion. A copy of the DPR may also be made available to
the Nodal Officer.
2. Generic Issues arising in evaluation of Technical Bids in the Consultancy

Assignments of Authority Engineer/ Independent Engineer/ Supervision
Consultant.
2.1. Blocking of CVs of Key Personnel in ongoing consultancy assignments on INFRACON

Portal: All Technical Divisions should make the necessary data entry in the Post-Award
Module to store the information about the Key Personnel being deployed on the ongoing
projects so that such Key Personnel are not available on full-time basis for other bids till
the completion of their current assignments.
2.2. Committee to decide a common approach within NHAI on the Generic Issues arising in
evaluation of Technical Bids in the consultancy assignments:
A committee headed by Member (P) has been constituted with CGM (SRD&Q) and
concerned CGM (T) as members to address any related issues. This Committee would
deliberate on the issues placed before it and decide a common approach to followed by
all concerned in the NHAI. The SRD&Q Division shall issue the guidelines with the
approval of the Chairman of the Committee [i.e. Member (P)]. All the Technical Divisions
may refer any such issue to CGM (SRD&Q) for placing before the above committee.
3. Discontinuation of issuance of circulars seeking details of ongoing consultancies &

deterrent actions on consultants/ personnel - Reg.
3.1 The Executive Committee in its 395th meeting has decided that all the Technical Divisions
to stop issuing the circulars seeking thereby the details of ongoing consultancies & deterrent
actions on the consultants/ personnel for evaluation of RFPs/ CVs of the consultants.
3.2 In view of above, all the technical divisions are hereby advised to fill all the details of
engagement in the post award module of INFRACON and to submit the details of deterrent
action/ blacklisting, wherever the action is valid as on date, to the IT Division & INFRACON
(NHIDCL) within 7 days.
3.3 Subsequently, CGM (IT) shall ensure that such details are updated on NHAI website in
searchable/ sortable format, accordingly.
3.4 Thereafter, all the technical divisions shall only refer the NHAI website/ INFRACON portal
& the practice of issuing circulars seeking details of engagement of personnel and deterrent
action on consultant/ personnel be discontinued.
3.5 These instructions should be followed strictly for all future cases, accordingly.
4. Uniform policy to decide the deterrent action against the consulting firms/ key
personnel – Reg.
4.1 NHAI has issued guidelines on “Deterrent penalty action against defaulting consultants” vide
Policy Matter: Technical (97/2012) dated 17.04.2012 for a uniform approach, while dealing with
matters related to Errors, Omissions & Commissions or Misconduct of Consultants. Further,
vide NHAI policy guidelines no. 10.2.18/2019 dated 11.06.2019, it was decided to dispense
with the committee of 3 CGMs & the respective CGM was to deal with such cases.
4.2. It has come to the notice that the different technical divisions are adopting different policies
while deciding upon the extent of deterrent action against the consulting firms for proven
misrepresentation of facts and fraudulent practices by the consulting firm/ key personnel. In
order to have uniformity within the organization, following approach shall be adopted.
S.
Type of Default Action to be taken
No
Consulting Firm’s experience/

document is found to be false at
1. Debarment of the firm for a period of 2 years.
any stage i.e., from bidding to
completion of the project.
(i) For all stages of DPR Consultancy Contracts /

Before Commencement of AE & IE Contracts:
CV of key personnel to be rejected and individual to

be blacklisted for a period of 3 years. The CV shall be
assigned zero marks, but evaluation of the proposal
shall continue.
In case of 1st instance, the bidding firm to be warned

At any stage, if the CV of key
and a penalty of Rs. 2.0 Lakh to be levied.
personnel is found to be
2. inflated/ false & the experience In case of 2nd instance, the bidding firm to be warned
is claimed with a firm other than again and a penalty of Rs. 5.0 Lakh to be levied.
the bidder.
For repeated cases, an incremental penalty of Rs. 5.0
Lakh to be added from 3rd instance onward on the
consulting firm.
(i) After Commencement of AE & IE Contracts:
Key personnel to be blacklisted for a period of 3 years.

Monetary penalty to be imposed as per clause 9 of the

GCC on Fake CVs.
At any stage, if the CV of key CV of key personnel to be rejected and individual to

personnel is found to be be blacklisted for a period of 3 years.
3. inflated/ false & the experience Debarment of the bidding consulting firm for a period
is claimed with the bidding of 2 years. The proposal (RFP) of the bidder shall be
consulting firm itself. cancelled.
If it is established that the individual has given consent

for the new assignment prior to 3 months before the
completion of original or extended tenure of
assignment in hand, the individual to be blacklisted for
If a key personnel is already a period of 3 years. In such case, no action will be
engaged in other ongoing taken against the firm. The CV shall be assigned zero
4. works on NHAI/ MoRTH/ marks, but evaluation of the proposal shall continue.
NHIDCL & applies for a new
assignment/ consulting firm. If it is established that the individual has not given
consent for the new assignment, the consulting firm
be debarred for a period of 2 years. The proposal
(RFP) of the bidder shall be cancelled. In such case,
no action will be taken against the individual.
CV of each candidate will be rejected and individual to

If the academic credentials of be blacklisted for 3 years.
5. any candidate is found false/
Information will be sent to INFRACON portal.
fake at any point of time.
No action should be taken against the bidding firm.
The consulting firm to be warned and a penalty of Rs.

2.0 Lakh in case of 1st instance and debarment of the
associate for one year.
The consulting firm to be warned again and a penalty

Ownership of equipment in
of Rs.5.0 Lakh in case of 2nd instance and debarment
6. case of Associate partner is
of the associate for one year.
found to be false.
For repeated cases (more than 2 instances), bidding
firm’s debarment for a period of 2 year may be
considered and debarment of the associate for 3
years.
Note: Due process of issuing notice, examining the reply, giving personal hearing, if sought, etc.
shall be followed before levy of penalty/ debarment, as given above.
4.3. In this regard, it is also clarified that the above methodology shall be applied for future cases
only. In other words, it shall not be applicable to past/old cases where certain decision were
already taken and communicated to all concerned.
4.4. Further, the deterrent actions taken against the consulting firms in the past on account of
above specified defaults shall be considered in future cases to decide upon the applicability of
second/ repeated instances.
4.5. The actions to be taken for various other defaults not listed above will be in accordance
with the provisions of respective RFP/ contract documents.
5. Issues encountered by Stakeholders during Implementation of Projects.
A detailed discussion was held with various stakeholders regarding issues encountered by
them during implementation of projects and on the basis of feedback/suggestions received
from them, following decisions were taken to address the issues raised by them for compliance
by all concerned:
SI. Suggestion/Issue Decision Taken Action By

No.
A) GENERAL ISSUES
01. Regular meetings at PIU level ROs & PDs to hold meetings All ROs and PDs
with AE/IE/Contractors through VCs, especially during
through Video Conferences. COVID Regime.
02 Clarification to be issued For various computations All ROs, PDs and

regarding use of more than 3 regarding progress Finance
digits after decimal in percentage and related Officers in ROs
computation of various payments, use of only 3 digits and PIUs
calculations regarding after decimal or as specified in
progress percentage and the contract shall be used.
related payments.
03 Videography of Project at the NHAI may provide complete All CGM (T) and
time of DPR and pre survey of DPR along with NSV/LIDAR GM (T) at HQ.All
Project should be provided to data as per the availability to ROs, PDs
bidder along with RFP. bidders.
04. In case approved GAD of Technical divisions

ROB is not available at the shall ensure
time of bidding, any approved GAD is available at All CGM (T) and
deviation during execution the time of bidding. However in GM(T) at HQ. All
should be treated as Change case of any change in finally ROs, PDs
of Scope under the approved ROB drawing for
Contract. execution compared to
drawing issued during bidding
process, the same shall be
treated under CoS.
05. Even after disbursement of PDs to ensure that after All PDs
the compensation, in many disbursement, proper
Projects, no document is documents related to taking
available with NHAI for taking over of possession of land are
over of possession of land obtained from CALAs/
from land owner. Revenue Authority.
06. Issuance of IPCs and Timelines for IPC payment All ROs, PDs and
payment thereof as per the given in agreements should be Finance Officers in
timeline and in the manner strictly adhered to. In case of ROs and PIUs.
provided in the agreement deduction/ withholding of any
must be ensured. payment, contractor should be
duly informed the reasons
thereof. Further, compliance of
guidelines issued for
“Submission of bills related to
project payments of NHAI
through PMS/ Data Lake Portal
vide NHAI/ Policy Guidelines/

Project Payment/ 2020 No.
6.23/2020 dated 15th
September, 2020 shall be
ensured.
07. Obligations of AE/IE to be ROs and PDs to ensure All ROs and PDs
strictly fulfilled / monitored strict monitoring of obligations
such as providing of AE/IE.
Monthly Inspection
Report (the "Inspection
Report") to the
Authority and the
Contractor.
08. Payment of Miscellaneous In case all works are All ROs and PDs
Items in Schedule G and H. completed as per scope,
payment against misc. items to
be released without seeking
any additional details.
09. Frequent extension of Bid Due There shall not be more than 2 All CGM(T) and
Date be avoided. extensions except in GM(T) at HQ
exceptional cases.
B) EPC PROJECTS BASED ON OLD MODEL OF EPC AGREEMENTS
01. Contrary to the provisions of In case PD and RO have no All ROs and PDs
NHAI circular dated material observation on AE's
02.08.2018, the proposal, the date proposed by
Provisional/ Completion AE may be agreed for
certificate should be issued Provisional Certificate/
w.e.f. the date of successful Completion Certificate.
completion of the Tests, as
defined in Schedule K of
Agreement.
02. NHAI, PIUs continue to insist The works once de-scoped, to All CGM(T), GM(T)
on the Contractor to take up be taken up with the mutual at HQ & All
works in some stretches after consent of both the parties PDs and ROs
land is made available even only.
after de-scoping of works by
competent authority.
03. In EPC Agreements, the In future EPC bids, it may All CGM(T), GM(T)
Authority insists for payment be incorporated that the at HQ & All
of electricity bill for highway Authority will bear the cost of PDs and ROs
lighting during electricity charges of highway
maintenance period on the lighting.
basis of Manual
provisions, which
is actually an
obligation of a
Concessionaire in the 0 & M
Period in a PPP Agreement.
C) CONCESSION AGREEMENT BASED ON HAM (HYBRID ANNUITY MODEL)
01. If EOT is necessary and In case EoT is granted on All CGM(T),

granted due to default of the Authority's default, GM(T) at HQ &
Authority, maintenance of expenditure against All PDs and ROs
existing road should be paid to maintenance of the affected
stretches of the existing road
beyond the scheduled
the Concessionaire beyond completion date will be borne

Scheduled Completion Date. by Authority.
02. C&G should be allowed in ROW demarcation and All ROs & PDs
development period to identify possession to be allowed
any encumbrances existing on during Development Period.
the site.
03. Applicability of Policy The provisions of circulars All CGM(T), GM(T)

Circulars issued after Bid Due issued by NHAI after Bid at HQ & All PDs and
Date. Due date can be made ROs
applicable with mutual consent
of both the parties.
04. Circular dated 14.08.2020 of Can be agreed on case to case All CGM(T), GM(T)
NHAI with respect to reduction basis with mutual consent of at HQ & All PDs and
in scope in HAM Projects both the parties, in case ROs
should not be applied for the of HAM Projects, where more
projects where more than than 90% progress has already
90% progress has already been achieved.
been achieved.
D) COVID RELIEF/ATMNIRBHAR BHARAT
The Delegation of Powers in Para (ii) of Circular Policy No. 18.46/2020 dated
22.06.2020 is modified to following extent
Relief Procedure Delegation of

Powers
(ii) Extension of Time Whenever an application is Project Director for

to Contractor/Concessionaire made by a contractor/ Extension of Time
for meeting their obligation concessionaire who is not in of three months
under the Contract for 03 default of any contractual
months to upto 06months obligations and where FMC
depending on site is invoked by a
conditions. contractor/concessionaire
and the requirement of
FMC are fulfilled, interim/final
extension of three months of
construction period without
imposition of any cost or
penalty shall be granted.
Extension of more than three Regional Officer for

months and upto 6 Extension of Time
months may be decided and of more than three
granted without imposition of months and upto six
any cost or penalty months.
based on specific
circumstances of the case.
E) PROJECT PREPARATION
01. Prior to finalization of Land The DPR consultants are All PDs
Acquisition Plan, the required to ensure correctness
proposed centre line must be of land acquisition process. All
verified. PDs to ensure that correct
alignment is transferred by
DPR consultants on ground by
demarcating with reference
points/boundary pillars.
02. Provision of Sight Distance The plan and profile as well as All ROs & PDs
(ISD and SSD) Schedule-B should clearly
show/ mention requirement of
ISD or SSD. ROs and PDs
shall ensure the same at the
time of preparation of
DPRs/Bidding documents.
03. Location and type of Junctions The location and type of All ROs & PDs
to be developed to be clearly junctions should be clearly
defined in the Scope of Work mentioned in Schedule-B and
and the required ROW to be acquired.
required ROW must be ROs and PDs shall ensure the
acquired. same at the time of preparation
of DPRs/Bidding documents.
04. Words "Tentative, Schedule-B & C should clearly All ROs & PDs
approximate, minimum etc." mention the scope of work.
must not be used in defining the ROs and PDs shall ensure the
Scope same at the time of preparation
05. Digitisation of survey All survey data collected will be All ROs and PDs,
conducted by various DPR made available to agencies. CGM(IT), NHAI-HQ
consultants and creation of PDs to send digitized data of
data base under one their respective DPRs to IT
platform needs to be done for Division for uploading on DATA
all projects PAN INDIA. Lake.
06. Provision for Rain Schedule-B should clearly All ROs & PDs
Water Harvesting should mention the provision of
be clearly defined in Rain Water Harvesting
Scope of work in Schedule B requirement in each project.
or C. ROs and PDs shall ensure the
same at the time of preparation
of DPRs/Bidding
documents.
07. Standard drawings for Toll NHAI to provide broad All ROs & PDs
plazas, Toll Building, Way side framework and minimum
amenities / Service Areas, requirements. Detailed
Truck bays/ Bus bays, Traffic architectural design should be
Aid post, Medical Aid based on local characteristics.
post/ROW boundary wall must ROs and PDs shall ensure the
be issued to all bidders. same at the time of preparation
08. Scope of Works in the Project Schedule-B & C should clearly All ROs & PDs
should be precisely defined in mention the scope of work.
Schedule B & C. ROs and PDs shall ensure the
same at the time of preparation
6 Mandatory Association of the Engineering/ Technical Institutes who adopted NH

stretches under MoU with NHAI in preparation of DPR/Feasibility Report.
6.1 The standard RFP document for engagement of DPR Consultant, as one of the primary task
in the Terms of Reference [Ref. Para 4.1.ii (a) of Appendix-I], envisages the public consultation
including consultation with communities located along the road, NGOs working in the area,
other stakeholders and relevant Government Departments at all different stages of assignment
(such as inception stage, feasibility stage, preliminary design stage and final designs).
6.2. NHAI has recently entered into MoUs with Engineering/ Technical Institutes to associate
with NHAI for adoption of highway stretches voluntarily.
6.3. Now it has been decided that as part of stakeholder's consultation, PD and DPR Consultant
shall associate the Engineering/ Technical Institute which have adopted the highway stretch
under MoU with NHAI and take their feedback mandatorily at each & every stage of
preparation of DPR/ Feasibility Report. However, such feedback will be suggestive in nature
and NHAI will not be bound to accept these recommendations, but each suggestion will be
seriously considered, on its merit.
6.4. The respective Project Directors are therefore directed to consult such institutes and obtain
their feedback/suggestions minimum at the following stages:
a. Alignment Finalization including alignments of Bypasses;
b. Finalization of locations of intersections, structures such as

underpasses/overpasses etc.
c. At final DPR stage.
7. SOP for rates of Network Survey Vehicle (NSV) Survey till empanelment of agencies.
7.1 Carrying out the road condition survey using Network Survey Vehicle (NSV) on the National
Highways has been made mandatory at the time of certifying completion of the project and also
every six months thereafter. This provision is now part of the Standard RFP Documents of
Consultancy Services for AE/ IE/ Supervision Consultant.
7.2 However, it has been observed that some consultancy contracts which were finalized prior to
2017 based on old RFP documents do not have this provision. MoRT&H has also emphasized
vide their Policy on the subject dated 13.11.2019 (Ref. Para-5) (Annexure- 3) that the condition
of the roads has to be assessed using NSV in respect of contracts where provision for use of
NSV does not exist and the rates for NSV survey are to be decided by the Project- in-Charge.
7.3 It is intimated that action for empanelment of agencies for NSV survey is being taken by IT
Division at HQ, which may take a few weeks.
7.4 Further, the rates of NSV survey are available in the existing consultancy contracts with the ROs
(where NSV survey is specified in RFP) and the rates finalized through quotations in compliance
of MoRT&H Policy Guidelines mentioned above may also be available with some ROs.
Therefore, the ROs may carry out due diligence of the available rates in their region and decide
the rate/ agency to meet the immediate need of NSV survey within their region.
7.5 After finalization of the agencies by IT Division at HQ, the work of NSV survey shall be got carried
out through such agencies on the terms & conditions so finalized by the IT Division.
8. Attendance Management System (AMS) for NHAI's AEs/ IEs/ Consultant.
8.1 NHAI has developed an advanced Face Recognition location based Mobile Application
System (e-Attendance System) to track and monitor attendance of key personnel deployed by
AEs/ IEs a consultants for the projects. This system is integrated with Data Lake/ PMS Portal.
The application uses facial recognition, GPS based location identification enabling a user to mark
their daily attendance. The system will automatically capture date and time of log in and log out.
User will mark their attendance daily by signing-in, in the morning and sign-out, at the end of the
day.
8.2 The e-Attendance System is mandatory with effect from 20 January 2021 for all key personnel /
engineers deployed by AE/ IE/ Consultant as per their contracts.
VI. Performance Rating of Consultants
1. Formation of Management Committee for bi-annual performance review of Consultancy

Contracts.
1.1 It has been observed that there are several issues affecting the performance under the
Consultancy Contracts. The performance under such Consultancy Contracts, therefore, needs
to be reviewed at regular intervals at NHAI HQ to ensure better project management by SC
/IE/AE/DPR Consultants.
1.2. A Consultancy Management Committee comprising the following members is hereby

constituted for bi-annual performance review of all Consultancy Contracts for various States:-
i. Member as mentioned under para 3
ii. Concerned CGM (T) at HQ
iii. CGM (T) as mentioned under para 3
iv. Concerned RO
1.3. The Committee will bi-annually review all Consultancy Contracts in progress under Regional
Officer and upload the performance report on Datalake on regular basis. The Committee will
review the following aspects in each Consultancy Contract: -
i. Performance of the Consultant in respect of the issues stated in the
Policy Circular No. 16.12/2022 dated 18.01.2022 and 16.13/2022 dated 25.01.2022.
ii. Availability of Key Personnel and timely replacements as per contract documents.
iii. Timely payments to the Consultancy Firm.
iv. Timely approval of EOT and COS cases of the Consultants.
v. Any other relevant issues in the Consultancy Contract, as decided by the
Committee.
S States Member CGM(T)

No.
1 Andhra Pradesh, Telangana, Member(A) Sh. S.K. Mishra

Odisha, Chhattisgarh, West
Bengal and North-East
2 Punjab, Haryana, Uttarakhand, Member(P)-RKP Sh. Navin Kumar

Himachal Pradesh, J&K, Delhi
3 Rajasthan, Bihar, Jharkhand, Member(P)-MK Sh. Amarendra

Maharashtra, Goa Kumar
4 Uttar Pradesh, Gujarat, Madhya Member(T)-MS Sh. L.P. Padhy

Pradesh, Karnataka, Tamil Nadu,
Puducherry and Kerala
This issues with the approval of the competent authority.
(Chandan Vats)
CGM (Coordination)
NHAI HQ
To
All officers of NHAI HQ/ROs/PIUs/CMUs/Site Officers
Copy to:
1. PS to Chairman
2. Ps to all Members/CVO
3. Hindi Officers for translation in Hindi
4. Library for hosting the circular on library site
5. Web admin for circulation
List of Annexures/Enclosures for Master Circular of “Category of Consultancy”
10.2 Administration of Consultancy Services
S No. Sub category of 10.2Annexure/Enclosure No. Page no. (From

Administration of - to)
A. Consultancy Services
1. Annexure-1 TOR for retired officers 27-28

for peer review of DPRs
(c) Peer Review of
2 DPRs Annexure-2 List of Retired officers 29-31
under consideration for Peer Review of
DPR
3 (e)Generic issues and Annexure-3 MoRTH Policy Guidelines 32-33

Miscellaneous for surveying with NSV
Annexure -1
Annexure - 2
Annexure – 3
List of Policy Circulars issued upto date and available in library website under ‘10.2
Administration of Consultancy Contracts
Sr. No Policy guidelines No subject details with date Remarks

of issuance
Under Administration of consultancy
contracts
1. Policy guidelines no.53/2003 To be Weeded out

-Guidelines for award of additional work to
DPR/Supervision Consultants
-Dated 28.08.2003
2. Policy guidelines no.87/2004 To be weeded out

-Guidelines for approval of variations, grant of
EOT, sanction of estimates, award of work
orders/contracts, release of payments, etc.
-Dated 12.07.2004

-Evaluation procedure of bids received from
Consultancy firms for DPR preparation.
-Dated 7.12.2005

-General issues of Key Personnel in various
Consultancy projects –reg.
-Dated 11.10.2006
5. Policy guidelines no. 01/2007 To be Weeded out

-Relaxation in qualification criteria for Survey
Engineer engaged by Independent Consultants as
sub professional staff on ongoing BOT Project
-Dated 23.01.2007

-Relaxation in qualification criteria for Survey
Engineer engaged by General issues of Key
Personnel in various Consultancy projects –reg.
-Dated 23.02.2007
7. Policy guidelines no. 14/2007 To be retained

-Delegation of powers to remove/replace staff of Included in sub
consultants category ‘Delegation
-Dated 20.07.2007 of Power
8. Policy guidelines no. 06/2008 To be Weeded out As

-Performance rating of agencies deployed for performance rating is
Project Supervision Consultancy, including to be done in Data
formulation of monitoring system, to track Lake
performance
-Dated 22.01.2008
9. Policy guidelines no. 9/2008 To be retained

-Inviting suggestions/comments of State Included in sub
Authorities while finalizing the DPRs. category ‘Generic
-Dated 03.03.2008 Issues and
Miscellaneous’

-Evolving a procedure to check the authenticity of
documents submitted by the consultants
-Dated 15.07.2008

-Induction of provision of engagement
horticulturist in the scope of work of independent
engineers for BOT project
-Dated 06.04.2010

-Contract Agreements (EPC Works) / Concession
Agreements (BOT/Annuity Projects)/Consultancy
Agreements for Feasibility Study & DPR /
Supervision Consultancy and Agreements for
Independent Consultancy Services – Authorized
Representative of Employer (NHAI)
-Dated 06.06.2011
13. Policy Matter Technical no. 97/2012 To be weeded out

-Deterrent Penalty action against defaulting
consultancies
-Dated 17.04.2012

-Constitution of Settlement Negotiation Committee
for Consultancy Contracts
- Dated 22.01.2014
15. Policy guidelines dated 26.02.2014 To be Weeded out

-Guidelines for executing/implementing
Consultancy Assignment on National Highways &
related Centrally Sponsored Works.
-Dated 26.02.2014
16. Policy guidelines no. 155/2014 To be weeded out

-Guidelines regarding Extension of Time cases in And relevant part of
Consultancy Contracts 18.24/2017 dated 21st
-Dated 09.05.2014 August 2017
Retained.
17. Policy guidelines no. 184/2015 To be weeded out
-Replacement key personnel in consultancy
assignments (Authority Engineer and Independent
Engineer) if debarred during the period receipt of
the bid and before award of the contract.
-Dated 27.11.2015

-Provision of Consulting Services for NHAI
Projects – Standard of Performance reg.
-Dated 27.11.2015

-Deterrent action against defaulting Consultants –
Standing Committee of CGM reg.
-Dated 20.09.2016
20. Letter dated 04.10.17 To be weeded out

-Standardization of Role & Reporting

Responsibilities of Engineering Consultants (IE,
AE and SC)
-Dated 04.10.2017
21. Policy guidelines no. 10.2.15 To be weeded out

-Deployment of key personnel of IE/AE/SC fur
Under Implementation (UI) and O&M of
Completed projects – reg.
- Dated 18.07.2018
22. Policy guidelines no. 10.2.16 To be partly retained

-Generic issues arising in evaluation of Technical Included in sub
Bids in the Consultancy assignments of category ‘Generic
AE/IE/Supervision Consultant(SC) Issues and
-Dated 07.09.2018 Miscellaneous’
23. Policy Guidelines no. 16.10/2019 To be weeded out

-Updating/maintaining on NHAI website the lists of
(i)Debarred/blacklisted
concessionaires/Contractors, Consultants &
Individuals; and
(ii)Contracts terminated by NHAI for defaults of
concessionaires/Contractors/Consultants
-Dated 03.04.2019
24. Policy guidelines no. 10.2.18/2019 To be weeded out

-Deterrent action against defaulting consultants –
Standing committee of CGMs reg.
-Dated 11.06.2019
25. Policy guidelines no. 10.2.19/2019 To be retained

-Discontinuation of issuance of circulars seeking Included in sub
details of ongoing consultancies and deterrent category ‘Generic
actions on consultants/personnel – Reg. Issues and
-Dated 05.08.2019 Miscellaneous’

-Monitoring of Operation and Maintenance
(O&M)–obligation Concessionaires / Contractors
-Dated 30.08.2019

-Engagement of Financial Consultants for
Evaluation of Bids of AE/IE and other consultants
for NHAI projects
-Dated 27.09.2019
28. Circular no.NHAI/11013/AE&IE/RFP To be Weeded out

Doc./2017/142970
-Reduction in remuneration of Key Personnel in
case of replacement under Consultancy
agreements of Authority Engineer/ Independent
Engineer – Reg
-Dated 21.10.2019

- Engagement of Financial Consultants for
Evaluation of Bids of Supervision Consultant
(SC)/AE/IE and other assignments of Technical

consultants for NHAI’s projects
-Dated 28.02.2020
30. Policy guidelines no. 10.2.22 To be Weeded out

-Replacement of key personnel in case of time
extension under consultancy agreements of
AE/IE/SC in consultancy contract agreements on
the basis of RFPs issued prior to 10.11.2017
-Dated 17.03.2020
31. Policy guidelines no. 10.2.23 To be retained

-Uniform policy to decide the deterrent action Included in sub
against the consulting firms/key personnel – Reg. category ‘Generic
Miscellaneous’

-Peer Review of DPRs by engaging retired Included in sub
government officers – reg. category
-Dated 22.07.2020 ‘Peer review for the
DPR’
33. Miscellaneous Policy Guidelines (18.53 /2020) To be retained
-Issues encountered by Stakeholders during Included in sub
Implementation of Projects category ‘Generic
Miscellaneous’

-Finalization of EOT and COS proposals in Included in sub
Consultancy Contracts – Reg. category ‘Extension of
-Dated 28.09.2020 Time and Change of
Scope of Consultancy
Contracts’

-Mandatory Association of the Included in sub
Engineering/Technical Institutes who adopted NH category
stretches under MoU with NHAI in preparation of ‘Generic Issues and
DPR/Feasibility Report. Miscellaneous’
-Dated 03.11.2020

-SOP rates of Network Survey Vehicle (NSV) Included in sub
Survey till empanelment of agencies. category
-Dated 15.01.2021 ‘Generic Issues and
Miscellaneous’
-Attendance Management System(AMS) for Included in sub
NHAI’s AEs/IEs/Consultants category
-Dated 15.01.2021 ‘Generic Issues and
Miscellaneous’
-Engagement of Financial Consultants for Included in sub
Evaluation of Bids of Supervision Consultant (SC) category
/ AE / IE and other assignments of Technical ‘Engagement of
Consultants for NHAI’s projects – revision in fee- Financial Consultants’
reg. Merged with S.No. 40
-Dated 23.04.2021
39. MoRTH Circular no. RW/NH-33044/88/2021- To be retained

S&R(P&B) Included in Sub
-Consultancy services for AE/IE – Regarding category ‘Extension
Extension of Time(EOT) of Time and Change
-Dated 09.09.2021 circulated to all NHAI vide mail of Scope of
dated 22.09.2021 Consultancy
Contracts’
Also to be included in
RFP modification for
AE under
procurement.
40. Policy guidelines no. 10.2.30/2021(Amendment To be retained

of 10.2.29) Included in sub
- Engagement of Financial Consultants for category
Evaluation of Bids of Supervision Consultant (SC) ‘Engagement of
/ AE / IE and other assignments of Technical Financial Consultants’
Consultants for NHAI’s projects – revision in fee-
reg.
-Dated 04.10.2021
41. Policy Guidelines no. 16.15 To be retained

-Formation of Management Committee for bi- Included in sub
annual performance review of Consultancy category
Contracts “Performance rating of
-Dated 02.03.2022. Consultants”
 ‘Administration of consultancy contracts’

Sr.no.1,2,3,4,5,6,8,10,11,12,13,14,15,16,17,18,19,20,21,23,24,16,27,28,29,30(26Nos.)
have been weeded out from above table
 Remaining Policy Circulars (other than weeded out from above table) are included in following
subcategories.
a) ‘Delegation of Power’ Relevant Part of Policy Circular 18.24 dated 21 Aug 2017 partially
included , Sr. no. 7
b) ‘Extension of Time and Change of Scope of Consultancy Contracts’ Sr.No. 34,39
c) ‘Peer Review of DPRs’ S.No. 32
d) ‘Engagement of Financial Consultants’ Sr. no.38,40
e) ‘Generic issues and Miscellaneous’ Sr. no. 9,22,25,31,33,35,36,37
f) ‘Performance Rating of Consultants’ Sr no.41
 All the above circulars issued so for shall be retained and available in the archive in the NHAI library
for reference.
 In future the deletion and insertion may be made as for requirement in respective categories.
Section: 10.3. Payment related issues
Sub Subject
section
I. Ambiguity in provision for payment of final stage payment

to DPR Consultant in case concession agreement is not
executed within 1 year of date of agreement of
consultancy assignment.
II. Clarification to the policy circular no. 59/2009 dated

13.10.2009 – regarding payment of escalation to the
Consultant/Independent Engineer/ Independent
consultant where there is no provision of escalation in the
Contract.
III. Remuneration for period less than one month for

personnel of Independent Engineer and Supervision
Consultants.
IV. Review of Foreign Currency component as a part of

financial proposal.
V. Guidelines for reimbursement of Service Tax to

Consultants/ Contractors in NHAI.
VI. Guidelines for payment to DPR consultant for additional

work on account restructuring of project
VII. Guidelines on incidence of Tax on payments to

Consultants in Joint Venture/association between foreign
consultant and local consultants
VIII. Guidelines on Professional Liability Insurance

10.3: Payment related issues under Consultancy Services
I: Ambiguity in provision for payment of final stage payment to DPR Consultant in

case concession agreement is not executed within 1 year of date of agreement of
consultancy assignment252
As per Clause 6.3 (b) (f) of pervious DPR Consultancy contracts, “10% (ten percent) 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 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”
However, captioned clause was deleted from all such contracts as the tasks such as
approval from Competent Authority and thereafter bid invitation/submission evaluation etc.
is beyond the control of DPR consultant.
252
II: Clarification to the policy circular no. 59/2009 dated 13.10.2009 – regarding
payment of escalation to the Consultant/Independent Engineer/ Independent
consultant where there is no provision of escalation in the Contract253
Authority, with the approval of Competent Authority, has issued clarification on payment of
escalation for following Supervision Consultancy services contracts
i. Payment of escalation shall also be applicable for Independent Engineering

Services with a condition that the respective Concessionaire shall also agree with
the escalation approved by Authority
ii. Payment of escalation shall also be applicable to the consultancy contracts signed
after issuance of circular, where escalation clause is not provided.
iii. The contracts, where escalations is provided only once, the escalation is to be
compounded from second escalation onwards and in case of consultancy contracts
where the escalation has not been provided the escalation is to be paid on base
rates without compounding
253
III: Renumeration for period less than one month for personnel of Independent
Engineer and Supervision Consultants254
Executive Committee in its meeting decided that renumeration of the personnel of IE and
Supervision Consultant for a period of less than one month shall be calculated on the basis
of Reduction method (i.e. deducting the renumeration of leave/absent period by considering
one day as 1/30th of a month irrespective of number of days in a month).
254
IV: Review of Foreign Currency component as a part of Financial proposal255
Executive Committee in its meeting decided that:
(i) For all future Consultancy and EPC projects, the offer shall be received only in Indian
currency without any foreign currency component
(ii) For consultancy and EPC projects, where bids have been received but the work is
yet to be awarded, the quote of foreign currency of the successful bidder may be
renegotiated and settled as per the exchange rate prevailing on the bid due date.
255
V: Guidelines for reimbursement of Service Tax to Consultants/ Contractors in

NHAI256
Authority had issued guidelines for reimbursement of Service Tax to Consultants/

Contractors as mentioned below:
(i) The Service Tax claims of current invoices would be considered for release along
with the invoice, subject to condition that consultants/ contractors submission of
proof of deposit with a certificate from the CA Firm, along with the next invoice
and in any case latest by 90days of receipt of such service tax.
(ii) Pending claims of service tax, may also be considered for release with next
invoice subject to the condition that the consultant/contractors submit an
Undertaking that the proof of deposit with a certificate from the CA firm, will be
submitted along with their next invoice and in any case latest by 90 days of
receipt of such service tax.
256
VI: Guidelines for payment to DPR consultant for additional work on account
restructuring of project257
Authority had issued guidelines for payment to DPR consultant on account of additional
work for restructuring of project as mentioned below:
(i) Restructuring, resulting in deletion of some of the provisions of scope of work of
the project, shall be considered as part of the assignment of the DPR consultant
and no extra cost on this account shall be payable.
(ii) In cases where restructuring involves major changes in scope of work as well as
mode of delivery (from Toll to Annuity), there may be substantial additional work.
Such additional works shall be examined by the concerned division for payment
on file. Additional inputs in terms of man hours required for completion of the
additional works shall be determined and the payment may be made after
approval of the Competent Authority.
257
Policy Circular no. 10.3.3 dated 19.05.2009
VII: Guidelines on incidence of Tax on payments to Consultants in Joint

Venture/association between foreign consultant and local consultants258
Authority had released guidelines to ensure proper tax compliance for following
types of contracts:
(i) Contracts entered into with a Joint Venture (J.V.) of the foreign consultant and
local consultants
(ii) Contracts entered with an association of foreign and local consultants
258
VIII: Guidelines on Professional Liability Insurance 259
Authority had released guidelines on acceptance of professional liability insurance

submitted by the Consultants.
Following clauses were to be incorporated by Technical Division in all RFP documents/

Contracts:
(i) Professional liability coverage may be described in the following way:

“Consultant will maintain at its expense; Professional Liability Insurance including
coverage for errors and omissions caused by Consultant’s negligence in the
performance of its duties under this agreement, (A) For the amount not
exceeding total payments for Professional Fees and Reimbursable Expenditure
made or expected to be made to the Consultants hereunder OR (B) the
proceeds, the Consultants may be entitled to receive from any insurance
maintained by the Consultants to cover such a liability, whichever of (A) or (B) is
higher”
(ii) The policy should be issued only from an Insurance Company operating in
India
(iii) The policy must clearly indicate the limit of indemnity in terms of “Any One
Accident” (AOA) and “Aggregate limit on the policy period” (AOP) and in no case
should be for an amount less than stated in the contract.
(iv) In case of joint venture or “in association” the policy must be procured and
provided to NHAI by joint venture/in association entity and not be the individual
partner of joint venture/ association
(v) Contract must contain provision whereby the Consultant does not cancel the
policy midterm without the consent of NHAI. The insurance company may
provide an undertaking in this regard.
259
Appendix A

A/F-102/2005 01.04.2005 Guidelines on Professional Liability Insurance
8. (Circular No.
10.3.1)
A/F-04/2007 17.01.2007 Guidelines on incidence of Tax on payments
(Circular No. to Consultants in Joint Venture/association
9.
10.3.2) between foreign consultant and local
consultants
Tech-27/2009) 19.05.2009 Guidelines for payment to DPR consultant for
10. (Circular No. additional work on account restructuring of
10.3.3) project.
A/F-60/2009 18.11.2009 Guideline for reimbursement of Service Tax to
11. (Circular No. Consultants/Contractors in NHAI
10.3.5)
Tech-143/2013) 21.11.2013 Review of Foreign Currency component as a
12. (Circular No. part of Financial proposal
10.3.6)
Tech-181/2015) 10.09.2015 Remuneration for period less than one month
13. (Circular No. for personnel of Independent Engineer and
10.3.7) Supervision Consultant – clarification reg.
Tech-188/2015) 04.12.2015 Clarification to the policy circular no. 59/2009
(Circular No. dated 13.10.2009 regarding payment of
10.3.8) escalation to the Consultants/Independent
14.
Engineer/Independent consultant where there
is no provision of escalation in the Contract-
reg.
Circular No. 23.09.2019 Ambiguity in provision for payment of final
10.3.9 stage payment to DPR Consultant in case
15. concession agreement is not executed within
1 year of date of agreement of consultancy
assignment
Chapter: 11. Standard documents
Sub- Subject
Section
I Standard RFP and Standard Agreement for EPC
II Modal Concession Agreement and Model RFP for HAM

Projects
III Combined Single Stage RFP for BOT (Toll) projects, MCA
for BOT(Toll) projects and MCA BOT(Toll) for Capacity
Augmentation of projects
I. Standard RFP and Standard Agreement for EPC

projects.
Standard RFP and Standard Agreement for EPC projects were issued by MoRTH
vide letter Nos. RW/NH-37010/4/2010-EAP(Printing) Vol. IV dated 05.03.2019.
2. After the publication of Standard RFP & Standard EPC Agreement, the following
circulars have been issued by MoRTH/NHAI till 25.04.2022:
Sr. Subject Circular No. / Letter No. Date

No.
I. Dispensation of physical NHAI Policy circular No 06th June,
submission of Bid in various 9.1.11/2019 2019
procurement methods –
Amendment to RFP clauses-
Reg.
II. Standard Request for Proposal MoRTH Circular 07th Oct, 2019
(RFP) for National Highways No.RW/NH-37010/4/2010-
and centrally sponsored road EAP(Printing) vol. –IV
works proposed to be
implemented on EPC mode of
Contract - Amendments-I to
RFP regarding.
III. Standard Request for Proposal MoRTH Circular No 30th April,
(RFP) for National Highways RW/NH-37010/4/2010- 2020
and centrally sponsored road EAP(Printing) Vol. –IV
works proposed to be
implemented on EPC mode
- Amendment No. 2 to RFP -
regarding.
IV. Introduction to Dispute NHAI Policy circular No 04th Sept,
Resolution Board (DRB) in all 2.1.43/2020 2020
ongoing and upcoming (Subsequently issued by
EPC/HAM/BOT Projects MoRTH vide Circular
dated 23.11.2020)
V. Inclusion of Utility Shifting works NHAI Policy circular No 13th Oct, 2020
in the RFPs/Bids as part of Civil 7.2.10/2020
Construction under Hybrid
Annuity and EPC Mode-
Amendment in policy circular
dated 06.03.2020 – reg.
VI. Communication of Project NHAI Policy circular No 03rd Nov,
related correspondences 6.24/2020 (Approved vide 2020
between Concessionaires/ MoRTH OM dated
Contractors, AEs/ IEs and 25.03.2021)
NHAI through Project
Management Software and
Data Lake Portal.
VII. Changes in Bidder Eligibility NHAI Policy circular No 24th Nov,
Criteria for EPC Projects – reg. 11.20/2020 (Reference 2020
MoRTH Circular dated
02.11.2020)
VIII. Adoption of revised Integrity NHAI Policy circular No 29th Dec,
Pact (IP) for NHAI Projects reg. 5.8 2020
IX. Additional Security Deposit/BG NHAI Policy circular No 20th Jan, 2021
in case of Abnormally Low Bids 3.1.30/2021
(ALBs).
X. Regarding amendment in the NHAI Policy circular No 16th June,
Standard Request for Proposal 11.30 (Approved vide 2021
(RFP) and Standard EPC MoRTH letter dated
Agreement for National 28.07.2021)
Highways and Centrally
Sponsored Road works
proposed to be implemented on
EPC mode of Contract
XI. EPC Projects - to drop NHAI Policy circular No 02nd July,

Additional Security Deposit/ BG 15.10/2021 2021
in case of Abnormally Low Bids
(ALBs) and to take certain
measures to ensure quantity &
quality of works of ALBs
XII. Amendment in Article 8.3 (iv) of NHAI Policy circular No 31st Aug,
Standard EPC Agreement 11.31/2021 (Reference 2021
- reg. MoRTH letter dated
26.08.2021)
XIII. Drone Video Recording of NHAI Policy circular No 3rd Nov, 2021
Project Highway during the 18.75/2021
development, construction and
O&M period – reg.
XIV. Standard operating procedure NHAI Policy circular No 16th Nov,
to debar/penalize/declare As 16.11/2021 (Reference 2021
Non-Performer the MoRTH Circular dated
Contractor/Concessionaire in 06.10.2021)
National Highways and other
centrally sponsored road
projects – reg.
XV. Amendment in the Standard NHAI Policy circular No 07th Dec,
Request for Proposal (RFP) and 11.32/2021 (Subsequently 2021
Standard EPC Agreement for issued by MoRTH vide
National Highways and other Circular dated 16.12.2021)
centrally sponsored road
projects proposed to be
implemented on EPC mode of
contract to make procurement
compliant of Public
Procurement (Preference to
Make in India) Order 2017, Rule
144 (ix) of GFR and Changes in
determination of Bid Capacity –
reg.
XVI. Reinstatement of provision of NHAI Policy circular 28.02.2022
Earnest Money Deposit (EMD) No 3.1.33/2022 (Referenc
in bids for highway projects - e MoRTH Circular dated
reg. 28.02.2022)
XVII. Modification in Integrity Pact NHAI Policy circular 25rd April,
regarding No 5.10/2022 2022
3. Based on the aforesaid amendments, the deviation statement indicating the existing
clauses and revised formulation thereof are attached herewith at Annexure A. The revised
Standard RFP and Standard Agreement for EPC
projects incorporating the changes made are placed at NHAI website under heading
Standard Documents.
1581
Modification in Standard RFP for EPC Projects and Standard EPC Agreement
S. No. Clause no. Existing Clause as per Standard RFP for EPC Projects issued Modified Clause Relevant Circular
on 05.03.2019
1. Table of Newly Added Appendices IX Certificate regarding Compliance with Restrictions under This provision has been
Contents Rule 144 (xi) of the General Financial Rules (GFRs) amended pursuant to
MoRT&H office memorandum
no. G-20016/03/2020-TF-II
dated 24.08.2020
2. NIT – Last Bid through any other mode shall not be entertained. However, Bid Bid through any other mode shall not be entertained. However, This provision has been
Para Security, document fee, Power of Attorney and Joint Bidding Bid Security, Power of Attorney for signing the Bid, Power of amended pursuant to
Agreement etc. shall be submitted physically by the Bidder on or Attorney for lead member of JV, if any, Joint Bidding MoRT&H Circular no.
before_____**(at_____** hours IST), Please note that the Agreement for JV, if any, Integrity Pact and experience RW/NH-37010/4/2010-
[Ministry/Authority/ Executing Agency] reserves the right to accept certificates apostile at foreign origin, if any shall be submitted EAP(Printing)Vol. IV dated
or reject all or any of the BIDs without assigning any reason physically in original by the Lowest Bidder before issue of 30.04.2020
whatsoever. Letter of Award (LOA) by the Authority. Please note that the
National Highways Authority of India reserves the right to
accept or reject all or any of the BIDs without assigning any
reason whatsoever.
3. Clause 1.1.1 [The Ministry of Road Transport & Highways/ National Highways The National Highways Authority of India represented by This provision has been
Authority of India / State Public Works Department/ Border Road Chairman (the “Authority”) is engaged in the development of amended pursuant to
Organisation represented by DG(RD)&SS / Chairman / CE (NH) National Highways and as part of this endeavour, the Authority MoRT&H Circular no.
PWD State / DGBR] (the “Authority”) is engaged in the development has decided to undertake rehabilitation and augmentation of RW/NH-37010/4/2010-
of National Highways and as part of this endeavour, the Authority has the(Name of the section) of NH-**] to [2-lane with/ without
decided to undertake rehabilitation and augmentation of the(Name of paved shoulders] (the “Project”) through an Engineering,
1582
the section) of NH- **] to [2-lane with/ without paved shoulders] (the Procurement and Construction (the “EPC”) Contract, and has EAP(Printing)Vol. IV dated
“Project”) through an Engineering, Procurement and Construction decided to carry out the bidding process for selection of a Bidder 07.10.2019
(the “EPC”) Contract, and has decided to carry out the bidding to whom the Project may be awarded. A brief description of the
process for selection of a Bidder to whom the Project may be project may be seen in the Information Memorandum of the
awarded. A brief description of the project may be seen in the Project at the CPPP website https://etenders.gov.in and BIMS
Information Memorandum of the Project at the CPPP website https:// portal http://bims.gov.in. Brief particulars of the Project are as
eprocure.gov.in/eprocure/app. Brief particulars of the Project are as follows:
follows:
4. Clause 1.1.3 The estimated cost of the Project (the “Estimated Project Cost”) has The estimated cost of the Project (the “Estimated Project This provision has been
been specified in the clause 1.1.1 above. The assessment of actual Cost”) has been specified in the clause 1.1.1 above, which is amended pursuant to NHAI
costs, however, will have to be made by the Bidders. exclusive of Goods and Services Tax (GST). The assessment Policy Circular No. 11.30 Dated
of actual costs, however, will have to be made by the Bidders. 16.6.2021
5. Clause 1.1.6 Newly Added Clause 1.1.6 Data Lake Portal This provision has been added
pursuant to NHAI Policy
circular no 6.24/2020dated
a) The Selected Bidder shall use the Link ‘Data Lake Portal’ 03.11.2020
available on NHAI website nhai.gov.in to communicate with
Authority Engineer and NHAI for all contractual correspondence.
b) No Physical document shall be accepted unless and until
the same is specifically stated so in the RFP or it is a legal
requirement.
6. Clause 1.2.4 The Bidders shall also submit Demand Draft for Rs.__**260issued from The Bidders shall also make online payment towards This Modification has been
a scheduled Bank in India in favour of [“Pay & Accounts Officer, Cost of Tender Document of Rs. ****/-261 (Rupees ***** made pursuant to change of
Ministry of Road Transport & Highways, New Delhi /National Only) in Authority’s designated bank account and also mode of payment from demand
260
The cost of RFP document may be determined at the rate of Rs. 10,000 for every Rs. 100 crore or part thereof comprising the Estimated Project Cost. Thus the cost of an RFP document for a project of Rs. 200 crore shall be Rs. 20,000.
261
The cost of RFP document may be determined at the rate of Rs. 10,000 for every Rs. 100 crore or part thereof comprising the Estimated Project Cost. Thus the cost of an RFP document for a project of Rs. 200 crore shall be Rs. 20,000.
1583
Highways Authority of India”] payable at [New Delhi]. upload online payment receipt of the same. Details of draft to Online Payment on NIC
designated bank account are as under: Portal
S. No. Particulars Details
1. Name of National Highways Authority of

Beneficiary India
2. Name of Bank Canara Bank
3. Account No. 8598201005819
4. IFSC Code CNRB0008598
7. Clause 1.2.6 BIDs will be evaluated for the Project on the basis of the lowest cost BIDs will be evaluated for the Project on the basis of the lowest This provision has been
required by a Bidder for implementing the Project (the "BID Price"). cost required by a Bidder for implementing the Project (the "BID amended pursuant to NHAI
The total time allowed for completion of construction under the Price") which is exclusive of Goods and Services Tax (GST). Policy Circular No. 11.30 Dated
Agreement (the “Construction Period”) and the period during which The total time allowed for completion of construction under the
16.6.2021
the Contractor shall be liable for maintenance and rectification of any Agreement (the “Construction Period”) and the period during
defect or deficiency in the Project after completion of the which the Contractor shall be liable for maintenance and
Construction Period (the “Defect Liability Period”) shall be pre- rectification of any defect or deficiency in the Project after
determined, and are specified in the draft Agreement forming part of completion of the Construction Period (the “Defect Liability
the Bidding Documents. Period”) shall be pre-determined, and are specified in the draft
Agreement forming part of the Bidding Documents.
8. Clause 1.2.7 Generally, the Lowest Bidder shall be the selected Bidder. In case Generally, the Lowest Bidder shall be the selected Bidder. In This provision has been
such Lowest Bidder withdraws or is not selected for whatsoever case such Lowest Bidder withdraws or is not selected for amended pursuant to NHAI
reason except the reason mentioned in Clause 2.1.12 (b) (4), the whatsoever reason except the reason mentioned in Clause 2.1.12 Policy Circular No. 11.32/2021
Authority shall annul the Bidding Process and invite fresh BIDs. (b) (4) & Clause 3.3.1, the Authority shall annul the Bidding
Dated 7.12.2021
Process and invite fresh BIDs.
1584
9. Clause Newly added Clause 1.2.10 A Bidder is required to submit, along with its technical BID, a This provision has been added
1.2.10 self- certification that the item offered meets the local content pursuant to NHAI Policy
requirement for ‘Class - I local Supplier’ / ‘Class - II local Circular No. 11.32/2021 Dated
Supplier’, as the case may be. The self-certification shall also 7.12.2021
have details of the location(s) at which the local value addition
is made. In case, bidder has not submitted the aforesaid
certification the bidder will be treated as ‘Non- Local Supplier’.
In the above pretext, the Class - I Local Supplier, Class - II Local

Supplier and the Non- Local Supplier are defined as under:
(i) ‘Class - I local Supplier’ means a supplier or service

provider, whose goods, services or works offered for
procurement, meets the minimum local content as prescribed for
‘Class - I local Supplier’ under this RFP. The ‘local content’
requirement to categorize a supplier as ‘Class I local Supplier’
is minimum 50%.
(ii) ‘Class - II local Supplier’ means a supplier or service

procurement, meets the minimum local content as prescribed for
‘Class - II local Supplier’ under this RFP. The ‘local content’
requirement to categorize a supplier as ‘Class - Il local Supplier’
is minimum 20%.
(iii) ‘Non - local Supplier’ means a supplier or service

procurement, has local content less than that prescribed for
‘Class - II local supplier’ under this RFP.
1585
(iv) ‘Local content’ means the amount of value added in

India which shall be the total value of item procured (excluding
net domestic indirect taxes) minus the value of imported content
in the item (including all customs duties) as a proportion of the
total value, in percent
In case of procurement for a value in excess of Rs. 10 crores,

the ‘Class - I local supplier’ / ‘Class - II local supplier’ shall
provide a certificate from the statutory auditor or cost auditor of
the company (in case of companies) or from a practicing Cost
accountant or practicing chartered accountant (in respect of
suppliers other than companies) giving the percentage of local
content.
10. Clause 1.3 Schedule of Bidding Process Schedule of Bidding Process This provision has been
amended pursuant to
The Authority shall endeavour to adhere to the following schedule: The Authority shall endeavour to adhere to the following schedule:
MoRT&H Circular no.
RW/NH-37010/4/2010-
Sl. Event Description Date Sl. Event Description D ate
No. No. EAP(Printing)Vol. IV dated
30.04.2020
1. Invitation of RFP (NIT) [..............**] 1. Invitation of RFP (NIT) [..............**]
2. Last date for receiving queries [25thday from 2. Last date for receiving queries [25thday from
the date of the date of
NIT] NIT]
3. Pre-BID meeting at venue [25thday from 3. Pre-BID meeting at venue [25thday from
2.11.4 (i) the date of 2.11.4 (i) the date of
NIT] NIT]
4. Authority response to queries [30thday from 4. Authority response to queries [30thday from
latest by the date of latest by the date of
1586
NIT] NIT]
5. Last date of Request for BID [45thday from 5. Last date of Request for BID [45thday from
Document date of NIT, up Document date of NIT,
to 11.00 AM] up to 11.00
AM]
6 BID Due Date [45thday from
date of NIT, up 6 BID Due Date [45thday from
to 11.00 AM] date of NIT,
up to 11.00
7. Physical Submission of Bid [Upto11:00 hrs. AM]
Security/POA etc IST on BID
Opening Date] 7. Physical Submission of By Lowest
originals Bid Security, POA Bidder before
8. Opening of Technical BIDs at [46th day from for signing the Bid, POA for issue of LOA
venue 2.11.4 (i) lead member of JV, if any, by the
date of NIT JBA for JV, if any, Integrity Authority
after 11:00 hrs] Pact, and experience
certificates apostille at foreign
9. Declaration of eligible / [60th day from origin, if any.
qualified Bidders date of NIT]
8. Opening of Technical BIDs at [46th day from
10. Opening of Financial BID [68th day from venue 2.11.4 (i)
date of NIT] date of NIT
after 11:00
11. Letter of Acceptance (LOA) [75th day from hrs]
date of NIT]
9. Declaration of eligible / To be notified
12. Return of signed duplicate [82nd day from qualified Bidders
copy of LOA date of NIT]
10. Opening of Financial BID To be notified
13. Validity of BID 120 days from
BID Due Date 11. Physical Submission of To be notified
documents mentioned in
14. Submission of Performance Within 30 days clause 2.11.2
Security (PS) and Additional of receipt of
Performance Security (APS), LOA. (The 12. Letter of Acceptance (LOA) To be notified
if any bidder has the
option to 13. Return of signed duplicate Within 7 days
provide 50% of copy of LOA of issuance of
PS and APS, if LOA
any within 30
1587
days of receipt 14. Validity of BID 120 days from

of LOA and the BID Due Date
remaining PS
and APS, if any 15. Submission of Performance Within 30
to be provided Security (PS) and Additional days of receipt
within 30 days Performance Security (APS), of LOA. (The
of signing of if any bidder has the
agreement) option to
provide 50%
15. Signing of Agreement Within 10 days of PS and
from the APS, if any
receipt of 50% within 30 days
of Performance of receipt of
Security LOA and the
and50% of remaining PS
Additional and APS, if
Performance any to be
Security, if any provided
within 30 days
of signing of
agreement)
16. Signing of Agreement Within 10

days from the
receipt of 50%
of
Performance
Security
and50% of
Additional
Performance
Security, if
any
11. Clause 2.1.5 The Bidder should submit a Power of Attorney as per the format at The Bidder should upload Power of Attorney as per the format The provision has been
Appendix-III, at Appendix-III, authorising the signatory of the BID to commit amended pursuant to NHAI
authorising the signatory of the BID to commit the Bidder. the Bidder on CPPP Portal i.e. NHAI’s e-Tendering Portal Policy Circular No. 9.1.11 /2019
and also on BIMS portal. Lowest Bidder shall be required to dated 6.06.2019
submit original Power of Attorney before issue of Letter of
1588
Acceptance (LOA) by the Authority. And MoRT&H Circular No.

RW/NH-37010/4/ 2010-
EAP(Printing) Vot. lV
Dated 30.04.2020
12. Clause 2.1.6 In case the Bidder is a Joint Venture, the Members thereof should In case the Bidder is a Joint Venture, the Members thereof The provision has been
furnish a Power should upload on CPPP Portal i.e. NHAI’s e-Tendering amended pursuant to NHAI
of Attorney in favour of the Lead Member in the format at Appendix- Portal (https://etenders.gov.in) and BIMS portal Policy Circular No. 9.1.11 /2019
IV. And joint bidding agreement in the format at Appendix-V (www.bims.gov.in), Power of Attorney in favour of the Lead dated 6.06.2019
Member in the format at Appendix-IV and Joint Bidding
Agreement in the format at Appendix-V. Lowest Bidder shall And MoRT&H Circular No.
be required to submit original Power of Attorney in favour RW/NH-37010/4/ 2010-
of the Lead Member and original Joint Bidding Agreement EAP(Printing) Vot. lV
before issue of Letter of Acceptance (LOA) by the Authority. Dated 30.04.2020
13. Clause This provision has been

Members of the Joint Venture shall have entered into a binding Joint Bidding MEMBERS OF THE JOINT VENTURE SHALL HAVE ENTERED
2.1.11(f) amended pursuant to
Agreement, substantially in the form specified at Appendix V (the “Jt. Bidding INTO A BINDING JOINT BIDDING AGREEMENT,
Agreement”), for the purpose of making the Application and submitting a Bid in SUBSTANTIALLY IN THE FORM SPECIFIED AT APPENDIX V MoRT&H Circular no.
the event of being pre-qualified. The Jt. Bidding Agreement, to be submitted along (THE “JT. BIDDING AGREEMENT”), FOR THE PURPOSE OF RW/NH-37010/4/2010-
with the Application, shall, inter alia: MAKING THE APPLICATION AND SUBMITTING A BID IN THE EAP(Printing)Vol. IV dated
EVENT OF BEING PRE-QUALIFIED. THE JT. BIDDING
07.10.2019
AGREEMENT, UPLOADED, ON E-TENDERING AND BIMS
PORTAL ALONG WITH THE APPLICATION, SHALL, INTER
ALIA:
14. Clause This provision has been

The Bidder, including an individual or any of its Joint Venture The Bidder, including an individual or any of its Joint Venture
2.1.14 amended pursuant to NHAI
member, should not be a non-performing party on the bid submission member, should neither be a non-performing party on the date
date. The Bidder, including any Joint Venture Member, shall be of opening of tender nor on the date of issue of Letter of
1589
deemed to be a non-performing party262 (not applicable to the project Acceptance (LOA). The Bidder, including any Joint Venture Policy No. 16.11/2021 Dated
whose contract is terminated by the Authority) if it attracts any or Member, shall be deemed to be a non-performing party, if it 16.11.2021
more of the following parameters: attracts any or more of the following conditions in any of its
ongoing or completed project:
(i) Fails to complete or has missed more than two milestones in
already awarded two or more projects, even after lapse of 6 months (i) Fails to set up institutional mechanism and procedure as
from the scheduled completion date, unless Extension of Time has per Contract.
been allowed on the recommendations of the Independent Engineer
due to Authority's default; (ii) Fails to mobilize key construction equipment within a
period of 4 months from the appointed date;
(ii) Fails to complete a project, as per revised schedule, for which
One Time Fund Infusion (OTFI) has been sanctioned by the (iii) Fails to complete or has missed any milestone and
Authority; progress not commensurate with contiguous unencumbered
project length /ROW available even after lapse of 6 months from
(iii) Physical progress on any project is not commensurate with the respective project milestone /Schedule Completion date, unless
funds released (equity+debt+grant) from the escrow account and such Extension of Time has been granted due to Authority’s Default
variation is more than 25% in last one year as observed by the of Force Majeure;
Independent Engineer in one or more projects;
(iv) Fails to achieve progress commensurate with funds
(iv) Punch List Items in respect of any project are pending due to released from Escrow Account (Equity +Debt + Grant) in BOT
Bidder's default in two or more Projects even after lapse of the or HAM project and variation is more than 25% in the last 365
prescribed time for completion of such items; days;
(v) Fails to fulfil its obligations to maintain a highway in a (v) Fails to achieve target progress or complete the project
satisfactory condition inspite of two rectification notices issued in this as per schedule agreed at the time of sanctioning of funds under
behalf; One Time Funds Infusion (OTFI) or relaxations to contract
conditions to improve cash flow solely on account of
(vi) Fails to attend to Non Conformity Reports (NCRs) issued by Concessionaire’s/contractor’s failure/default;
the Independent/ Authority’s Engineer on the designs/ works
constructed by the Bidder pending for more than one year in two or (vi) Fails to complete rectification (excluding minor
more projects. rectifications) as per time given in non-conformity reports
(NCR) in design/completed works/maintenance or reported in
262
Sub- clauses (i) to (xi) under this Clause would be applicable only when the Contractor attracts these defaults on the bid submission date. The day the Contractor cures the said defaults and becomes compliant, he would be eligible to participate in bids received
after such date.
1590
(vii) Fails to make premium payments excluding the current Inspection Reports issued by Quality Inspectors deployed by the
instalment in one or more projects. Authority or Officers of the Authority.
(viii) Damages/ Penalties recommended by the Independent/ (vii) Fails to complete minor rectifications exceeding 3
Authority’s Engineer on the Bidder during O&M period and the instances in a project as per time given in non-conformity reports
remedial works are not taken up in two or more projects. (NCR) in design/completed works/maintenance;
(ix) Fails to achieve financial closure in two or more projects (viii) Fails to fulfil its obligations to maintain a highway in a
within the given or extended period (which shall not be more than six satisfactory condition in spite of two rectification notices issued
months in any case). in this regards;
(x) Fails to submit the Performance Security within the (ix) Damages/penalties recommended by Independent/
permissible period in more than one project(s). Authority’s Engineer during O&M Period and remedial works
are still not taken up;
(xi) Rated as an unsatisfactory performing entity/ non-performing
entity by an independent third party agency and so notified on the (x) Fails to complete Punch List items even after lapse of
website of the Authority. time for completion of such items excluding delays attributable
to the Authority;
(xii) Has Failed to perform for the works of Expressways, National
Highways, ISC & EI works in the last 2(two) years, as evidenced by (xi) Occurrence of minor failure of structures/highway due to
imposition of a penalty by an arbitral or judicial authority or a judicial construction defect wherein no causalities are reported
pronouncement or arbitral award against the Bidder, including (causalities include injuries to human being/ animals);
individual or any of its Joint Venture Member, as the case may be.
(xii) Occurrence of major failure of structures/highway due to
(xiii) Has been expelled or the contract terminated by the Ministry construction defect wherein no casualties are reported
of Road Transport & Highways or its implementing agencies for (causalities include injuries to human being/ animals;
breach by such Bidder, including individual or any of its Joint
Venture Member; Provided that any such decision of expulsion or (xiii) Occurrence of major failure of structures/highway due to
termination of contract leading to debarring of the Bidder from construction defect leading to loss of human lives besides loss
further participation in bids for the prescribed period should have of reputation etc. of the authority;
been ordered after affording an opportunity of hearing to such party.
(xiv) Fails to make premium payments excluding the current
instalment in one or more projects;
1591
(xv) Fails to achieve financial closure in two or more projects

within the given or extended period (which shall not be more
than six months in any case);
(xvi) Fails to submit the Performance Security within the

permissible time period in more than one project;
(xvii) Rated as an unsatisfactory performing entity/ non-

performing entity by an independent third party agency and so
notified on the website of the Authority.
(xviii) Failed to perform for the works of Expressways,

National Highways, ISC & EI works in the last 2(two) years, as
evidenced by imposition of a penalty by an arbitral or judicial
authority or a judicial pronouncement or arbitral award against
the Bidder, including individual or any of its Joint Venture
Member, as the case may be.
(xix) Expelled from the contract or the contract terminated by

the Ministry of Road Transport & Highways or its implementing
agencies for breach by such Bidder, including individual or any
of its Joint Venture Member; Provided that any such decision of
expulsion or termination of contract leading to debarring of the
Bidder from further participation in bids for the prescribed
period should have been ordered after affording an opportunity
of hearing to such party.
(xx) Fails to start the works or causes delay in maintenance &

repair/overlay of the project.
15. Clause New Para added in Clause 2.1.14 In case, any debarred/declared non performer firm submits, the This provision has been added
2.1.14 bid, the same will be ignored. In case such firm is lowest (L-1), pursuant to NHAI Policy No.
next lowest firm shall be considered as L-1 16.11/2021 Dated 16.11.2021
1592
16. 2.1.15 Newly Added Clause 2.1.15 All Orders of Ministry of Finance/DPIIT/any other Government This provision has been added
agencies, as applicable and prevalent on the date of LOA, shall pursuant to NHAI Policy
be applicable. Circular No. 11.32/2021 Dated
7.12.2021
17. Clause Newly added Clause 2.1.16 Entities of countries which have been identified by Ministry of This provision has been added
2.1.16 Road Transport & Highways as not allowing Indian companies pursuant to NHAI Policy
to participate in their Government procurement for any item Circular No. 11.32/2021 Dated
related to Ministry of Road Transport & Highways shall not be 7.12.2021
allowed to participate in Government procurement in India for
all items related to Ministry of Road Transport & Highways,
except for the list of items published by the Ministry of Road
Transport & Highways permitting their participation.
18. Clause Newly added Clause 2.2.1 (d) For determining the eligibility of Bidder from a country which This provision has been added
2.2.1(d) shares a land border with India the following shall apply: pursuant to NHAI Policy
Circular No. 11.32/2021 Dated
7.12.2021
(i) Any Bidder from a country which shares a land border
with India will be eligible to bid, only if the Bidder is registered
with the Competent Authority, specified in Annexure I of Order
(Public Procurement No. 1) issued by Ministry of Finance,
Department of Expenditure Public Procurement Division vide F.
No. 6/18/2019-PPD, dated 23rd July 2020, which shall form an
integral part of RFP and DCA (Copy enclosed).
(ii) "Bidder from a country which shares a land border

with India" means:
a) An entity incorporated, established or registered in such
1593
a country, or
b) A subsidiary of an entity incorporated, established or
registered in such a country; or
c) An entity substantially controlled through entities
incorporated, established or registered in such a country; or
d) An entity whose beneficial owner is situated in such a
country; or
e) An Indian (or other) agent of such an entity; or
f) A natural person who is a citizen of such a country; or
g) A Consortium or joint venture where any member of the
consortium or joint venture falls under any of the above.
(iii) Beneficial owner for the purpose of (ii) above means:

1. In case of a company or Limited Liability Partnership,
the beneficial owner is the natural person(s), who, whether
acting alone or together, or through one or more judicial person,
has a controlling ownership interest or who exercises control
through other means.
Explanation:
a) "Controlling ownership interest" means ownership of or

entitlement to more than twenty-five per cent of shares or capital
or profits of the company.
b) "Control" shall include the right to appoint majority of
the directors or to control the management or policy decisions
including by virtue of their shareholding or management rights
or shareholding agreements or voting agreements;
2. In case of a partnership firm, the beneficial owner is the

natural person(s) who, whether acting alone or together, or
1594
through one or one or more juridical person: has ownership of

entitlement to more than fifteen percent of capital or profits of
the partnership;
3. In case of an unincorporated association or body of

individuals, the beneficial owner is the natural person(s), who,
whether acting alone or together, or through one or more
juridical person, has ownership of or entitlement to more than
fifteen percent of the property or capital or profits of such
association or body of individual;
4. Where no natural person is identified under (1) or (2) or

(3) above, the beneficial owner is the relevant natural person
who holds the position of senior managing official;
5. In case of a trust, the identification of beneficial owner(s)

shall include identification of the author of the trust, the trustee,
the beneficiaries with fifteen percent or more interest in the trust
and any other natural person exercising ultimate effective
control over the trust through a chain of control or ownership.
(i) An Agent is a person employed to do any act for another, or

to represent another in dealings with third person.
(ii) The Selected Bidder shall not be allowed to sub-contract
works to any contractor from a country which shares a land
border with India unless such contractor is registered with
the Competent Authority. The definition of "contractor
from a country which shares a land border with India" shall
be as in Clause 2.2.1 (d) (ii) above.
1595
Certificate regarding Compliance:
A certificate on the letterhead of the Bidder shall be required to

be submitted by the bidders certifying the following in the
format prescribed at Appendix-IX:
"I/We have read the clause regarding restrictions on

procurement from a bidder of a country which shares a land
border with India and on sub-contracting to contractors from
such countries;
I/We certify that this bidder is not from a country or, if from such
a country, has been registered with the Competent Authority as
defined in Public Procurement Order no. F.no.6/18/2019- PPD
dated 23rd July 2020 and will not sub-contract any work to a
contractor from such countries unless such contractor is
registered with the Competent Authority;
I/We hereby certify that this bidder fulfils all requirements in

this regard and is eligible to be considered."
It may be noted that in case the above certification is found to be

false, this would be a ground for immediate rejection of
Bid/termination and further legal action in accordance with law.
1596
Validity of Registration:
In respect of RFP, registration should be valid at the time of

submission of bids and at the time of acceptance of bids. If the
Bidder was validly registered at the time of acceptance,
registration shall not be a relevant consideration during contract
execution.
19. Clause B= Value (updated to the price level of the year indicated in table B= Value (updated to the price level of the year indicated in This provision has been
2.2.2.1 at Note-3 below) of existing commitments, works for which table at Note-3 below) of existing commitments, works the amended pursuant to NHAI
Appointed Date/ Commencement Date has been declared or on-going bidder has emerged as the winner of the bids or on-going works Policy Circular No. 11.32/2021
works to be completed during the period of completion of the works to be completed during the period of completion of the works Dated 7.12.2021
for which BID is invited. For the sake of clarification, it is mentioned for which BID is invited. For the sake of clarification, it is
that works for which LOA has been issued but Appointed Date/ mentioned that works for which bidder has emerged as the
Commencement Date not declared as on Bid Due Date shall not be winner of the bids but LOA has not been issued as on the day
considered while calculating value of B. before opening the financial bids shall also be considered while
calculating value of B.
20. Clause Note: Note: This provision has been

2.2.2.1 Note amended pursuant to NHAI
1. The Statement showing the value of all existing 1. The Statement showing the value of all existing
1. Policy Circular No. 11.32/2021
commitments, works for which Appointed Date/ Commencement commitments, works for which the contractor has emerged as
Dated 7.12.2021
Date has been declared and ongoing works as well as the stipulated the winner of the bid is given by bidder and ongoing works as
period of completion remaining for each of the works listed should well as the stipulated period of completion remaining for each
be countersigned by the Client or its Engineer-in-charge not below of the works listed should be countersigned by the Client or its
the rank of Executive Engineer or equivalent in respect of EPC Engineer-in-charge not below the rank of Executive Engineer or
equivalent in respect of EPC Projects or Concessionaire /
1597
Projects or Concessionaire / Authorised Signatory of SPV in respect Authorised Signatory of SPV in respect of BOT Projects and
of BOT Projects and verified by Statutory Auditor. verified by Statutory Auditor.
21. Clause New Added Note 4. In Clause 2.2.2.1 4. The Bid capacity status of the bidder to be updated as on the This provision has been amended
2.2.2.1 day before opening the financial bids. pursuant to NHAI Policy Circular No.
11.32/2021 Dated 7.12.2021
22. Clause For demonstrating technical capacity and experience (the “Technical For demonstrating technical capacity and experience (the This provision has been
2.2.2.2 (i) Capacity”), the Bidder shall, over the past [5 (five)] financial years “Technical Capacity”), the Bidder shall, over the past [5 amended pursuant to Ministry
preceding the Bid Due Date, have received payments for construction (five)]264 financial years preceding the Bid Due Date, have of Road Transport & Highways
of Eligible Project(s), or has undertaken construction works by itself received payments for construction of Eligible Project(s), or has Policy Circular No. NH-
in a PPP project, such that the sum total thereof, as further adjusted undertaken construction works by itself in a PPP project, such 35014/35/2020-H Dated
in accordance with clause 2.2.2.5 (i) & (ii), is more than that the sum total thereof, as further adjusted in accordance with 2.11.2020
[Rs.****crore (Rs. ****)] (the “Threshold Technical Capacity”)263 clause 2.2.2.5 (i)& (ii), is more than [Rs.****crore (Rs. ****)]
(the “Threshold Technical Capacity”)265
263
This amount should be as follows:
Sl. No Estimated Project Cost (EPC) of the Project being invited Threshold Technical Capacity
1 Estimated Project Cost< = 100 Crore of normal highway project 1.0 time of EPC
2 Estimated Project Cost> 100 Crore&< = 500 Crore of normal highway project 1.5 times of EPC
3 Estimated Project Cost> 500 Crore of normal highway project 2 times of EPC
4 Estimated Project Cost<= 1000 Crore of Stand-alone specialized projects As in the case of normal highway
projects
5 Estimated Project Cost> 1000 Crore of Stand-alone specialized projects Greater than or equal to Rs.2000
Crores
264
5 years in case of normal highway projects and 10 years in case of in case of standalone specialized project.
265
This amount should be as follows:
(A) For Normal Highway project:
Sl.No Estimated Project Cost (EPC) of the Project being invited Threshold Technical Capacity
1 Estimated Project Cost< = 100 Crore 0.75 time of EPC
2 Estimated Project Cost> 100 Crore&<= 500 Crore 1.0 times of EPC
3 Estimated Project Cost> 500 Crore 1.0 times of EPC
1598
23. Clause For normal Highway projects (including Major For normal Highway projects (including Major This provision has been
2.2.2.2 (ii) Bridges/ROB/Flyovers/Tunnels): Bridges/ROB/Flyovers/Tunnels): amended pursuant to Ministry
of Road Transport & Highways
Policy Circular No. NH-
Provided that at least one similar work of 25% of Estimated Project Provided that at least one similar work of 20% of Estimated 35014/35/2020-H Dated
Cost [Rs. ***crore (Rs.****)] shall have been completed from the Project Cost [Rs. ***crore (Rs.****)] shall have been completed 2.11.2020
Eligible Projects in Category 1 and/or Category 3 specified in Clause from the Eligible Projects in Category 1 and/or Category 3
2.2.2.5. For this purpose, a project shall be considered to be specified in Clause 2.2.2.5. For this purpose, a project shall be
completed, if more than 90% of the value of work has been completed considered to be completed, if more than 90% of the value of
and such completed value of work is equal to or more than 25% of work has been completed and such completed value of work is
the estimated project cost. If any Major Bridge/ROB/Flyover/Tunnel equal to or more than 20% of the estimated project cost.
is (are) part of the project, then the sole Bidder or in case the Bidder
being a Joint Venture, any member of Joint Venture shall necessarily
demonstrate additional experience in construction of Major If any Major Bridge/ROB/Flyover/Tunnel is (are) part of the
Bridge/ROBs/Flyovers/Tunnel in the last 5 (Five) financial years project, then the sole Bidder or in case the Bidder being a Joint
preceding the Bid Due Date i.e. shall have completed atleast one Venture, any member of Joint Venture shall necessarily
similar Major Bridge/ROB/Flyover having span equal to or greater demonstrate additional experience in construction of Major
than 50% of the longest span of the structure proposed in this project Bridge/ROBs/Flyovers/Tunnel in the last 10(Ten) financial
and in case of tunnel, if any, shall have completed construction of years preceding the Bid Due Date i.e. shall have completed
atleast one tunnel consisting of single or twin tubes (including
(B) For Standalone specialized Projects:

Sl.No Estimated Project Cost (EPC) of the Project being invited Threshold Technical Capacity
1 Estimated Project Cost< = 100 Crore 0.75 time of EPC
2 Estimated Project Cost> 100 Crore&<= 500 Crore 1.0 times of EPC
3 Estimated Project Cost> 500 Crore 1.0 times of EPC
4 Estimated Project Cost>1000 Crore 1.0 time of the estimate project cost or Rs.
1000 Crore, whichever is less
5 Estimated Project Cost>1000 Crore of standalone specialized projects 1.0 time of the estimate project cost or Rs.
1000 Crore, whichever is less
1599
tunnel(s) for roads/Railway/Metro rail/irrigation/hydro-electric atleast one similar Major Bridge/ROB/Flyover having span
projects etc.) having atleast 50% of the cross-sectional area and 25% equal to or greater than:
length of the tunnel to be constructed in this project.
(a) In Case, longest span of Bridges/ROB/flyover is less
than or equal to 60m, no additional qualification is required.
(b) When longest span is more than 60m: 50% of the longest
span or 100m, whichever is less, of the structure proposed in this
project
and in case of tunnel, if any, shall have completed construction
of atleast one tunnel consisting of single or twin tubes (including
tunnel(s) for Roads/Railway/Metro rail/irrigation/ hydro-
electric projects etc.) having atleast
(a) In case tunnel is a part of project having length less than

or equal to 200m, then no additional qualification is required.
(b) When length of tunnel more than 200m: 50% of the cross
sectional area of proposed tunnelor two lane highway tunnel
cross-sectional area, whichever is less and 20% length of the
tunnel to be constructed in this project or 2km, whichever is less.
24. Clause (a1) In case the cost of specialized project is less than or equal to (a1) In case the cost of specialized project is less than or This provision has been
2.2.2.2 (iii) Rs. 1,000 Cr: The sole Bidder or in case the Bidder being a Joint equal to Rs. 1,000 Cr: The sole Bidder or in case the Bidder amended pursuant to Ministry
(a) Venture, any member of Joint Venture shall have completed atleast being a Joint Venture, any member of Joint Venture shall have of Road Transport & Highways
one similar Major Bridge/ROB/Flyover project in the last 5 (Five) completed atleast one similar Major Bridge/ROB/Flyover
financial years preceding the Bid Due Date, having span equal to or project in the last 10 (Ten) financial years preceding the Bid Due
greater than 50% of the longest span of the structure proposed in this Date, having span equal to or greater than 50% of the longest 35014/35/2020-H Dated
project and also the cost of such similar project shall be atleast 25% span or 100m, whichever is less of the structure proposed in this 2.11.2020
of the Estimated Project Cost. For this purpose, a project shall be project and also the cost of such similar project shall be atleast
considered to be completed, if more than 90% of the value of work 20% of the Estimated Project Cost. For this purpose, a project
has been completed and such completed value of work is equal to or shall be considered to be completed, if more than 90% of the
more than 25%of the Estimated Project Cost.
1600
(a2)Incase the cost of specialized project is more than Rs. 1,000 value of work has been completed and such completed value of
Cr: The sole Bidder or in case the Bidder being a Joint Venture, any work is equal to or more than 20%of the Estimated Project Cost.
member of Joint Venture shall have completed at least one similar (a2)Incase the cost of specialized project is more than Rs.
Major Bridge/ ROB/ Flyover project in the last 07 (seven) financial 1,000 Cr: The sole Bidder or in case the Bidder being a Joint
years preceding the Bid Due Date, having span equal to or greater Venture, any member of Joint Venture shall have completed at
than 50% of the longest span of the structure proposed in this project least one similar Major Bridge/ ROB/ Flyover project in the last
or 100m, whichever is less, and also the cost of such similar project 10 (Ten) financial years preceding the Bid Due Date, having
shall be atleast 25% of the Estimated Project Cost or Rs. 1000Cr. span equal to or greater than 50% of the longest span of the
whichever is less. For this purpose, a project shall be considered to structure proposed in this project or 100m, whichever is less, and
be completed, if more than 90% of the value of work has been also the cost of such similar project shall be atleast 20% of the
completed and such completed value of work is equal to or more than Estimated Project Cost or Rs. 1000Cr. whichever is less. For this
25%of the Estimated Project Cost or Rs. 1000 Cr., whichever is less. purpose, a project shall be considered to be completed, if more
than 90% of the value of work has been completed and such
completed value of work is equal to or more than 25%of the
Estimated Project Cost or Rs. 1000 Cr., whichever is less.
25. Clause (a) Tunnel project: The sole Bidder or in case the Bidder being (b) Tunnel project: The sole Bidder or in case the Bidder This provision has been
2.2.2.2 (iii) a Joint Venture, any member of Joint Venture shall have completed being a Joint Venture, any member of Joint Venture shall have amended pursuant to Ministry
(b) atleast one tunnel project in the last 5 (Five) financial years preceding completed atleast one tunnel project in the last 10(Ten) financial of Road Transport & Highways
the Bid Due Date, consisting of single or twin tubes (including years preceding the Bid Due Date, consisting of single or twin
tunnel(s) for roads/Railway/Metro rail/irrigation/hydro-electric tubes (including tunnel(s) for roads/Railway/Metro
projects etc.) having atleast 50% of the cross-sectional area and 25% rail/irrigation/hydro-electric projects etc.) having atleast 50% of 35014/35/2020-H Dated
length of the tunnel to be constructed in this project and the cost of the cross-sectional area of the tunnel to be constructed or cross 2.11.2020
such project shall be atleast25% of the Estimated Project Cost. For sectional area of 2 lane highway tunnel, whichever is less, and
this purpose, a project shall be considered to be completed, if more 20% length of the tunnel to be constructed in this project or 2km,
than 90% of the value of work has been completed and such whichever is less and the cost of such project shall be atleast20%
completed value of work is equal to or more than 25%of the of the Estimated Project Cost or 1000Cr., whichever is less. For
Estimated Project Cost. this purpose, a project shall be considered to be completed, if
more than 90% of the value of work has been completed and
such completed value of work is equal to or more than 20%of
the Estimated Project Cost or 1000Cr., whichever is less.
1601
26. Clause (ii) The Bidder shall have a minimum Average Annual Turnover (ii) The Bidder shall have a minimum Average Annual Turnover This provision has been
2.2.2.3 (ii) (updated to the price level of the year based on factors indicated in (updated to the price level of the year based on factors indicated amended pursuant to Ministry
table below) of [Rs.***crore (Rs.***)]266 for the last 5 (five) financial in table below) of [Rs.***crore (Rs.***)]267 for the last 5 (five) of Road Transport & Highways
years. financial years.
35014/35/2020-H Dated
2.11.2020
27. Clause For requirement of 2.2.2.2 (ii), one similar work of 25% of Estimated For requirement of 2.2.2.2 (ii), one similar work of 20% of This provision has been
2.2.2.4 (ii) Project Cost should have been completed from the Eligible Projects Estimated Project Cost should have been completed from the amended pursuant to
in Category 1 and/or Category 3 specified in Clause 2.2.2.5 Eligible Projects in Category 1 and/or Category 3 specified in MoRT&H Policy Circular No.
individually by any of the JV members as a single work. Clause 2.2.2.5 individually by any of the JV members as a single NH-35014/35/2020-H dated
work. 02.11.2020
28. 2.2.2.5(i) Categories and factors for evaluation of Technical Capacity: Categories and factors for evaluation of Technical Capacity: This provision has been
(i) Subject to the provisions of Clause 2.2.2 the following (i) Subject to the provisions of Clause 2.2.2 the following amended pursuant to Ministry
categories of experience would qualify as Technical Capacity and categories of experience would qualify as Technical Capacity of Road Transport & Highways
eligible experience (the "Eligible Experience") in relation to eligible and eligible experience (the "Eligible Experience") in relation
projects as stipulated in Clauses 2.2.2.6 (i) & (ii) (the "Eligible to eligible projects as stipulated in Clauses 2.2.2.6 (i) & (ii) (the
Projects"). In case the Bidder has experience across different "Eligible Projects"). In case the Bidder has experience across 35014/35/2020-H Dated
categories, the experience for each category would be computed as different categories, the experience for each category would be 2.11.2020
per weight of following factors to arrive at its aggregated Eligible computed as per weight of following factors to arrive at its
Experience: aggregated Eligible Experience:
Category Project / Construction experience on Factors Category Project / Construction experience on Factors
Eligible Projects Eligible Projects
1 Project in highways sector that qualify 1 1 Project in highways sector that 1
under Clause 2.2.2.6 (i) qualify under Clause 2.2.2.6 (i)
266
This amount should be 20% (twenty percent) of the Estimated Project Cost of the Project for which bids are being invited.
267
This amount should be 15% (twenty percent) of the Estimated Project Cost of the Project for which bids are being invited.
1602
2 Project in core sector that qualify 0.70 2 Project in core sector that qualify 0.75
under Clause 2.2.2.6 (i) under Clause 2.2.2.6 (i)
3 Construction in highways sector that 1 3 Construction in highways sector that 1
qualify under Clause 2.2.2.6 (ii) qualify under Clause 2.2.2.6 (ii)
4 Construction in core sector that 0.70 4 Construction in core sector that 0.75
qualify under Clause 2.2.2.6 (ii) qualify under Clause 2.2.2.6 (ii)
29. Clause core sector would be deemed to include civil construction cost of core sector would be deemed to include civil construction cost This provision has been
2.2.2.5 (iii) power sector, commercial setups (SEZs etc.), airports, industrial of power sector, commercial setups (SEZs etc.), airports, amended pursuant to Ministry
(b) parks/ estates, logistic parks, pipelines, irrigation, water supply, industrial parks/ estates, logistic parks, pipelines, irrigation, of Road Transport & Highways
sewerage and real estate development. water supply, sewerage, stadium, hospitals, hotel, smart city, Policy Circular No. NH-
warehouses/Silos, oil and gas and real estate development. 35014/35/2020-H Dated
2.11.2020
30. Clause Maintenance works are not considered as eligible project for Maintenance works are not considered as eligible project for This provision has been
2.2.2.5 (II) evaluation as per Instruction No.6 to Annex-IV. As such works with evaluation as per Instruction No.6 to Annex-IV. As such works amended pursuant to Ministry
nomenclature like PR, OR, FDR,SR, site/micro grading, surface with nomenclature like PR, OR, FDR,SR, site/micro grading, of Road Transport & Highways
renewal, resurfacing work, Tarring, B.T. surface work, temporary surface renewal, resurfacing work, Tarring, B.T. surface work, Policy Circular No. NH-
restoration, urgent works, periodic maintenance, repair & temporary restoration, urgent works, periodic maintenance, 35014/35/2020-H Dated
rehabilitation, one time maintenance, permanent protection work of repair & rehabilitation, one time maintenance, permanent 2.11.2020
bank, external pre stressing, repair of central hinge, short term OMT protection work of bank, external pre stressing, repair of central
contract of NHAI, any type of work related to border fencing, work hinge, short term OMT contract of NHAI, any type of work
of earthwork alone, construction of buildings/ hostels/hospitals, etc, related to border fencing, work of earthwork alone, construction
or not specified, shall not be considered. However, such maintenance of buildings/ hostels, etc, or not specified, shall not be
works shall be considered as eligible projects in case of Maintenance considered. However, such maintenance works shall be
works to be taken up on EPC mode. considered as eligible projects in case of Maintenance works to
be taken up on EPC mode.
31. Clause (a) the capital cost of the project should be more than 10% of the (b) the capital cost of the project should be more than 5% of This provision has been
2.2.2.6 (i) (c) amount specified as the Estimated Project Cost; and the amount specified as the Estimated Project Cost; and amended pursuant to Ministry
of Road Transport & Highways
1603

35014/35/2020-H Dated
2.11.2020
32. Clause For a project to qualify as an Eligible Project under Categories 3 and For a project to qualify as an Eligible Project under Categories This provision has been
2.2.2.6 (ii) 4, the Bidder should have received payments from its client(s) for 3 and 4, the Bidder should have received payments from its amended pursuant to Ministry
construction works executed, fully or partially,or work executed and client(s) for construction works executed, fully or partially,or of Road Transport & Highways
certified by the Engineer-in-charge/Independent work executed and certified by the Engineer-in-
Engineer/Authority’s Engineer during the 5 (five) financial years charge/Independent Engineer/Authority’s Engineer during the 5
immediately preceding the Bid Due Date, and only the amounts (five) financial years immediately preceding the Bid Due Date, 35014/35/2020-H Dated
(gross) actually received/ work executed, during such 5 (five) and only the amounts (gross) actually received/ work executed, 2.11.2020
financial years shall qualify for purposes of computing the during such 5 (five) financial years shall qualify for purposes of
Experience Score. However, receipts of or work executed amount computing the Experience Score. However, receipts of or work
less than [Rs. ** crore (Rs.**** crore)]268 shall not be reckoned as executed amount less than [Rs. ** crore (Rs.**** crore)]269 shall
receipts for Eligible Projects. For the avoidance of doubt, not be reckoned as receipts for Eligible Projects. For the
construction works shall not include supply of goods or equipment avoidance of doubt, construction works shall not include supply
except when such goods or equipment form part of a turn-key of goods or equipment except when such goods or equipment
construction contract / EPC contract for the project. Further, the cost form part of a turn-key construction contract / EPC contract for
of land and also cost towards pre-construction activities (like shifting the project. Further, the cost of land and also cost towards pre-
of utilities etc.) shall not be included hereunder. construction activities (like shifting of utilities etc.) shall not be
included hereunder.
33. Clause Newly added subclause (iv) of Clause 2.2.2.7 The Bidder shall update details of Experience (ongoing and This provision has been
2.2.2.7 (iv) completed projects) on the Bidder Information Management amended pursuant to
System (BIMS) www.bims.gov.in on a regular basis. The details MoRT&H Circular no.
of Eligible Experience for the last 5 financial years, necessary
RW/NH-37010/4/2010-
information relating to Technical Capacity and Project Specific
Information shall be taken from the information uploaded on EAP(Printing)Vol. IV dated
BIMS. 07.10.2019
268
This amount should not be less than 10% of the Estimated Project Cost
269
This amount should not be less than 5% of the Estimated Project Cost
1604
34. Clause Submission in support of financial capacity Submission in support of financial capacity This provision has been
2.2.2.8 (i) The Technical Bid must be accompanied by the Audited Annual (i) The Technical Bid must be accompanied by the Audited amended pursuant to
Reports of the Bidder (of each Member in case of a Joint Venture) for Annual Reports of the Bidder (of each Member in case of a Joint MoRT&H Circular no.
the last 5 (five) financial years, preceding the year in which the bid is Venture) for the last 5 (five) financial years, preceding the year
RW/NH-37010/4/2010-
submitted. in which the bid is submitted. The Bidder shall also upload
financial details along with supporting financial documents EAP(Printing)Vol. IV dated
(E.g., Audited Annual Reports) on BIMS portal on a regular 07.10.2019
basis.
(ii) In case the annual accounts for the latest financial year are
(ii) In case the annual accounts for the latest financial year
not audited and therefore the Bidder cannot make it available, the
are not audited and therefore the Bidder cannot make it
Bidder shall give an undertaking to this effect and the statutory
available, the Bidder shall give an undertaking to this effect and
auditor shall certify the same. In such a case, the Bidder shall provide
the statutory auditor shall certify the same. The Bidder shall also
the Audited Annual Reports for 5 (five) years preceding the year for
upload on BIMS an undertaking to this effect on BIMS portal.
which the Audited Annual Report is not being provided.
In such a case, the Bidder shall provide the Audited Annual
Reports for 5 (five) years preceding the year for which the
Audited Annual Report is not being provided.
(iii) The Bidder must establish the minimum Net Worth

(iii) The Bidder must establish the minimum Net Worth specified in
specified in Clause 2.2.2.3, and provide details as per format at
Clause 2.2.2.3, and provide details as per format at Annex-III of
Annex-III of Appendix-IA. The bidder shall also upload the
Appendix-IA.
relevant details on BIMS portal.
35. Clause The Bidder shall enclose with its Technical Bid, to be submitted as The Bidder shall enclose with its Technical Bid, to be uploaded This provision has been
2.2.2.9 per the format at Appendix-IA, complete with its Annexes, the on e – tendering and BIMS Portal as per the format at Appendix- amended pursuant to
following: IA, complete with its Annexes, the following: MoRT&H Circular no.
RW/NH-37010/4/2010-
EAP(Printing)Vol. IxV dated
07.10.2019
37. Clause 2.7.1 Newly added Appendices (IX) Certificate regarding Compliance with Restrictions under This provision has been
Part-1 (IX) Rule 144 (xi) of the General Financial Rules (GFRs) amended pursuant to
1605
MoRT&H office memorandum

no. G-20016/03/2020-TF-II
dated 24.08.2020
38. Clause 2.9.2 Any Addendum issued hereunder will be hosted on the GoI e- Any Addendum issued hereunder will be hosted on the NHAI’s This provision has been
Tendering Portal (https://eprocure.gov.in/cppp). website (www.nhai.gov.in), NHAI’s e-Tendering Portal amended pursuant to
(https://etenders.gov.in) and BIMS portal (www.bims.gov.in). MoRT&H Policy Circular No.
RW/NH-37010/4/2010-EAP
(Printing) vol.-V dated
07.10.2019
39. Clause The Bidder shall provide all the information sought under this RFP. The Bidder shall provide all the information sought under this The provision has been
2.10.1 The Authority will evaluate only those BIDs that are received online RFP. The Authority will evaluate only those BIDs that are amended pursuant to NHAI
in the required formats and complete in all respects and Bid Security, received online in the required formats on NHAI’s e-Tendering Policy Circular No. 9.1.11 /2019
Copy of online receipt/ original Demand Draft towards payment of cost Portal (https://etenders.gov.in) and BIMS portal dated 6.06.2019 And MoRT&H
of Bid document, POA and Joint Bidding Agreement etc. are received (www.bims.gov.in), and complete in all respects. However, Bid Circular No. RW/NH-37010/4/
in hard copies. Security, Power of Attorney for signing of Bid, Power of 2010- EAP(Printing) Vol. lV
Attorney for lead member of Consortium, if any, Joint Bidding Dated 30.04.2020
Agreement for Consortium, if any, Integrity Pact, and
experience certificates apostille at foreign origin, if any and
other documents required as per clause 2.11.2 of RFP shall be
submitted physically in original by the Lowest Bidder (including
all of its Consortium Members) before issuance of Letter of
Award (LOA) by the Authority. Lowest Bidder (including all of
its Consortium Members) failing to submit the original
documents required as per above shall be unconditionally
debarred from bidding in NHAI projects for a period of 5 years.
40. Clause The Bidder shall first upload all the project details, net worth details, The Bidder shall first upload on CPPP Portal i.e. NHAI’s e- This provision has been
2.11.1 turnover details, bridge and tunnel details and all other details Tendering and BIMS portal all the project details, net worth amended pursuant to NHAI
required in this RFP for technical qualification. The Bidder shall details, turnover details, bridge and tunnel details and all other Policy Circular No. 11.32/2021
1606
ensure that all the details are updated as on the due date of submission details required in this RFP for technical qualification. The Dated 7.12.2021and MoRT&H
of this bid. Bidder shall ensure that all the details are updated as on the due Policy Circular No. No. RW
date of submission of this bid. /NH-37010/ 4/2010-PIC-
The Bidder shall then apply for the RFP on the CPPP website https:// Printing/Vol.-V
eprocure.gov.in/eprocure/app by submitting the documents The Bidder shall then apply for the RFP on CPPP Portal i.e.
mentioned below along with the supporting documents which shall NHAI’s e-tendering portal https://etenders.gov.in, and also on
comprise of the Technical BID on the CPPP portal: BIMS portal (www.bims.gov.in),by submitting the documents
mentioned below along with the supporting documents which
shall comprise of the Technical BID on the CPPP portal i.e.
NHAI’s e-tendering portal and on BIMS portal:
41. Clause Copy of Online receipt/ original Demand Drafttowards payment of Copy of Online payment of Rs. ****/- (Rupees **** Only) for This Modification has been
2.11.1(g) cost of Bid document of Rs.*** (Rupees****) to[“Pay & Accounts cost of Bid document to “National Highways Authority of India” made pursuant to change of
Officer, Ministry of Road Transport and Highway New Delhi / New Delhi at its designated Bank; mode of payment from demand
National Highways Authority of India”]payable at [New Delhi]
draft to Online Payment on NIC
towards cost of Bid document.;
Portal
42. 2.11.1(i) Bidder shall comply with the provisions of Office Memorandum Bidder shall comply with the provisions of NHAI/Policy This provision has been
No. RW/NH-37010/4/2010/PIC-EAP(Printing) dated 22.02.2016 Guidelines/Vigilance/2020 Policy Circular No. 5. 8 dated 29th amended pursuant to NHAI
and its subsequent amendments if any, issued by MoRT&H December 2020 issued by Authorityand its subsequent Policy Circular no. NHAI/Policy
(Appendix-VI) regarding Integrity Pact (IP) and the Integrity Pact amendments if any, issued by NHAI/MoRT&H (Appendix- Guidelines/Vigilance/2020 Policy
(IP) duly signed by Authorised signatory shall be submitted by the VI) regarding Integrity Pact (IP) and the Integrity Pact (IP) Circular No. 5. 8 dated 29th December
Bidder with the RFP Bid & shall be part of the Contract duly signed by Authorised signatory shall be submitted by the 2020
Agreement; Bidder with the RFP Bid & shall be part of the Contract
Agreement;
43. 2.11.1(n) & Newly added point (n) and (o) (n) Copy of originals of experience certificate apostille at This provision has been
(o) foreign origin, if any amended pursuant to
(o) Certificate regarding Compliance with Restrictions under MoRT&H Circular no. G-
Rule 144 (xi) of the General Financial Rules (GFRs) as per
format given in Appendix-IX shall be submitted by the Bidder
1607
with the RFP Bid duly signed by Authorized signatory & shall 20016/3/2020-TF-II dated
be part of the Contract Agreement. 24.08.2020
44. Clause 2.11.1 Self-Certification Self-Certification This provision has been added
under pursuant to NHAI Policy
Add under the head of Financial Bid in clause 2.11.1
Financial Bid Circular No. 11.32/2021 Dated
Self- certification by the Bidder that its Bid meets the Local 7.12.2021
Content requirement for ‘Class - I Local supplier’/ ‘Class - II
Local supplier’, as the case may be. The Self-certification shall
also have details of the location(s) at which the local value
addition is made. In case, bidder do not submit the aforesaid
Certification, the bidder will be summarily treated as ‘Non-
Local Supplier’.
In case of procurement for a value in excess of Rs. 10 crores, the

‘Class - I Local supplier’/ ‘Class - II Local supplier’ shall have
to provide a Certificate from the Statutory Auditor or Cost
Auditor of the Company (in case of Companies) or from a
practicing Cost Accountant or practicing Chartered Accountant
(in respect of Suppliers other than Companies) giving the
percentage of Local Content upon Construction of the Project.
45. 2.11.2 The Bidder shall submit the following documents physically The Lowest Bidder shall be required to submit original of This provision has been
documents listed below (before issue of LOA by the Authority amended pursuant to
MoRT&H Circular no.
RW/NH-37010/4/2010-
1608
EAP(Printing)Vol. IV dated
30.04.2020
46. Clause Copy of online receipt/ original Demand Draft towards payment of Deleted This Modification has been
2.11.2 (e) cost of Bid document of Rs.*** (Rupees *****) in favor of[“Pay & made pursuant to change of
Accounts Officer, Ministry of Road Transport and Highway New mode of payment from demand
Delhi/ National Highways Authority of India” payable at New Delhi] draft to Online Payment on NIC
towards cost of Bid document. Portal
47. Clause Bidder shall comply with the provisions of Office Memorandum No. Bidder shall comply with the provisions of NHAI/Policy This provision has been
2.11.2(g) RW/NH-37010/4/2010/PIC-EAP(Printing) dated 22.02.2016and its Guidelines/Vigilance/2020 Policy Circular No. 5. 8 dated 29th amended pursuant to NHAI
subsequent amendments if any issued byMoRT&H (Appendix-VI) December 2020 issued by NHAI and its subsequent Policy Circular no. NHAI/Policy
regarding Integrity Pact (IP) and the Integrity Pact (IP)duly signed by amendments if any issued by NHAI /MoRT&H (Appendix- Guidelines/Vigilance/2020 Policy
Authorised signatory shall be submitted by the Bidder with the RFP VI) regarding Integrity Pact (IP) and the Integrity Pact (IP)duly Circular No. 5. 8 dated 29th December
2020
Bid & shall be part of the Contract Agreement; signed by authorized signatory shall be submitted by the Bidder
with the RFP Bid & shall be part of the Contract Agreement
48. Clause Newly added point (i), (j) & (k) (i) Original of experience certificates apostille at foreign origin This provision has been
2.11.2(i), (j) (j) Certificate regarding Compliance with Restrictions under amended pursuant to
&(k) Rule 144 (xi) of the General Financial Rules (GFRs) as per MoRT&H Circular no. G-
format given in Appendix-IX shall be submitted by the Bidder
20016/3/2020-TF-II dated
with the RFP Bid duly signed by authorized signatory & shall
be part of the Contract Agreement. 24.08.2020
(k) Proof of Registration with the Competent Authority as
defined in Public Procurement Order No. F. No. 6/18/2019
– PPD dated 23rd July 2020, if applicable (to be submitted
by the “Bidder from a country which shares a land border
with India”).
49. Clause The documents listed at clause 2.11.2 shall be placed in an envelope, The documents listed at clause 2.11.2 shall be required to be The provision has been
2.11.3 which shall be sealed. The envelope shall clearly bear the submitted by the Lowest Bidder before issue of Letter of amended pursuant to NHAI
1609
identification “BID for the ***** Project” and shall clearly indicate Acceptance (LOA) by the Authority. Lowest Bidder (including Policy Circular No. 9.1.11 /2019
the name and address of the Bidder. In addition, the BID Due Date all of its joint venture members) failing to submit the original dated 6.06.2019
should be indicated on the right hand top corner of the envelope. documents shall be unconditionally debarred from bidding in
NHAI projects for a period of 5 years from the date of issue of And MoRT&H Circular No.
debarment notice. These documents shall be placed in an RW/NH-37010/4/ 2010-
envelope, which shall be sealed. The envelope shall clearly EAP(Printing) Vol. lV
bear the identification “BID for the *********Project” and Dated 30.04.2020
shall clearly indicate the name and address of the Bidder
50. Clause The envelope shall be addressed to the following officer and shall be Physical submission of documents mentioned in Clause 2.11.2 in This provision has been
2.11.4 submitted at the respective address: the sealed envelope by the Lowest Bidder shall be addressed to amended pursuant to
the following officer and shall be submitted at the respective MoRT&H Circular no.
address: RW/NH-37010/ 4/2010-EAP
(Printing)Vol. IV dated
30.04.2020
51. Clause If the envelope is not sealed and marked as instructed above, the If the envelope is not sealed and marked as instructed above, This provision has been
2.11.5 Authority assumes no responsibility for the misplacement of the the Authority amended pursuant to
contents of the envelope submitted and consequent losses, if any, assumes no responsibility for the misplacement or MoRT&H Circular no.
suffered by the Bidder. premature opening of the RW/NH-37010/4/2010-
contents of the BID submitted and consequent losses, if any, EAP(Printing)Vol. IV dated
suffered by the 30.04.2020
Bidder.
52. Clause 2.12 BID Due Date BID Due Date This provision has been
amended pursuant to
MoRT&H Policy Circular No.
1610
Financial BID comprising of the documents listed at clause Financial BID comprising of the documents listed at clause RW/NH-37010/4/ 2010-
2.11.1 of the RFP shall be submitted online through e-procurement 2.11.1 of the RFP shall be submitted online through e- EAP(Printing) Vol. lV
CPPP website https:// eprocure.gov.in/eprocure/appon or before ...... procurement portal http://etenders.gov.in on or before 1100
hrs IST on........ Documents listed at clause 2.11.2 of the RFP hrs. IST on ________. This will also necessitate updating all Dated 30.04.2020
shall be physically submitted on or before ....... hours IST on details in the BIMS portal and generating a certificate with
......... at the address provided in Clause 2.11.4 in the manner and form the unique Firm ID before the submission of the Technical
as detailed in this RFP. A receipt thereof should be obtained from the & Financial BID. Documents listed at clause 2.11.2 of the
person specified at Clause 2.11.4.. RFP shall be physically submitted by the Lowest Bidder
before issue of LOA by the Authority. The technical details
will also be captured from the BIMS portal once the Bidder
has applied on it.
53. Clause 2.13 Late BIDs Late BIDs This provision has been
amended pursuant to
E-procurement portal CPPP website https:// CPPP Portal i.e., NHAI’s e-tendering portal MoRT&H Circular no.
eprocure.gov.in/eprocure/app shall not allow submission of any Bid https://etenders.gov.in and BIMS portal RW/NH-37010/4/2010-
after the prescribed date and time at clause 2.12. Physical receipt of (www.bims.gov.in)shall not allow submission of any Bid after EAP(Printing)Vol. IV dated
documents listed at clause 2.11.2 of the RFP after the prescribed the prescribed date and time at clause 2.12. 07.10.2019
date and time at clause 2.12 shall not be considered and the bid shall
be summarily rejected.
54. Clause To participate in the bidding, it is mandatory for the Bidders to get To participate in the bidding, it is mandatory for the Bidders to This provision has been
2.14.1.2 registered their firm / Joint Venture with e-procurement portal https:// get registered their firm / Joint Venture with e-procurement amended pursuant to
eprocure.gov.in/eprocure/appto have user ID & password which has portal https:// etenders.gov.inand BIMS portal at MoRT&H Policy Circular no.
First Para to be obtained free of cost. Following may kindly be noted: https://bims.gov.in/ to have user ID & password which has to be RW/NH-37010/4/2010-EAP
obtained free of cost. Following may kindly be noted: (Printing) vol.-IV dated
07.10.2019
1611
55. Clause It is also mandatory for the Bidders to get their firms registered with It is also mandatory for the Bidders to get their firms registered This provision has been amended
2.14.1.2 Last e-tendering portal. The Bidders shall update their project and other with e-tendering portal and BIMS Portal. The Bidders shall pursuant to MoRT&H Policy Circular
details on the portal on a regular basis and apply to the tenders via the update their project and other details on the portal on a regular no. RW/NH-37010/4/2010-EAP
Para
portal. basis and apply to the tenders via the portal. (Printing) vol.-IV dated 07.10.2019
56. Clause The complete BID document can be viewed / downloaded by the The complete BID document can be viewed / downloaded by the This provision has been
2.14.1.4 Bidder from e-procurement portal https:// Bidder from e-procurement portal https://etenders.gov.in or amended pursuant to
eprocure.gov.in/eprocure/appfrom _____** to ____** (upto from the BIMS portal from **** to **** (up to 1100 Hrs. IST). MoRT&H Policy Circular no.
……Hrs. IST).
RW/NH-37010/4/2010-EAP
(Printing) vol.-IV dated
07.10.2019
57. Clause The Bidder may submit his Bid online following the instructions The Bidder may submit his Bid online following the instructions This provision has been
2.14.2.1 appearing on the screen. The detailed guidelines for e-procurement is appearing on the screen. The detailed guidelines for e- amended pursuant to
also available on e-procurement portal. procurement is also available on e-procurement portal. MoRT&H Policy Circular no.
Similarly, a Bidder manual containing the detailed guidelines for RW/NH-37010/4/2010-EAP
registering, updating data and applying for bids is available on (Printing) vol.-IV dated
the BIMS portal. 07.10.2019
58. Clause The documents listed at clause 2.11.1 shall be prepared and scanned The documents listed at clause 2.11.1 shall be prepared and Modification has been made
2.14.2.2 in different files (in PDF or RAR format such that file size is not more scanned in different files (in PDF or RAR format such that file pursuant to NHAI has decided
than 30 MB) and uploaded during the on-line submission of BID. size is not more than 30 MB) and uploaded during the on-line to migrate to e-procurement
submission of BID on e-procurement and BIMS portal.
portal developed by National
Informatics Centre (NIC) from
the existing e- procurement
solution of M/s C1 India Ltd
w.e.f. 01.04.2017
1612
59. Clause Bid must be submitted online only through e-procurement portal Bid must be submitted online only through e-procurement portal This provision has been
2.14.2.3 https:// eprocure.gov.in/eprocure/app using the digital signature of https:// etenders.gov.in using the digital signature of authorized amended pursuant to
authorised representative of the Bidder on or before ............. (upto representative of the Bidder and the Bidder must also apply on MoRT&H Policy Circular no.
……. hours IST). the BIMS portal www.bims.gov.in on or before **** (up to
RW/NH-37010/4/2010-EAP
1100 hours IST).
(Printing) vol.-IV dated
07.10.2019
60. Clause The Ministry/ NHAI/NHIDCL shall on-line open Technical BIDs on The NHAI shall on-line open Technical BIDs on **** at 1130 This provision has been
2.15.2 ………………at …… hours IST, in the presence of the authorized hours IST, in the presence of the authorized representatives of amended pursuant to
representatives of the Bidders, who choose to attend. Technical BID the Bidders, who choose to attend. The NHAI will subsequently MoRT&H Policy Circular no.
of only those Bidders shall be online opened whose documents listed examine and evaluate the BIDs in accordance with the
RW/NH-37010/4/2010-EAP
at clause 2.11.2 of the RFP have been physically received The provisions of Section 3 of RFP.
MoRT&H / NHAI/NHIDCL will subsequently examine and evaluate (Printing) vol.-IV dated
the BIDs in accordance with the provisions of Section 3 of RFP. 07.10.2019
61. Clause Within 30 (thirty) days of receipt of Letter of Acceptance, the Within 30 (thirty) days of receipt of Letter of Acceptance, the This provision has been
2.21.1 selected Bidder shall furnish to the Authority an irrevocable and selected Bidder shall furnish to the Authority an irrevocable amended pursuant to NHAI
unconditional guarantee from a Bank in the form set forth in and unconditional guarantee from a Bank in the form set forth Policy Circular No. 3.1.30/2021
Appendix-VII (the “Performance Security”) for an amount equal in Appendix-VII (the “Performance Security”) for an amount dated 20.01.2021
to 5% (five percent) of its Bid Price. In case of bids mentioned equal to 3% (three percent) of its Bid Price. Generally
below, the Selected Bidder, along with the Performance Security, Additional Performance Security will not be taken for
shall also furnish to the Authority an irrevocable and unconditional abnormally low bids (except in some exceptional cases). The
guarantee from a Bank in the same form given at Appendix-VII requirement of Additional Performance Security shall be at
towards an Additional Performance Security (the “Additional the discretion of the Authority and shall be decided after
Performance Security”) for an amount calculated as under: opening of the Financial Bids. As decided by the Authority
the Selected Bidder, along with the Performance Security,
shall also furnish to the Authority an irrevocable and
unconditional guarantee from a Bank in the same form given
at Appendix-VII towards an Additional Performance Security
1613
(the “Additional Performance Security”) for an amount

calculated as under:
62. Clause Newly added proviso at the end of Clause 2.21.1 Provided that amount of Additional Performance Security This provision has been
2.21.1 shall not exceed the amount of Performance Security. amended pursuant to NHAI
Policy Circular No. 3.1.30/2021
dated 20.01.2021
63. Clause 3.1.1 The Authority shall open the BIDs received physically & online at The Authority shall open the BIDs received online at 1130 This provision has been
.......**hours IST on ……………..**, at the place specified in Clause hours IST on *****, at the place specified in Clause 2.11.4 amended pursuant to
2.11.4(i); and in the presence of the Bidders who choose to attend. (i); and in the presence of the Bidders who choose to attend. MoRT&H Policy Circular no.
Technical BID of only those Bidders shall be online opened whose The Authority shall prepare minutes of the BID opening, RW/NH-37010/4/2010-EAP
documents listed at clause 2.11.2 of the RFP have been received including information disclosed to those present at the time (Printing) vol.-IV dated
physically The Authority shall prepare minutes of the BID opening, of BID opening. 07.10.2019
including information disclosed to those present at the time of BID
opening.
64. Clause As a first step towards evaluation of Technical BIDs, the As a first step towards evaluation of Technical BIDs, the This provision has been
3.1.6.1 Authority shall determine whether each Technical BID is Authority shall determine whether each Technical BID is amended pursuant to
responsive to the requirements of this RFP. A Technical BID shall be responsive to the requirements of this RFP. A Technical BID MoRT&H Policy Circular No.
considered responsive only if: shall be considered responsive only if: RW/NH-37010/4/ 2010-
EAP(Printing) Vol. lV
(a) Technical BID is received online as per the format at (a) Technical BID is received online as per the format at
Appendix-IA including Annexure I, IV, V and VI(Bid Capacity Appendix-IA including Annexure I, II, III, IV, V and VI(Bid Dated 30.04.2020 and Policy
format); Capacity format); Circular no. RW/NH-
37010/4/2010-EAP (Printing)
(b) Documents listed at clause 2.11.2 are received physically (b) Deleted; vol.-IV dated 07.10.2019 and
on CPPP as mentioned; NHAI Policy Circular 9.1.11
(c) Technical Bid is accompanied by the Bid Security as
/2019 dated 6.06.2019.
(c) Technical Bid is accompanied by the BID Security as specified specified in Clause 1.2.4 and 2.20;
in Clause 1.2.4 and 2.20;
(d) The Power of Attorney is uploaded as specified in Clauses
1614
(d) The Power of Attorney is uploaded on e-procurement 2.1.5;

portal as specified in Clauses 2.1.5;
(e)Power of Attorney for Lead Member of Joint Venture and
(e) Technical Bid is accompanied by Power of Attorney for the Joint Bidding Agreement are uploaded as specified in
Lead Member of Joint Venture and the Joint Bidding Agreement Clause 2.1.6, if so required;
as specified in Clause 2.1.6, if so required;
(f)Technical Bid contains all the information (complete in all
(f) Technical Bid contains all the information (complete in all respects);
respects);
(g)Technical Bid does not contain any condition or
(g) Technical Bid does not contain any condition or qualification; qualification; and
and
(h) Copy of online receipt of Rs ****/- (Rupees ***** only)
(h) Copy of online receipt/ original Demand Draft towards payment in favour of “ National Highways Authority of India” at its
of cost of Bid document of Rs __** (Rupees ***only) in favor of designated Bank is received and uploaded on e-procurement
[“Pay & Accounts Officer, Ministry of Road Transport and Highways portal and BIMS portal;
New Delhi/ National Highways Authority of India” payable at New
Delhi] is received; (i) Certificate regarding Compliance with Restrictions under
Rule 144 (xi) of the General Financial Rules (GFRs), 2017,
as per format given in Appendix-IX shall be submitted by the
Bidder with the RFP Bid duly signed by Authorised signatory
& shall be part of the Contract Agreement.
(j) Proof of Registration with the Competent Authority as

defined in Public Procurement Order No. F.No. 6/18/2019 –
PPD dated 23rd July 2020, if applicable (to be submitted by
the “Bidder from a country which shares a land border with
India”).
1615
65. Clause 3.3.1 Subject to the provisions of Clause 2.16.1, the Bidder whose BID is Subject to the provisions of Clause 2.16.1, the Bidder whose This provision has been
adjudged as BID is adjudged as amended pursuant to NHAI
responsive in terms of Clause 3.1.6 and who quotes lowest price shall responsive in terms of Clause 3.1.6.The Bidder shall be declared Policy Circular No. 11.32/2021
be declared as the selected Bidder (the “Selected Bidder”). as the selected Bidder (the “Selected Bidder”)in pursuance to Dated 7.12.2021
the procedure defined hereunder:
(i) Among all the responsive bidder, the lowest bidder will
be termed as L1. If L1 is ‘Class-I Local Supplier’, the contract
will be awarded to L1.
(ii) If L1 is not ‘Class - I local supplier’ the lowest bidder

among the ‘Class - I local supplier’, will be invited to match L1
price subject to Class I local supplier’s quoted price falling
within the margin of purchase preference, and the contract will
be awarded to such ‘Class - I local supplier’ subject to matching
the L1 price.
(iii) In case such lowest eligible ‘Class - I local supplier’ fails

to match the L1 price, the ‘Class - I local supplier’ with the next
higher bid within the margin of purchase preference shall be
invited to match the L1 price and so on and contract shall be
awarded accordingly.
In case none of the ‘Class - I local supplier’ within the margin

of purchase preference matches the L1 price, the contract shall
be awarded to the L1 bidder.
‘Margin of purchase preference’ means the maximum extent to

which the price quoted by a ‘Class - I local supplier’ may be
above the L1 for the purpose of purchase preference. The margin
of purchase preference shall be 20%.
1616
66. Appendix IB I/ We hereby submit our BID and offer a BID Price Rs …… I/ We hereby submit our BID and offer a BID Price online for This provision has been
Point no. 7 (Rs…………….) for undertaking the aforesaid Project in undertaking the aforesaid Project in accordance with the amended pursuant to
accordance with the Bidding Documents and the Agreement. Bidding Documents and the Agreement. MoRT&H Circular no.
RW/NH-37010/4/2010-EAP
(Printing)Vol. IV dated
07.10.2019
67. Appendix-IA Name of the Bidder /Member of JV: __________________________ Name of the Bidder /Member of JV: This provision has been
Annex-I __________________________ amended pursuant to NHAI
Policy No. 16.11/2021 Dated
Point no. 7(b) 16.11.2021
- Table Sr. Categories of Non- Project 1Project 2
No. Performer Sr. Categories of Non-Performer Name of
(i) No. the Projects
Fails to complete or has missed
(s)
more than two milestones in
already awarded two or more (i) Fails to set up institutional
projects, even after lapse of 6 mechanism and procedure as
months from the scheduled per Contract.
completion date, unless (ii) Fails to mobilize key
Extension of Time has been construction equipment within
allowed on the a period of 4 months from the
recommendations of the appointed date
Independent Engineer due to (iii) Fails to complete or has missed
Authority's default; any milestone and progress not
commensurate with contiguous
(ii) Fails to complete a project, as unencumbered project length
per revised schedule, for which /ROW available even after
One Time Fund Infusion (OTFI) lapse of 6 months from
has been sanctioned by the respective project milestone
Authority; /Schedule Completion date,
(iii) unless Extension of Time has
Physical progress on any project
been granted due to
is not commensurate with the
Authority’s Default of Force
funds released (equity+
Majeure;
debt+grant) from the escrow
account and such variation is (iv) Fails to achieve progress
more than 25% in last one year commensurate with funds
as observed by the Independent released from Escrow Account
(Equity +Debt + Grant) in BOT
1617
Engineer in one or more or HAM project and variation

projects; is more than 25% in the last
(iv) 365 days;
Punch List Items in respect of
(v) Fails to achieve target progress
any project are pending due to
or complete the project as per
Bidder's default in two or more
schedule agreed at the time of
Projects even after lapse of the
sanctioning of funds under One
prescribed time for completion
Time Funds Infusion (OTFI) or
of such items;
relaxations to contract
(v) Fails to fulfil its obligations to conditions to improve cash
maintain a highway in a flow solely on account of
staisfactory condition inspite of Concessionaire’s/contractor’s
two rectification notices issued failure/default;
in this behalf; (vi) Fails to complete rectification
(vi) (excluding minor
Fails to attend to Non rectifications) as per time given
Conformity Reports (NCRs) in non-conformity reports
issued by the Independent/ (NCR) in design/completed
Authority’s Engineer on the works/maintenance or reported
designs/ works constructed by in Inspection Reports issued by
the Bidder pending for more Quality Inspectors deployed by
than one year in two or more the Authority or Officers of the
projects. Authority.
(vii) Fails to make premium (vii) Fails to complete minor
payments excluding the current rectifications exceeding 3
instalment in one or more instances in a project as per
projects. time given in non-conformity
reports (NCR) in
(viii) Damages/Penalties
design/completed
recommended by the works/maintenance;
Independent/ Authority’s (viii) Fails to fulfil its obligations to
Engineer on the Bidder during maintain a highway in a
O&M period and the remedial satisfactory condition in spite
works are not taken up in two or of two rectification notices
more projects. issued in this regards;
(ix) Fails to achieve financial (ix) Damages/penalties
closure in two or more projects recommended by Independent/
within the given or extended Authority’s Engineer during
period (which shall not be more O&M Period and remedial
than six months in any case). works are still not taken up;
1618
(x) Fails to submit the Performance (x) Fails to complete Punch List
Security within the permissible items even after lapse of time
period in more than one for completion of such items
project(s). excluding delays attributable to
the Authority;
(xi) Rated as an unsatisfactory (xi) Occurrence of minor failure of
performing entity/ non- structures/highway due to
performing entity by an construction defect wherein no
independent third party agency causalities are reported
and so notified on the website of (causalities include injuries to
the Authority. human being/ animals);
(xii) Occurrence of major failure of
structures/highway due to
construction defect wherein no
casualties are reported
(causalities include injuries to
human being/ animals;
(xiii) Occurrence of major failure of
structures/highway due to
construction defect leading to
loss of human lives besides loss
of reputation etc. of the
authority;
(xiv) Fails to make premium
payments excluding the current
instalment in one or more
projects;
(xv) Fails to achieve financial
closure in two or more projects
within the given or extended
period (which shall not be more
than six months in any case);
(xvi) Fails to submit the
Performance Security within
the permissible time period in
more than one project;
(xvii) Rated as an unsatisfactory
performing entity/ non-
performing entity by an
independent third party agency
1619
and so notified on the website

of the Authority.
(xviii) Failed to perform for the works
of Expressways, National
Highways, ISC & EI works in
the last 2(two) years, as
evidenced by imposition of a
penalty by an arbitral or
judicial authority or a judicial
pronouncement or arbitral
award against the Bidder,
including individual or any of
its Joint Venture Member, as
the case may be.
(xix) Expelled from the contract or
the contract terminated by the
Ministry of Road Transport &
Highways or its implementing
agencies for breach by such
Bidder, including individual or
any of its Joint Venture
Member; Provided that any
such decision of expulsion or
termination of contract leading
to debarring of the Bidder from
further participation in bids for
the prescribed period should
have been ordered after
affording an opportunity of
hearing to such party.
(xx) Fails to start the works or
causes delay in maintenance &
68. Appendix-II S. No. Particulars Details S. No. Particulars Details This Modification has been
point no. 15 1. Name of Beneficiary ****** Name of Beneficiary National Highways Authority of made pursuant to change of
India mode of payment from demand
2. Name of Bank ******
draft to Online Payment on NIC
Name of Bank Canara Bank
3. Account No. ****** Portal
1620
4. IFSC Code ****** Account No. 8598201005819
IFSC Code CNRB0008598
70. Appendix-VI INTEGRITY PACT FORMAT Draft Integrity Pact Format applicable for works having This provision has been
value of Rs. 5 Cr. and above (To be executed on plain paper amended pursuant to NHAI
and submitted along with Technical Bid/Tender documents for Policy Circular no. NHAI/Policy
Guidelines /Vigilance/2020 Policy
(To be executed on plain paper and submitted alongwith Technical tenders having a value of Rs. 5 Cr or more. To be signed by the
Circular No. 5. 8 dated 29th December
Bid/Tender documents for tenders having a value ofRs. 5 cr or above Bidder and same signatory competent/ authorized to sign the 2020 & Policy circular no 5.10/2022
for Consultancy projects and 100 cr. or above for Construction relevant contract on behalf of the NHAI) dated 25.04.2022.
projects. To be signed by the Bidder and same signatory competent/
authorized to sign the relevant contract on behalf of the MoRTH)
(_________Division)
Tender No.________
This integrity Pact is made at _____ on this _________day of
________2016.
BETWEEN INTEGRITY PACT
[President of India through Ministry of Road Transport &

Highways, Government of India represented by Director General
(Road Development) & Special Secretary, Transport Bhawan, 1-
Parliament Street New Delhi-110001], (hereinafter referred to as the This integrity Pact is made at _____ on this _________day of
“Principal/Owner” which expression shall, unless repugnant to the ________2016.
context or meaning thereof, include its administrators, successors and
assigns) BETWEEN
AND
{Name and address of the Firm/Company}, (hereinafter referred to as THE NATIONAL HIGHWAYS AUTHORITY OF INDIA
“The Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s)” and (NHAI), a statutory body constituted under the National
Highways Authority of India Act, 1988, which has been
1621
which expression shall unless repugnant to be meaning or context entrusted with the responsibility of development, maintenance
thereof include its successors and permitted assigns.) and management of National Highways, having its office at G-
5 & 6, Sector-10, Dwarka, New Delhi, hereinafter referred to as
"The Principal", which expression shall, unless repugnant to
Preamble the meaning of contract thereof, include its successors and
permitted assigns)
Whereas, the Principal has floated the Tender {NIT
No……….dtd…………………..} (hereinafter referred to as AND
“Tender/Bid”) and intends to award, under laid down organizational {Name and address of the Firm/Company}, (hereinafter referred
procedure, contract/s for {Name of the work}(hereinafter referred to to as “The
as the “Contract”). Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s)” and
And Whereas the Principal values full compliance with all relevant which expression shall unless repugnant to be meaning or
laws of the land, rules of land, regulations, economic use of resources context thereof include its successors and permitted assigns.)
and of fairness/ transparency in its relations with its Bidder(s) and/ or
Contractor(s)/Concessionaire(s)/Consultant(s).
Preamble
And whereas to meet the purpose aforesaid, both the parties have
agreed to enter into this Integrity Pact (hereafter referred to as Whereas, the Principal has floated the Tender {NIT
“Integrity Pact” or “Pact”) the terms and conditions of which shall No……….dtd…………………..} (hereinafter referred to as
also be read as integral part and parcel of the Tender documents and “Tender/Bid”) and intends to award, under laid down
contract between the parties. organizational procedure, contract/s for {Name of the
work}(hereinafter referred to as the “Contract”).
Now, therefore, in consideration of mutual covenants contained in
this pact, the parties hereby agree as follows and this pact witnesses And Whereas the Principal values full compliance with all
as under: relevant laws of the land, rules of land, regulations, economic
use of resources and of fairness/ transparency in its relations
with its Bidder(s) and/ or
Contractor(s)/Concessionaire(s)/Consultant(s).
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Article-1:Commitments of the Principal
(1) The Principal commits itself to take all measures necessary to And Whereas in order to achieve these goals, the Principal will
prevent corruption and to observe the following principles:- appoint an Independent External Monitors (IEMs), who will
(a) No employee of the Principal, personally or through family monitor the tender process and the execution of the contract for
members, will in connection with the Tender for, or the execution of
compliance with the Principles mentioned above.
a Contract, demand, take a promise for or accept, for self, or third
person, any material of immaterial benefit which the person is not
legally entitled to.
(b) The Principal will, during the Tender process treat all
Bidder(s) with equity and reason. The Principal will in particular,
before and during the Tender process, provide to all Bidder(s) the And whereas to meet the purpose aforesaid, both the parties have
same information and will not provide to any Bidder(s) confidential/ agreed to enter into this Integrity Pact (hereafter referred to as
additional information through which the Bidder(s) could obtain an “Integrity Pact” or “Pact”) the terms and conditions of which
advantage in relation to the tender process or the contract execution.
shall also be read as integral part and parcel of the Tender
(c) The Principal will exclude all known prejudiced persons from
the process, whose conduct in the past has been of biased nature. documents and contract between the parties.
(2) If the Principal obtains information on the conduct of any of
its employees which is a criminal offence under the IPC/PC Act or
any other Statutory Acts or if there be a substantive suspicion in this Now, therefore, in consideration of mutual covenants stipulated
regard, the Principal will inform the Chief Vigilance Officer and in
addition can initiate disciplinary actions as per its internal laid down in this pact, the parties hereby agree as follows and this pact
Rules/Regulations. witnesses as under:
Article – 2: Commitments of the Bidder(s)/ Contractor(s)/

Concessionaire(s)/ Consultant(s).
Article-1:Commitments of the Principal
The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
(3) The Principal commits itself to take all measures
Consultant(s) commit himself to take all measures necessary to
necessary to prevent corruption and to observe the following
prevent corruption. He commits himself to observe the following principles:-
principles during his participation in the tender process and during (d) No employee of the Principal, personally or through
the contract execution. family members, will in connection with the Tender for, or the
execution of a Contract, demand, take a promise for or accept,
1623
(a) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ for self, or third person, any material of immaterial benefit which
Consultant(s) will not, directly or through any other person or firm, the person is not legally entitled to.
offer, promise or give to any of the Principal’s employees involved (e) The Principal will, during the Tender process treat all
in the tender process or the execution of the contract or to any third Bidder(s) with equity and reason. The Principal will in
person any material or other benefit which he/she is not legally particular, before and during the Tender process, provide to all
entitled to, in order to obtain in exchange any advantage of any kind Bidder(s) the same information and will not provide to any
whatsoever during the tender process or during the execution of the Bidder(s) confidential/ additional information through which the
contract. Bidder(s) could obtain an advantage in relation to the tender
(b) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ process or the contract execution.
Consultant(s) will not enter with other Bidders into any undisclosed (f) The Principal will exclude all known prejudiced persons
agreement or understanding, whether formal or informal. This applies from the process.
in particular to prices, specifications, certifications, subsidiary (4) If the Principal obtains information on the conduct of any
contract, submission or non-submission or bids or any other actions of its employees which is a criminal offence under the IPC/PC
to restrict competitiveness or to introduce cartelization in the bidding Act or any other Statutory Acts or if there be a substantive
process. suspicion in this regard, the Principal will inform the Chief
(c) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Vigilance Officer and in addition can initiate disciplinary actions
Consultant(s) will not commit any offence under the relevant IPC/PC as per its internal laid down Rules/Regulations.
Act and other Statutory Acts; further the
Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) will not use Article – 2: Commitments of the Bidder(s)/ Contractor(s)/
improperly, for purposes of completion or personal gain, or pass on Concessionaire(s)/ Consultant(s).
to others, any information or document provided by the Principal as
part of the business relationship, regarding plans, technical proposals The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
and business details, including information contained or transmitted Consultant(s) commit himself to take all measures necessary to
electronically. prevent corruption. He commits himself to observe the
(d) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ following principles during his participation in the tender
Consultant(s) of foreign origin shall disclose the name and address of process and during the contract execution.
the Agents/ Representatives in India, if any. Similarly, the Bidder(s)/
Contractor(s)/ Concessionaire(s)/ Consultant(s) of Indian Nationality (h) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
shall furnish the name and address of the foreign principle, if any. Consultant(s) will not, directly or through any other person or
(e) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ firm, offer, promise or give to any of the Principal’s employees
Consultant(s) will, when presenting his bid, disclose any and all involved in the tender process or the execution of the contract or
payments he has made, is committed to or intends to make to agents, to any third person any material or other benefit which he/she is
brokers or any other intermediaries in connection with the award of not legally entitled to, in order to obtain in exchange any
1624
the contract. He shall also disclose the details of services agreed upon advantage of any kind whatsoever during the tender process or
for such payments. during the execution of the contract.
(f) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ (i) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s) will not instigate third persons to commit offences Consultant(s) will not enter with other Bidders into any
outlined above or be an accessory to such offences. undisclosed agreement or understanding, whether formal or
(g) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ informal. This applies in particular to prices, specifications,
Consultant(s) will not bring any outside influence through any Govt. certifications, subsidiary contract, submission or non-
bodies/quarters directly or indirectly on the bidding process in submission or bids or any other actions to restrict
furtherance of his bid. competitiveness or to introduce cartelization in the bidding
process.
Article - 3 Disqualification from tender process and exclusion (j) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
from future contracts. Consultant(s) will not commit any offence under the relevant
IPC/PC Act and other Statutory Acts; further the
(1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) will
Consultant(s), before award or during execution has committed a not use improperly, for purposes of completion or personal gain,
transgression through a violation of any provision of Article-2, above or pass on to others, any information or document provided by
or in any other form such as to put his reliability or credibility in the Principal as part of the business relationship, regarding
question, the Principal is entitled to disqualify the Bidder(s)/ plans, technical proposals and business details, including
Contractor(s)/ Concessionaire(s)/ Consultant(s) from the tender information contained or transmitted electronically.
process. (k) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
(2) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) of foreign origin shall disclose the name and
Consultant(s)has committed a transgression through a violation of address of the Agents/ Representatives in India, if any.
Article-2 such as to put his reliability or credibility into question, the Similarly, the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Principal shall be entitled to exclude including blacklist and put on Consultant(s) of Indian Nationality shall furnish the name and
holiday the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ address of the foreign principle, if any. Further, details as
Consultant(s)for any future tenders/ contract award process. The mentioned in the ‘Guidelines on Indian Agents of Foreign
imposition and duration of the exclusion will be determined by the Suppliers’ shall be disclosed by the Bidder(s)/ Contractor(s)/
severity of the transgression. The severity will be determined by the Concessionaire(s)/ Consultant(s). Further, all the payments
Principal taking into consideration the full facts and circumstances of made to the Indian Agent/Representative have to be Indian
each case particularly taking into account the number of Rupees only.
transgressions, the position of the transgressors within the company (l) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
hierarchy of the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will, when presenting his bid, disclose any and all
Consultant(s) and the amount of the damage. The exclusion will be payments he has made, is committed to or intends to make to
imposed for a maximum of 3 years. agents, brokers or any other intermediaries in connection with
1625
(3) A transgression is considered to have occurred if the Principal the award of the contract. He shall also disclose the details of
after due consideration of the available evidence concludes that “On services agreed upon for such payments.
the basis of facts available there are no material doubts”. (m) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
(4) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not instigate third persons to commit offences
Consultant(s)with its free consent and without any influence agrees outlined above or be an accessory to such offences.
and undertakes to respect and uphold the principal’s absolute rights (n) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
to resort to and impose such exclusion and further accepts and Consultant(s) will not bring any outside influence through any
undertakes not to challenge or question such exclusion on any Govt. bodies/quarters directly or indirectly on the bidding
ground, including the lack of any hearing before the decision to resort process in furtherance of his bid.
to such exclusion is taken. This undertaking is given freely and after (o) The
obtaining independent legal advice. Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) who
(5) The decision of the Principal to the effect that a breach of the have signed a Integrity pact shall not approach the court while
provisions of this Integrity Pact has been committed by the Bidder(s)/ representing the matter to IEMs and shall wait for their decision
Contractor(s)/ Concessionaire(s)/ Consultant(s)shall be final and in the matter.
binding on the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s), however, the Bidder(s)/ Contractor(s)/ Article - 3 Disqualification from tender process and
Concessionaire(s)/ Consultant(s) can approach IEM(s) appointed for exclusion from future contracts.
the purpose of this Pact.
(6) On occurrence of any sanctions/ disqualification etc arising (1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
out from violation of integrity pact, the Bidder(s)/ Contractor(s)/ Consultant(s), before award or during execution has committed
Concessionaire(s)/ Consultant(s)shall not be entitled for any a transgression through a violation of any provision of Article-
compensation on this account. 2, above or in any other form such as to put his reliability or
(7) Subject to full satisfaction of the Principal, the exclusion of credibility in question, the Principal is entitled to disqualify the
the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) could Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) from
be revoked by the Principal if the Bidder(s)/ Contractor(s)/ the tender process.
Concessionaire(s)/ Consultant(s)can prove that he has restored/ (2) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
recouped the damage caused by him and has installed a suitable Consultant(s)has committed a transgression through a violation
corruption prevention system in his organization. of Article-2 such as to put his reliability or credibility into
question, the principal shall be entitled to exclude including
Article – 4: Compensation for Damages. blacklist and put on holiday the Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s)for any future tenders/ contract
(1) If the Principal has disqualified the Bidder(s) from the tender award process. The imposition and duration of the exclusion will
process prior to the award according to Arcticle-3, the Principal shall be determined by the severity of the transgression. The severity
be entitled to forfeit the Earnest Money Deposit/ Bid Security or will be determined by the Principal taking into consideration the
1626
demand and recover the damages equivalent to Earnest Money full facts and circumstances of each case particularly taking into
Deposit/ Bid Security apart from any other legal right that may have account the number of transgressions, the position of the
accrued to the Principal. transgressors within the company hierarchy of the Bidder(s)/
(2) In addition to 1 above, the Principal shall be entitled to take Contractor(s)/ Concessionaire(s)/ Consultant(s) and the amount
recourse to the relevant provisions of the contract related to of the damage. The exclusion will be imposed for a minimum
Termination of Contract due to Contractor/ period of 6 months and maximum period of 2 year.
Concessionaire/Consultant’s Default. In such case, the Principal shall (3) A transgression is considered to have occurred if the
be entitled to forfeit the Performance Bank Guarantee of the Principal after due consideration of the available evidence
Contractor/ Concessionaire/ Consultant and/ or demand and recover concludes that “On the basis of facts available there are no
liquidated and all damages as per the provisions of the material doubts”.
contract/concession agreement against Termination. (4) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s)with its free consent and without any influence
Article – 5: Previous Transgressions agrees and undertakes to respect and uphold the principal’s
absolute rights to resort to and impose such exclusion and further
(1) The Bidder declares that no previous transgressions occurred accepts and undertakes not to challenge or question such
in the last 3 years immediately before signing of this Integrity Pact exclusion on any ground, including the lack of any hearing
with any other Company in any country conforming to the before the decision to resort to such exclusion is taken. This
anticorruption/ Transparency International (TI) approach or with any undertaking is given freely and after obtaining independent legal
other Public Sector Enterprise/ Undertaking in India or any advice.
Government Department in India that could justify his exclusion from (5) The decision of the Principal to the effect that a breach
the tender process. of the provisions of this Integrity Pact has been committed by
(2) If the Bidder makes incorrect statement on this subject, he can the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
be disqualified from the tender process or action for his exclusion can Consultant(s)shall be final and binding on the Bidder(s)/
be taken as mentioned under Article-3 above for transgressions of Contractor(s)/ Concessionaire(s)/ Consultant(s), however, the
Article-2 and shall be liable for compensation for damages as per Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) can
Article-4 above. approach IEM(s) appointed for the purpose of this Pact.
Article – 6: Equal treatment of all Bidders/ Contractors/ (6) On occurrence of any sanctions/ disqualification etc
arising out from violation of integrity pact, the Bidder(s)/
Concessionaires/ Consultants/ Subcontractors.
Contractor(s)/ Concessionaire(s)/ Consultant(s)shall not be
(1) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ entitled for any compensation on this account.
Consultant(s) undertake(s) to demand from all sub-contractors a (7) Subject to full satisfaction of the Principal, the exclusion
commitment in conformity with this Integrity Pact, and to submit it of the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
to the Principal before contract signing. could be revoked by the Principal if the Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s)can prove that he has restored/
1627
(2) The Principal will enter into agreements with identical recouped the damage caused by him and has installed a suitable
conditions as this one with all Bidders/ Contractors/ Concessionaires/ corruption prevention system in his organization.
Consultants and subcontractors.
(3) The Principal will disqualify from the tender process all Article – 4: Compensation for Damages.
Bidders who do not sign this Pact or violate its provisions.
(1) If the Principal has disqualified the Bidder(s) from the
Article – 7: Criminal charges against violating Bidder(s)/ tender process prior to the award according to Arcticle-3, the
Contractor(s)/ Concessionaire(s)/ Consultant(s)/ Sub- Principal shall be entitled to forfeit the Earnest Money Deposit/
Bid Security or demand and recover the damages equivalent to
contractor(s).
Earnest Money Deposit/ Bid Security apart from any other legal
If the Principal obtains knowledge of conduct of a Bidder/ Contractor/ right that may have accrued to the Principal.
(2) In addition to 1 above, the Principal shall be entitled to
Concessionaire/ Consultant or subcontractor, or of an employee or a
take recourse to the relevant provisions of the contract related to
representative or an associate of a Bidder/ Contractor/ Termination of Contract due to Contractor/
Concessionaire/ Consultant or Subcontractor, which constitutes Concessionaire/Consultant’s Default. In such case, the Principal
corruption, or if the Principal has substantive suspicion in this regard, shall be entitled to forfeit the Performance Bank Guarantee of
the Principal will inform the same to the Chief Vigilance Officer. the Contractor/ Concessionaire/ Consultant and/ or demand and
recover liquidated and all damages as per the provisions of the
Article- 8: Independent External Monitor (IEM) contract/concession agreement against Termination.
(1) The Principal has appointed Shri. R.S. Gujral as Independent Article – 5: Previous Transgressions
External Monitor (herein after referred to as “Monitor”) for this Pact.
The task of the Monitor is to review independently and objectively, (1) The Bidder declares that no previous transgressions
whether and to what extent the parties comply with the obligations occurred in the last 3 years immediately before signing of this
under this agreement. Integrity Pact with any other Company in any country
(2) The Monitor is not subject to instructions by the conforming to the anticorruption/ Transparency International
representatives of the parties and performs his functions neutrally and (TI) approach or with any other Public Sector Enterprise/
independently. He reports to the Director General (Road Undertaking in India or any Government Department in India
Development) & Special Secretary. that could justify his exclusion from the tender process.
(3) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ (2) If the Bidder makes incorrect statement on this subject,
Consultant(s)accepts that the Monitor has the right to access without he can be disqualified from the tender process or action for his
restriction to all project documentation of the Principal including that exclusion can be taken as mentioned under Article-3 above for
provided by the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ transgressions of Article-2 and shall be liable for compensation
Consultant(s). The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ for damages as per Article-4 above.
Consultant(s)will also grant the Monitor, upon his request and
1628
demonstration of a valid interest, unrestricted and unconditional Article – 6: Equal treatment of all Bidders/ Contractors/
access to his project documentation. The same is applicable to Concessionaires/ Consultants/ Subcontractors.
Subcontractors. The Monitor is under contractual obligation to treat
the information and documents of the (1) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Bidder(s)/Contractor(s)/Subcontractor(s) with confidentiality. Consultant(s) undertake(s) to demand from all sub-contractors a
(4) The Principal will provide to the Monitor sufficient commitment in conformity with this Integrity Pact, and to submit
information about all meetings among the parties related to the it to the Principal before contract signing.
Project provided such meetings could have an impact on the (2) The Principal will enter into agreements with identical
contractual relations between the Principal and the Contractor. The conditions as this one with all Bidders/ Contractors/
parties offer to the Monitor the option to participate in such meetings. Concessionaires/ Consultants and subcontractors.
(5) As soon as the Monitor notices, or has reason to believe, a (3) The Principal will disqualify from the tender process all
violation of this Pact, he will so inform the Management of the Bidders who do not sign this Pact or violate its provisions.
Principal and request the Management to discontinue or take
corrective action, or to take other relevant action. The monitor can in Article – 7: Criminal charges against violating Bidder(s)/
this regard submit non-binding recommendations. Beyond this, the Contractor(s)/ Concessionaire(s)/ Consultant(s)/ Sub-
Monitor has no right to demand from the parties that they act in a contractor(s).
specific manner, refrain from action or tolerate action.
(6) The Monitor will submit a written report to the Director If the Principal obtains knowledge of conduct of a Bidder/
General (Road Development) & Special Secretary within 8 to 10 Contractor/ Concessionaire/ Consultant or subcontractor, or of
weeks from the date of reference or intimation to him by the Principal an employee or a representative or an associate of a Bidder/
and, should the occasion arise, submit proposals for correcting Contractor/ Concessionaire/ Consultant or Subcontractor, which
problematic situations.
constitutes corruption, or if the Principal has substantive
(7) If the Monitor has reported to the Director General (Road
Development) & Special Secretary, a substantiated suspicion of an suspicion in this regard, the Principal will inform the same to the
offence under relevant IPC/PC Act, and the Director General (Road Chief Vigilance Officer.
Development) & Special Secretary has not, within the reasonable
time taken visible action to proceed against such offence or reported Article- 8: Independent External Monitor (IEM)
it to the Chief Vigilance Officer, the Monitor may also transmit this
information directly to the Central Vigilance Commissioner. (1) The Principal has appoints Smt. Gauri Kumar, IAS
(Retd.), Sh. Ashish Bhauguna, IAS (Retd.) and Sh. Animesh
(8) The word 'Monitor' would include both singular and plural.
Chauhan (Ex-MD & CEO, (Oriental Bank of Commerce)as
Article – 9 Pact Duration Independent External Monitor for this Pact. The task of the
Monitor is to review independently and objectively, whether and
1629
This Pact begins when both parties have legally signed it (in case of to what extent the parties comply with the obligations under this
EPC i.e. for projects funded by Principal and consultancy services). agreement.
It expires for the Contractor/ Consultant 12 months after his Defect (2) The Monitor is not subject to instructions by the
representatives of the parties and performs his functions
Liability Period is over or 12 months after his last payment under the
neutrally and independently. He reports to the Chairman, NHAI.
contract whichever is later and for all other unsuccessful Bidders 6 (3) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
months after this Contract has been awarded. (In case of BOT Consultant(s)accepts that the Monitor has the right to access
Projects) It expires for the concessionaire 24 months after his without restriction to all project documentation of the Principal
concession period is over and for all other unsuccessful Bidders 6 including that provided by the Bidder(s)/ Contractor(s)/
months after this Contract has been awarded. Concessionaire(s)/ Consultant(s). The Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s)will also grant the Monitor,
If any claim is made/ lodged during his time, the same shall be upon his request and demonstration of a valid interest,
binding and continue to be valid despite the lapse of this pact as unrestricted and unconditional access to his project
specified above, unless it is discharged/ determined by Director documentation. The same is applicable to Subcontractors.
(4) The Monitor is under contractual obligation to treat the
General (Road Development) & Special Secretary.
information and documents of the
Bidder(s)/Contractor(s)/Subcontractor(s) with confidentiality.
The Monitor has also signed on ‘Non-disclosure of Confidential
Article - 10 Other Provisions. Information’ and of ‘Absence of Conflict of Interest’. In case of
any conflict of interest arising at a later date, the IEM shall
(1) This pact is subject to Indian Law. Place of performance and inform Chairman, NHAI and recuse himself/herself from that
jurisdiction is the Registered Office of the Principal, i.e. New Delhi. case.
(2) Changes and supplements as well as termination notices need (5) The principal will provide to the Monitor sufficient
to be made in writing. information about all meetings among the parties related to the
(3) If the Bidder/Contractor/Concessionaire/Consultant is in a Project provided such meetings could have an impact on the
partnership or a consortium Joint Venture partner, this pact must be contractual relations between the Principal and the
signed by all partners or consortium members. Bidder/Contractor/ Concessionaire/Consultant. The parties offer
(4) Should one or several provisions of this agreement turn out to to the Monitor the option to participate in such meetings.
be invalid, the remainder of this agreement remains valid. In this case, (6) As soon as the Monitor notices, or believes, to notice any
the parties will strive to come to an agreement to their original transgression as given in Atiicle-2, he may request the
intentions. Management of the Principal to take corrective action, or to take
(5) Any disputes/ differences arising between the parties with relevant action. The monitor can in this regard submit non-
regard to term of this pact, any action taken by the Principal in binding recommendations. Beyond this, the Monitor has no right
to demand from the parties that they act in a specific manner,
1630
accordance with this Pact or interpretation thereof shall not be subject

refrain from action or tolerate action.
to any Arbitration. (7) The Monitor will submit a written report to the
(6) The actions stipulated in this Integrity Pact are without Chairman, NHAI within 8 to 10 weeks from the date of reference
prejudice to any other legal action that may follow in accordance with
or intimation to him by the Principal and, should the occasion
the provision of the extent law in force relating to any civil or criminal
arise, submit proposals for correcting problematic situations.
proceedings. (8) If the Monitor has reported to the Chairman, NHAI, a
substantiated suspicion of an offence under relevant IPC/PC Act
In witness whereof the parties have signed and executed this Pact at or any other Statutory Acts, and the Chairman, NHAI has not,
the place and date first done mentioned in the presence of following within the reasonable time taken visible action to proceed
witness:- against such offence or reported it to the Chief Vigilance Officer,
the Monitor may also transmit this information directly to the
Central Vigilance Commissioner.
(9) The word 'Monitor' would include both singular and
plural.
(For & On behalf of (For & On behalf of Article – 9 Pact Duration
the Principal) the Bidder/
Contractor/ This Pact begins when both parties have legally signed it (in case
Concessionaire/ of EPC i.e. for projects funded by Principal and consultancy
Consultant ) services). It expires for the Contractor/ Consultant 12 months
after his Defect Liability Period is over or 12 months after his
(Office Seal ) last payment under the contract whichever is later and for all
other unsuccessful Bidders 6 months after this Contract has been
awarded. (In case of BOT Projects) It expires for the
concessionaire 24 months after his concession period is over and
Place________
for all other unsuccessful Bidders 6 months after this Contract
Date_________ has been awarded. Any violation of the same would entail
disqualification of the bidder and exclusion from future
Witness 1 : (Name & Address): dealings.
1631
Witness 2 : (Name & Address): If any claim is made/ lodged during his time, the same shall be
binding and continue to be valid despite the lapse of this pact as
specified above, unless it is discharged/ determined by
Chairman of NHAI.
{COUNTERSIGNED and accepted by: Article - 10 Other Provisions.
(1) This pact is subject to Indian Law. Place of performance

JV Partner} and jurisdiction is the Registered Office of the Principal, i.e.
New Delhi.
(2) Changes and supplements as well as termination notices
need to be made in writing.
(3) If the Bidder/Contractor/Concessionaire/Consultant is in
a partnership or a consortium Joint Venture partner, this pact
must be signed by all partners or consortium members.
(4) Should one or several provisions of this agreement turn
out to be invalid, the remainder of this agreement remains valid.
In this case, the parties will strive to come to an agreement to
their original intentions.
(5) Issue like warranty/Guarantee etc. shall be outside the
purview of IEMs.
(6) In the event of any contradiction between the Integrity

Pact and its Annexure, the clause in integrity pact shall prevail.
(7) Any disputes/ differences arising between the parties

with regard to term of this pact, any action taken by the Principal
in accordance with this Pact or interpretation thereof shall not be
subject to any Arbitration.
1632
(8) The actions stipulated in this Integrity Pact are without

prejudice to any other legal action that may follow in accordance
with the provision of the extent law in force relating to any civil
or criminal proceedings.
In witness whereof the parties have signed and executed this
Pact at the place and date first done mentioned in the presence
of following witness:-
(For & On behalf of (For & On behalf of

the Principal) the Bidder/
Contractor/
Concessionaire/
Consultant )
(Office Seal )
Place________
Date_________
Witness 1 : (Name & Address):
Witness 2 : (Name & Address):

1633
{COUNTERSIGNED and accepted by:
JV Partner}
71. Appendix VII Newly Added This guarantee shall also be operatable at our……………….. This Modification has been
point no. 13 Branch at New Delhi, from whom, confirmation regarding made pursuant to change of
the issue of this guarantee or extension / renewal thereof shall mode of payment from demand
be made available on demand. In the contingency of this draft to Online Payment on NIC
guarantee being invoked and payment thereunder claimed, Portal
the said branch shall accept such invocation letter and make
payment of amounts so demanded under the said invocation.
72. Appendix VII Newly Added The guarantor/bank hereby confirms that it is on the SFMS This Modification has been
point no. 14 (Structural Finance Messaging System) platform & shall made pursuant to change of
invariably send an advice of this Bank Guarantee to the mode of payment from demand
designated bank of NHAI, the details of which is as under: draft to Online Payment on NIC
Portal
S. Particulars Details
No.
1. Name of Beneficiary National

Highways
Authority of
India
1634
3. Address of Bank Branch Dwarka, Sector

10 Branch
4. Account No. 8598201005819
73. Appendix Newly Added at the end of Appendix VIII “Accepted by This provision has been
VIII amended pursuant to
MoRT&H Circular no.
RW/NH-37010/4/2010-
EAP(Printing)Vol. IV dated
07.10.2019
(Name of the Authorized person)
(Name of the sole bidder / lead partner of JV)
Seal of the bidder”
74. Appendix IX Newly Added Appendix IX Appendix-IX This provision has been
amended pursuant to
Certificate regarding Compliance with Restrictions MoRT&H office memorandum
under Rule 144 (xi) of the General Financial Rules no. G-20016/03/2020-TF-II
(GFRs) dated 24.08.2020
(To be on the letter head of the Bidder/ Each Member of the
Consortium)
[The Chief Engineer of the concerned Project Zone /
General Manager (Tech.) of concerned

1635
Division Address of concerned Authority]
Sub: BID for *** ** Project
Dear Sir,
With reference to your RFP document dated *** **$, I/we,

having examined the Bidding Documents and understood their
contents, hereby undertake and confirm as follows:
I/We have read the clause regarding restrictions on procurement

from a bidder of a country which shares a land border with India
and on sub-contracting to contractors from such countries;
I certify that this Bidder is not from such a country or, if from
such a country, has been registered with the Competent
Authority as defined in Public Procurement Order no.
F.no.6/18/2019- PPD dated 23rd July 2020 and will not sub-
contract any work to a contractor from such countries unless
such contractor is registered with the Competent Authority.
I hereby certify that this bidder fulfils all requirements in this
regard and is eligible to be considered.
Yours faithfully,
Date:
1636
(Signature of the Authorised signatory)
Place:
(Name and designation of the of the Authorised signatory)
Name and seal of Bidder/ Each Member of Consortium
Notes:
{Where applicable, evidence of valid registration by the

Competent Authority shall be attached}In case the above
certification is found to be false, this would be a ground for
immediate rejection of Bid/termination and further legal action in
accordance with law.
1637
S. No. Clause no. Existing Clause as per Standard EPC Agreement issued on Modified Clause Relevant Circular
05.03.2019
1. Table of Schedule – S This provision has been
Newly added Schedule S
Content amended pursuant to NHAI
Procedure for Dispute Resolution Board
Policy Guideline no.
Annexure to Schedule S 2.1.43/2020 dated 04.09.2020
Disputes Resolution Board’s Rules and Procedures
BOARD MEMBER’S DECLARATION OF ACCEPTANCE
Schedule of expenses and fees payable to the Member (s) of

3. Clause 1.2 (t) (a) any agreement, consent, approval, authorisation, notice, (b) any agreement, consent, approval, authorisation, notice, This provision has been added
communication, information or report required under or pursuant communication, information report or any other pursuant to NHAI Policy
to this Agreement from or by any Party or the Authority’s correspondence required under or pursuant to this Agreement circular no 6.24/ 2020dated
Engineer shall be valid and effective only if it is in writing under from or by any Party or the Authority’s Engineer shall be valid 03.11.2020
the hand of a duly authorised representative of such Party or the and effective only if it is routed though NHAI Data Lake
Authority’s Engineer, as the case may be, in this behalf and not (unless the law requires to send such notice, communication,
otherwise; etc. through physical / any other specified mode only)under
the hand of a duly authorised representative of such Party or
the Authority’s Engineer, as the case may be, in this behalf
and not otherwise;
4. Clause 4.14 This provision has been added
Newly added Clause 4.14
OBLIGATIONS RELATING TO LOCAL CONTENT: pursuant to NHAI Policy
The Contractor [Class I Local Supplier/ Class II Local Supplier/ Circular No. 11.32/2021 Dated
Non Local Supplier] undertakes to ensure minimum Local 7.12.2021
1638
Content in the Project Highway of at least [50% / 20%] duly

complying with the provisions of Department for Promotion of
Industry and Internal Trade, Ministry of Commerce and Industry,
Government of India Order No. P-45021/2/2017-PP (BE- II)
dated September 16, 2020, as amended or modified till Bid Due
Date and the provisions under Rule 144(xi) of GFR, 2017.
5. Clause 7.1 (i) Within 30 (thirty) days of receipt of Letter of Acceptance, the selected Within 30 (thirty) days of receipt of Letter of Acceptance, the selected This provision has been
(A) Bidder shall furnish to the Authority an irrevocable and unconditional Bidder shall furnish to the Authority an irrevocable and unconditional modified pursuant to NHAI
guarantee from a Bank in the form set forth in Annex-I of Schedule-G (the guarantee from a Bank in the form set forth in Annex-I of Schedule-G Policy Circular No. 3.1.28
“Performance Security”) for an amount equal to 5% (five percent) of its (the “Performance Security”) for an amount equal to 3% (Three dated 29.12.2020
Bid Price. In case of bids mentioned below, the Selected Bidder, along with percent) of its Bid Price. In case of bids mentioned below, as decided
the Performance Security, shall also furnish to the Authority an irrevocable by the Authority, the Selected Bidder, along with the Performance
and unconditional guarantee from a Bank in the same form given at Annex- Security, shall also furnish to the Authority an irrevocable and
I of Schedule-G towards an Additional Performance Security (the unconditional guarantee from a Bank in the same form given at Annex-
“Additional Performance Security”) for an amount calculated as under: I of Schedule-G towards an Additional Performance Security (the
“Additional Performance Security”) for an amount calculated as
under:
6. Clause 7.1 Newly added proviso at the end of Clause 7.1 (i) (A) Provided that in any case, amount of Additional Performance This has been stated pursuant
(i)(A) Security shall not exceed the amount of Performance Security. to NHAI Policy Circular No.
Proviso 3.1.30/2021 Dated 20.01.2021
without modification of
clause.
7. Clause 8.3 In the event of withdrawal of Works under Clause 8.3 (iii) (a), the Contract In the event of withdrawal of Works under Clause 8.3 (iii) (a), the This provision has been
(iv) First para Price shall be reduced by an amount equal to 90 (ninety) per cent of the Contract Price shall be reduced by an amount equal to the percent of the amended pursuant to NHAI
value of the Works withdrawn and the Contractor shall not be entitled to value of the Works withdrawn as mentioned in table below and the Policy Circular No. 11.31/2021
any other compensation or Damages for the withdrawal of Works. Contractor shall not be entitled to any other compensation or Damages Dated 31.8.2021
for the withdrawal of Works.
Value of the Works Percentage of value of

withdrawn works to be reduced
from Contract Price
1639
upto Rs. 100 Crore 90%
More than Rs. 100 Crore Rs. 90 Crore plus 95%

of the amount greater
than Rs. 100 Crore
8. Clause 9.2 This provision has been
SHIFTING OF OBSTRUCT ING UTILITIES SHIFTING OF OBSTRUCT ING UTILITIES amended pursuant to NHAI
Policy Circular No 7.2.8/2020
The Contractor shall, in accordance with Applicable Laws and with The Contractor shall, subject to Applicable Laws and with
assistance of the Authority, undertake the work of shifting of any the assistance of the Authority, undertake shifting of any utility
utility (including electric lines, water pipes, gas pipelines and (including electric lines, water pipes and telephone cables), to
telephone cables) to an appropriate location or alignment, if such an appropriate location or alignment, if such utility or
utility or obstruction adversely affects the execution of Works or obstruction adversely affects the execution of Works or
Maintenance of the Project Highway in accordance with this maintenance of the Project Highway in accordance with this
Agreement. The cost of such shifting, as per estimates prepared by Agreement, as per the scope given in Schedule B and in
the entity owning the utility and approved by the Authority, shall be accordance with applicable standards and specifications of
reimbursed by the Authority to the Contractor. The scope of work of concerned utility owing entity. The cost of shifting of such,
such shifting of Utilities shall be as indicated in Schedule-B-1. In the utilities indicated in Schedule-B is payable to the Contractor as
event of any delay of such shifting on the part of the contractor, no per Schedule-H. Cost of shifting utilities not included in the
extension of time for completion of the project and no claims, in any Schedule-B if any, shall be treated as Change of Scope. The
manner, shall be admissible on this account against the Authority. Authority will provide assistance to the Contractor for obtaining
The work of shifting of Utilities can be taken up by the Contractor any the estimates for shifting of such utilities from the entity owing
time after signing of the Agreement. such electric lines, water pipes or telephone cables, as the case
may be. The Contractor shall execute such utility shifting works
under the supervision of utility owning agency and Authority’s
Engineer (AE) in accordance with the provision of Agreement.
The supervision charges only shall be paid by the Authority to the
Utility Owning Entity. In the event of any delay in shifting
thereof, the Contactor shall be responsible for failure to perform
any of its obligations here under if such failure is not as a direct
consequence of delay on the part of the entity owning such
electric lines, water pipes or telephone cables, as the case may be.
1640
The dismantled material/ scrap of existing Utility to be shifted/

dismantled shall belong to the Contractor who would be free to
dispose-off the dismantled material as deemed fit by them.
The work of shifting of Utilities can be taken up by the Contractor
any time after signing of the Agreement.
9. Clause 11.16 Video recording This provision has been

VIDEO RECORDING
During the Construction Period, the Contractor shall provide to the Authority
amended pursuant to NHAI
for every calendar month, a video recording, which will be compiled into a 3 Policy Circular No No.18.75/2021
During the Construction Period, the Contractor shall provide to the (three) hour digital video disc or any substitute thereof, covering the status and dated 3.11.2021
Authority for every calendar quarter, a video recording, which will progress of Construction Works in that month. The first such video recording
be compiled into a 3 (three)-hour compact disc or digital video disc, shall be provided to the Authority within 7 (seven) days of the Appointed Date
as the case may be, covering the status and progress of Works in that and thereafter, no later than 15 (fifteen) days after the close of each month.
Such video recording shall be carried out along with the authorized
quarter. The video recording shall be provided to the Authority no
representative of the Authority. Recording of previous videos and current
later than 15 (fifteen) days after the close of each quarter after the running side by side shall be loaded on Data Lake
Appointed Date. (https://datalakeg.nhai.gov.in/nhai) for easily capturing various developments
during the month before submission of their invoice. Capturing Ortho-image
for approx. 10% equivalent length of critical structures or any other specific
area should be decided by the Authority and be conveyed to the Drone Agency
in the site-specific work order. Authority Engineer shall ensure that the features
and quality of drone video is acceptable and video is not distorted/tampered
with. Authority Engineer shall analyse these drone videos and give their
comments in its digital MPRs covering inter-alia but not limited to the
encumbrances/lands not available, sites of COS demands, progress of project,
mobilisation of plant & equipment, mobilisation of camp sites, progress on
rectification of NCRs etc. along with the proposed action plan. Authority shall
cross-check drone videos during the monthly physical inspections and notify
the discrepancies noticed, if any, between drone video, on Authority Engineer
comments and ground reality. The discrepancies shall be examined and
addressed through joint site inspections.
1641
Authority should plan biannually drone based video recording during O&M
period in such a manner so that there is no overlap and digital data of O&M
period is available in regular intervals (monthly) through NSV and drone
videography.
Notwithstanding anything to the contrary contained in this document, the

Contractor shall also develop a Project specific website which shall be
accessible to the public and upload the time stamp pictures of the development
of Project Highway each week regarding progress. The website must be
accessible to the public. In addition, Authority shall also undertake need based
drone videography as and when required. Authority shall ensure development
of a project specific website by the Contractor. In case of default on this
account, the Authority shall withhold an amount equivalent to Rs. 5 Lacs plus
(drone rate X length of project X no. of defaulting week) from the dues to the
Contractor.
10. Clause (i) The Authority shall make payments to the Contractor for the (i) The Authority shall make payments to the Contractor for the This provision has been
19.1(i) & (ii) Works on the basis of the lump sum price accepted by the Works on the basis of the lump sum price accepted by the amended pursuant to NHAI
Authority in consideration of the obligations specified in this Authority in consideration of the obligations specified in this Policy Circular No. 11.30
Agreement for an amount of INR … … … … (INR … … … … Agreement for an amount of INR … … … … (INR … … … Dated 16.6.2021
… … … …) (the “Contract Price”), which shall be subject to … … … … …) (the “Contract Price”), which shall be subject
adjustments in accordance with the provisions of this Agreement. to adjustments in accordance with the provisions of this
For the avoidance of doubt, the Parties expressly agree that the Agreement. For the avoidance of doubt, the Parties expressly
Contract Price shall not include the cost of Maintenance, which agree that the Contract Price shall not include the cost of
shall be paid separately in accordance with the provisions of Maintenance and Goods and Services Tax (GST), the cost of
Clause 19.7. The Parties further agree that save and except as Maintenance shall be paid separately in accordance with the
provided in this Agreement, the Contract Price shall be valid and provisions of Clause 19.7 and GST shall be payable at the
effective until issue of Completion Certificate. applicable rates. The Parties further agree that save and except
as provided in this Agreement, the Contract Price shall be
valid and effective until issue of Completion Certificate.
(ii) The Contract Price includes all duties, taxes, (Excluding GST
which shall be payable at the applicable rates), royalty, cess,
(ii) The Contract Price includes all duties, taxes, royalty, cess, charges, and fees that may be levied in accordance with the
charges, and fees that may be levied in accordance with the laws laws and regulations in force as on the Base Date on the
and regulations in force as on the Base Date on the Contractor's
1642
equipment, Plant, Materials and supplies acquired for the purpose Contractor's equipment, Plant, Materials and supplies
of this Agreement and on the services performed under this acquired for the purpose of this Agreement and on the services
Agreement. Nothing in this Agreement shall relieve the performed under this Agreement. Nothing in this Agreement
Contractor from its responsibility to pay any tax including any tax shall relieve the Contractor from its responsibility to pay any
that may be levied in India on profits made by it in respect of this tax including any tax that may be levied in India on profits
Agreement. made by it in respect of this Agreement. The Contract Price
also includes the cost of shifting of obstructing Utilities
(including all centages as applicable by the Utility owning
department except supervision charges) as given in clause 9.2
and Schedule B.
11. Clause 19.1.2 The Contract price also includes the cost of shifting of obstructing This provision has been
Newly added Clause 19.1.2
Utilities (including all centages as applicable by the Utility amended pursuant to NHAI
owning department except supervision charges) as given in Policy Circular No 7.2.8/2020
Clause 9.2 and Schedule B
13. Clause 26 This provision has been

DISPUTE RESOLUTION DISPUTE RESOLUTION amended pursuant to NHAI
26.1.1 In the event of any dispute, difference or Policy Guideline no.
(iii) Any dispute, difference or controversy of whatever nature howsoever controversy of whatever nature howsoever arising under or out of 2.1.43/2020 dated 04.09.2020
arising under or out of or in relation to this Agreement (including its or in relation to this Agreement (including its interpretation)
interpretation) between the Parties, and so notified in writing by either
Party to the other Party (the “Dispute”) shall, in the first instance, be between the Parties, and so notified in writing by either Party to
attempted to be resolved amicably in accordance with the conciliation the other Party (the “Dispute”) either Party may call upon the
procedure set forth in Clause 26.2. Authority Engineer, to mediate and assist the Parties in arriving
at an amicable settlement thereof.
(iv) 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 26.1.2 The Parties agree to use their best efforts for
access during normal business hours to all non-privileged records, resolving all Disputes arising under or in respect of this
information and data pertaining to any Dispute. Agreement promptly, equitably and in good faith, and further
agree to provide each other with reasonable access during normal
CONCILIATION
1643
business hours to all non-privileged records, information and data

In the event of any Dispute between the Parties, either Party may call pertaining to any Dispute.
upon the Authority’s Engineer, or such other person as the Parties
may mutually agree upon (the “Conciliator”) to mediate and assist
the Parties in arriving at an amicable settlement thereof. Failing 26.1.3 Dispute Resolution Board (DRB):
mediation by the Conciliator or without the intervention of the Failing mediation by the Authority’s Engineer or without the
Conciliator, either Party may require such Dispute to be referred to intervention of the Authority’s Engineer, either Party may require
the Chairman of the Authority and the Chairman of the Board of
such Dispute to be referred to the Dispute Resolution Board
Directors of the Contractor for amicable settlement, and upon such
reference, the said persons shall meet no later than 7 (seven) business (“DRB”) in accordance with the procedure setforth in Schedule-
days from the date of reference to discuss and attempt to amicably S to the Contract Agreement. The decision(s) of the Dispute
resolve the Dispute. If such meeting does not take place within the 30 Resolution Board shall be binding on both parties who shall
(thirty) business day period or the Dispute is not amicably settled promptly give effect to unless and until the same is
within 30 (thirty) days of the meeting or the Dispute is not resolved revised/modified, as hereinafter provided, in a
as evidenced by the signing of written terms of settlement within 30 Conciliation/Arbitral Tribunal.
(thirty) days of the notice in writing referred to in Clause 26.1.1 or
such longer period as may be mutually agreed by the Parties, either
Party may refer the Dispute to arbitration in accordance with the 26.2 Conciliation
provisions of Clause 26.3 but before resorting to such arbitration, the If either the employer (i.e. Authority) or the
parties agree to explore conciliation by the Conciliation Committees Contractor is dissatisfied with any decision of the DRB, and/ or if
of Independent Experts set up by the Authority in accordance with the DRB is unable to resolve the dispute, either Party may refer
the procedure decided by the panel of such experts and notified by the the Dispute to arbitration in accordance with the provisions of
Authority on its website including its subsequent amendments. In the Clause 26.3 but before resorting to such arbitration, the parties
event of the conciliation proceedings being successful, the parties to agree to explore conciliation by the Conciliation Committees of
the dispute would sign the written settlement agreement and the Independent Experts set up by the Authority in accordance with
conciliators would authenticate the same. Such settlement agreement the procedure decided by the panel of such experts and notified
would then be binding on the parties in terms of Section 73 of the by the Authority on its website including its subsequent
Arbitration Act. In case of failure of the conciliation process even at amendments. In the event of the conciliation proceedings being
the level of the Conciliation Committee, either party may refer the successful, the parties to the dispute would sign the written
Dispute to arbitration in accordance with the provisions of Clause settlement agreement and the conciliators would authenticate the
26.3. same. Such settlement agreement would then be binding on the
parties in terms of Section 73 of the Arbitration Act. In case of
ARBITRATION failure of the conciliation process even at the level of the
1644
Conciliation Committee, either party may refer the Dispute to

(v) Any dispute which remains unresolved between the parties through arbitration in accordance with the provisions of Clause 26.3.
the mechanisms available/ prescribed in the Agreement, irrespective
of any claim value, which has not been agreed upon/ reached ARBITRATION
settlement by the parties, will be referred to the Arbitral Tribunal as
per the Arbitration and Conciliation Act.
26.3.1 Any Dispute which is not resolved amicably by
(vi) Deleted conciliation as provided in Clause 26.2 shall be finally settled by
arbitration as set forth below:
(vii) The Arbitral Tribunal shall make a reasoned award (the “Award”).
i) The Dispute shall be finally referred to Society for
Any Award made in any arbitration held pursuant to this Article 26
shall be final and binding on the Parties as from the date it is made,
Affordable Resolution of Disputes (hereinafter called as
and the Contractor and the Authority agree and undertake to carry SAROD), a Society registered under Society's Act, 1860 vide
out such Award without delay. Registration no. S/RS/SW1049/2013 duly represented by
Authority and National Highways Builders Federation (NHBF).
(viii) The Contractor and the Authority agree that an Award may be The dispute shall be dealt with in terms of Rules of SAROD. The
enforced against the Contractor and/or the Authority, as the case detailed procedure for conducting Arbitration shall be governed
may be, and their respective assets wherever situated. by the Rules of SAROD and provisions of Arbitration &
Conciliation Act, 1996, as amended from time to time. The
(ix) This Agreement and the rights and obligations of the Parties shall Dispute shall be governed by Substantive Law of India.
remain in full force and effect, pending the Award in any arbitration ii) The appointment of Tribunal, Code of conduct for
proceedings hereunder. Further, the parties unconditionally
Arbitrators and fees and expenses of SAROD and Arbitral
acknowledge and agree that notwithstanding any dispute between
them, each Party shall proceed with the performance of its Tribunal shall also be governed by the Rules of SAROD as
respective obligations, pending resolution of Dispute in accordance amended from time to time. The rules of SAROD are placed at
with this Article. Annexure to schedule S.
iii) Subject to the provisions of THE LIMITATION
(x) In the event the Party against whom the Award has been granted ACT, 1963, as amended from time to time, Arbitration may be
challenges the Award for any reason in a court of law, it shall make commenced during or after the Contract Period, provided that the
an interim payment to the other Party for an amount equal to 75% obligations of Authority and the Contractor shall not be altered by
(seventy five per cent) of the Award, pending final settlement of the reason of the Arbitration being conducted during the Contract
Dispute. The aforesaid amount shall be paid forthwith upon Period.
furnishing an irrevocable Bank Guarantee for a sum equal to 120 %
iv) The venue of Arbitration shall be New Delhi or a
(one hundred and twenty per cent) of the aforesaid amount. Upon
final settlement of the Dispute, the aforesaid interim payment shall
place selected by governing body of SAROD and the language
be adjusted and any balance amount due to be paid or returned, as for all documents and communications between the parties shall
the case may be, shall be paid or returned with interest calculated be English.
1645
at the rate of 10% (ten per cent) per annum from the date of interim v) The expenses incurred by each party in connection
payment to the date of final settlement of such balance. with the preparation, presentation, etc., of arbitral proceedings
shall be shared by each party itself.
ADJUDICATION BY REGU LATORY AUTHORITY, TR IBUNAL
OR COMMISSION
26.3.2 The arbitrators shall make a reasoned award (the
In the event of constitution of a statutory regulatory authority, "Award"). Any Award made in any arbitration held pursuant to
tribunal or commission, as the case may be, with powers to adjudicate this Article 26 shall be final and binding on the Parties as from
upon disputes between the Contractor and the Authority, all Disputes the date it is made, and the Contractor and the Authority agree
arising after such constitution shall, instead of reference to arbitration and undertake to carry out such Award without delay.
under Clause 26.3, be adjudicated upon by such regulatory authority,
tribunal or commission in accordance with the Applicable Law and
all references to Dispute Resolution Procedure shall be construed 26.3.3 The Contractor and the Authority agree that an
accordingly. For the avoidance of doubt, the Parties hereto agree that Award may be enforced against the Contractor and/or the
the adjudication hereunder shall not be final and binding until an Authority, as the case may be, and their respective assets
appeal against such adjudication has been decided by an appellate wherever situated.
tribunal or court of competent jurisdiction, as the case may be, or no
such appeal has been preferred within the time specified in the (xi) 26.3.4 This Agreement and the rights and obligations of the
Applicable Law. Parties shall remain in full force and effect, pending the Award
in any arbitration proceedings hereunder. Further, the parties
unconditionally acknowledge and agree that notwithstanding
any dispute between them, each party shall proceed with the
performance of its respective obligations, pending resolution of
Dispute in accordance with this Article.
ADJUDICATION BY REGU LATORY AUTHORITY,

TRIBUNAL OR COMMISSION
In the event of constitution of a statutory regulatory authority, tribunal

or commission, as the case may be, with powers to adjudicate upon
disputes between the Contractor and the Authority, all Disputes arising
after such constitution shall, instead of reference to arbitration under
Clause 26.3, be adjudicated upon by such regulatory authority, tribunal
or commission in accordance with the Applicable Law and all
references to Dispute Resolution Procedure shall be construed
accordingly. For the avoidance of doubt, the Parties hereto agree that
1646
the adjudication hereunder shall not be final and binding until an appeal
against such adjudication has been decided by an appellate tribunal or
court of competent jurisdiction, as the case may be, or no such appeal
has been preferred within the time specified in the Applicable Law.
14. Clause 27.13 This provision has been added

NOTICES NOTICES pursuant to NHAI Policy
circular no 6.24/2020dated
Any notice or other communication to be given by any Party to the Unless the law requires to follow the specified mode of 03.11.2020
other Party under or in connection with the matters contemplated by communication only as prescribed therein, any notice or other
this Agreement shall be in writing and shall: communication to be given by one contracting Party to the other
Party under or in connection with the matters contemplated by
(a) in the case of the Contractor, be given by facsimile or e-mail and by this Agreement shall be routed though NHAI Data Lake under the
letter delivered by hand to the address given and marked for attention hand of the authorized representative and shall:
of the person set out below or to such other person as the Contractor
may from time to time designate by notice to the Authority; provided (a) In the case of the Contractor, be given through NHAI Data Lake
that notices or other communications to be given to an address outside and marked for attention of the person set out below or to such
[Delhi] may, if they are subsequently confirmed by sending a copy other person as the Contractor may from time to time designate by
thereof by registered acknowledgement due, air mail or by courier, be notice to the Authority;
sent by facsimile or e-mail to the person as the Contractor may from
time to time designate by notice to the Authority; {Attention:
(b) [***] Designation:
(c) in the case of the Authority, be given by facsimile or e-mail and by Address:
letter delivered by hand and be addressed to the [Chairman] of the Fax No:
Authority with a copy delivered to the Authority Representative or
such other person as the Authority may from time to time designate by Email ;}
notice to the Contractor; provided that if the Contractor does not have
an office in [Delhi] it may send such notice by facsimile or e-mail and
by registered acknowledgement due, air mail or by courier; and (b) In the case of the Authority, through NHAI Data Lake and be
addressed to the Chairman of the Authority with a copy delivered
(d) any notice or communication by a Party to the other Party, given in to the Authority Representative or such other person as the
accordance herewith, shall be deemed to have been delivered when in Authority may from time to time designate by notice to the
the normal course of post it ought to have been delivered and in all Contractor;
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- {Attention:
Designation:
1647
mail, it shall be deemed to have been delivered on the working day Address:
following the date of its delivery.
Fax No:
Email ;}
(c) Any notice or communication by one contracting Party to the other
Party, given in accordance herewith, shall be deemed to have been
delivered when given through or made on the NHAI Data Lake.
15. Schedule-E Modification has been made
Annex-1 A. (H) OTHER PROJECT (H) OTHER PROJECT pursuant to Circular No.
Flexible FACILITIES AND FACILITIES AND RW/NH-33044/14/2003-SfrR
Pavement APPROACH ROADS APPROACH ROADS (R) dated 03.09.2019
(I) DAMAGE IN APPROACH 15 (I) DAMAGE IN APPROACH 15

ROADS, PEDESTRIAN (FIFTEEN) ROADS, PEDESTRIAN (FIFTEEN)
FACILITIES, TRUCK LAY- DAYS FACILITIES, TRUCK LAY- DAYS
BYES, BUS-BAYS, BUS- BYES, BUS-BAYS, BUS-
SHELTERS, CATTLE SHELTERS, CATTLE
CROSSINGS, [TRAFFIC AID CROSSINGS, TRAFFIC AID
POSTS, MEDICAL AID POSTS, MEDICAL AID
POSTS] AND SERVICE POSTS, RAIN WATER
ROADS HARVESTING / ARTIFIC AL
RECHARGE UNIT AND
SERVICE ROADS
(II) DAMAGED VEHICLES OR 4 (FOUR)
DEBRIS ON THE ROAD HOURS
(II) DAMAGED VEHICLES OR 4 (FOUR)
DEBRIS ON THE ROAD HOURS
(III) MALFUNCTIONING OF THE 4 (FOUR)
MOBILE CRANE HOURS
(III) MALFUNCTIONING OF THE 4 (FOUR)
MOBILE CRANE HOURS
1648
16. Schedule G 12. This guarantee shall also be operatable at our…… ………….. This Modification has been
Annex I NEWLY ADDED POINT NO . 12 & 13 Branch at New Delhi, from whom, confirmation regarding the made pursuant to change of
issue of this guarantee or extension / renewal thereof shall be mode of payment from
made available on demand. In the contingency of this
demand draft to Online
guarantee being invoked and payment thereunder claimed, the
said branch shall accept such invocation letter and make Payment on NIC Portal
13. The guarantor/bank hereby confirms that it is on the SFMS
(Structural Finance Messaging System) platform & shall
invariably send an advice of this Bank Guarantee to the
designated bank of NHAI, detail of which is as under:
No.
1. Name of National Highways
Beneficiary Authority of India
3. Address of Dwarka, Sector 10
Bank Branch Branch
4. Account No. 8598201005819
17. Schedule G 12.This guarantee shall also be operatable at our…… ………….. This Modification has been
Annex II NEWLY ADDED POINT NO . 12 & 13 Branch at New Delhi, from whom, confirmation regarding made pursuant to change of
the issue of this guarantee or extension / renewal thereof shall mode of payment from
be made available on demand. In the contingency of this demand draft to Online
guarantee being invoked and payment thereunder claimed, Payment on NIC Portal
the said branch shall accept such invocation letter and make
13.The guarantor/bank hereby confirms that it is on the SFMS
(Structural Finance Messaging System) platform & shall
invariably send an advice of this Bank Guarantee to the
1649
designated bank of NHAI, detail of which is as under:

No.
6. Name of National Highways
Beneficiary Authority of India
8. Address of Dwarka, Sector 10
Bank Branch Branch
9. Account No. 8598201005819
14.
18 Schedule - L Modification has been made
It is certified that Rain Water Harvesting and Artificial
NEWLY ADDED POINT NO 2 Recharging arrangements have been provided by the Contractor pursuant to Circular No.
as per Schedule C of the Contract Agreement, and are functional. RW/NH-33044/14/2003-
Details (with location chainage) are as given in Annex- ________. SfrR(R) dated 03.09.2019
19. Schedule- S Procedure for Dispute Resolution Board This provision has been
NEWLY ADDED SCHEDULE S amended pursuant to NHAI
The parties to the Contract Agreement mutually agree as follows: Policy Guideline no.
2.1.43/2020 dated 04.09.2020
1. The Board shall comprise of three Members having
experience in the field of construction or have been involved
in the Works related to construction and with the
interpretation of contractual documents. One Member shall
be selected by each of the Authority and the Contractor from
the list maintained by NHAI hosted on its website
(www.nhai.gov.in). In the event the parties fail to select the
member within 28 days of the date of the signing of Contract
agreement, in that eventuality, upon the request of either or
both parties such Member shall be selected by SAROD
within 14 days. The third Member shall be selected by the
other two members from the same list. If the two Members
selected by or on behalf of the parties fail to select the third
1650
Member within 14 days after the later of their selections, then

upon the request of either or both parties such third Member
shall be selected by SAROD within 14 days. The third
Member shall serve as Chairman of the Board.
2. The Board shall be constituted when each of the three Board
Members has signed a Board Member's declaration of
Acceptance as required by the DRB's rules and procedures
(which, along with the declaration of acceptance form, are
attached as Annexure herewith).
3. In the event of death, disability, or resignation of any
Member, such Member shall be replaced in the same manner
as the Member being replaced was selected. If for any other
reason, a Member fails or is unable to serve, the Chairman
(or failing the action of the Chairman then either of the other
Members) shall inform the Parties and such non-serving
Member shall be replaced in the same manner as the Member
being replaced was selected. Any replacement made by the
parties shall be completed within 28 days after the event
giving rise to the vacancy on the Board, failing which the
replacement shall be made by SAROD in the same manner
as described above. Replacement shall be considered
complete when the new Member signs the Board Member's
Declaration of Acceptance. Throughout any replacement
process, the Members not being replaced shall continue to
serve and the Board shall continue to function and its
activities shall have the same force and effect as if the
vacancy had not occurred, provided, however that the Board
shall not conduct a hearing nor issue a decision until the
replacement is completed.
4. If either the Authority or the Contractor is dissatisfied with

any decision of the Board, and/or if the Board fails to issue
its decision within 56 days after receipt of all the pleadings
(along with the supporting documents) of the parties by the
1651
Chairman of the Board or any extension mutually agreed

upon by the Authority and the Contractor, in such a case,
either the Authority or the Contractor may, within 28 days
after his receipt of the decision, or within 28 days after the
expiry of the said period, as the case may be, give notice to
the other party, with a copy for information to the Authority’s
Engineer, of his intention to refer the matter to the
Conciliation Committee of Independent Experts (CCIE) of
the Authority for Conciliation/amicable settlement.
5. It is mandatory to refer all the disputes to DRB before

issuance of completion certificate and satisfactory
completion of punch list items. No dispute shall be
entertained after completion of aforementioned date.
6. If the Board has issued a decision to the Authority and the

Contractor within the said 56 days or any extension mutually
agreed upon by the Authority and the Contractor and no
notice of intention to commence Conciliation by the
Conciliation Committee of Independent Experts (CCIE) of
the Authority for Conciliation/amicable settlement as to such
dispute has been given by either the Authority or the
Contractor within 28 days after the parties received such
decision from the Board, the decision shall become final and
binding upon the Authority and Contractor.
7. Whether or not it has become final and binding upon the

Authority and the Contractor, a decision shall be admissible
as evidence in any subsequent dispute resolution procedure,
including any arbitration or litigation having any relation to
the dispute to which the decision relates.
1652
8. All decision of DRB which have become final and binding

or till they have been reversed in subsequent
conciliation/Arbitration process shall be implemented by the
parties forthwith. Such implementation shall also include any
relevant action of the Authority’s Engineer.
9. If during the Contract Period, the Authority and the

Contractor are of the opinion that the Disputes Resolution
Board is not performing its functions properly, the Authority
and the Contractor may together disband the Disputes
Resolution Board and reconstitute it. In that case, a new
board shall be selected in accordance with the provisions
applying to the selection of the original Board as specified
above, except that words "within 28 days after the signing of
this Contract agreement" shall be replaced by the words
"within 28 days after the date on which the notice disbanding
the original Board became effective".
10. The Authority and the Contractor shall jointly signed a notice
specifying that the Board shall stand disbanded with effect
from the date specified in the notice. The notice shall be
posted by the email to each member of the Board. A Member
shall be deemed to have received the email even if he refuses
to have received the same.
11. All other terms and conditions of the original Contract
Agreement shall remain unaltered/unaffected and the parties
shall remain bound by terms and conditions as contained
therein.
Annexure to Schedule [S]
Disputes Resolution Board's Rules and Procedures

1653
1. Except for providing the services required hereunder, the

Board Members shall not give any advice to either party or
to the Authority’s Engineer concerning conduct of the
Works. The Board Members:
a. Shall have no financial interest in any party to the Contract,

or the Authority’s Engineer, or a financial interest in the
contract, except for payment for services on the Board.
b. Shall have had no previous employment by, or financial ties

to, any party to the Contract Agreement, or the Authority’s
Engineer, except for fee based consulting services/advisers
on other projects, and/or be Retired Government Officers
(not connected in whole or part with the project), all of which
must be disclosed in writing to both parties prior to
appointment to the Board.
c. Shall have disclosed in writing to both parties prior to

appointment to the Board any and all recent or close
professional or personal relationships with any director,
officer, or employee of any party to the Contract, or the
Authority’s Engineer, and any and all prior involvement in
the project to which the Contract relates:
d. Shall not, while Board member, be employed whether as a

consultant or adviser or otherwise by either party to the
Contract, or the Authority’s Engineer, except as a Board
Member, without the prior consent of the parties and the
other Board Members;
e. Shall not, while a Board Member, engage in discussion or

make any agreement with any party to the Contract, or with
the Authority’s Engineer, regarding employment whether as
1654
a consultant or otherwise whether after the Contract is

completed or after service as a Board Member is completed.
f. Shall remain and be impartial and independent of the parties

and shall disclose in writing to the Authority, the Contractor
and one another any fact or circumstance which might be
such as to cause either the Authority or the Contractor to
question the continued existence of the impartiality and
independence required of Board Members, and
g. Shall be fluent in the language of the Contract.
2. Except for its participation in the Board's activities as

provided in the Contract Agreement and in this Agreement
none of the Authority, the Contractor, and or the Authority’s
Engineer shall solicit advice or consultation from the Board
or the Board Members on matters dealing with the conduct
of the Works.
3. The Contractor shall:

Furnish to each Board member one copy of all documents which
the Board may request including Contract Agreement,
progress reports and other documents pertinent to the
performance of the Contract Agreement.
b. In cooperation with the Authority, coordinate the site visits

of the Board, including conference facilities, and secretarial
and copying service.
4. The Board shall begin its activities following the signing of

a Board Member's Declaration of Acceptance by all three
Board Members, and it shall terminate these activities as set
forth below:
1655
a. The Board shall terminate its regular activities when either

(i) issuance of completion certificate and completion of
punch list items or (ii) the parties have terminated the
contract and when, in either case, the Board has
communicated to the parties and the Authority’s Engineer its
decision on all disputes previously referred to it.
b. Once the Board has terminated its regular activities as

provided by the previous paragraph, the Board shall remain
available to process any dispute referred to it by either party.
In case of such a referral, Board Members shall receive
payments as provided in paragraphs 7(a) (ii), (iii) and (iv).
5. Board Members shall not assign or subcontract any of their

work under these Rules and Procedures.
6. The Board Members are Independent and not employees or

agents of either the Authority or the Contractor.
7. Payments to the Board Members for their services shall be

governed by the following provisions.
a. Each Board Member will receive payments as follows:
i. A retainer fee per calendar month as specified in the schedule

of fee made part of this Schedule and its revision from time
to time. This retainer fee shall be considered as payment in
full for:
A. Being available, on 7 days' notice, for all hearings, Site

Visits, and other meetings of the Board.
B. Being conversant with all project developments and

maintaining relevant files.
1656
C. All offices and overhead expenses such as secretarial

services, photocopying and office supplies (but not include
telephone calls, faxes and telexes) incurred in connection
with the duties as a Board Member.
ii. A daily fee as specified in the schedule of fee in respect of

fee for site visit & meeting, fee for meeting/ hearing not at
site and extra charges for days max. of 02 days for travel on
each occasion) other than hearing / meeting days.
Expenses, in addition to the above, all reasonable and necessary
travel expenses (including economy class air fare,
subsistence, and other direct travel expenses). Receipts for all
expenses in excess of Rs. 2000/- (Rupees Two Thousand
only) shall be provided.
iv. Reimbursement of any taxes that may be levied on payments

made to the Board Member pursuant to this paragraph 7.
b. The retainer fee and other fees shall remain fixed for the
period of each Board Member's term until revised by NHAI.
c. Phasing out of monthly retainer fee. Beginning with the next

month after the completion certificate (or, if there are more
than one, the one issued last) has been issued, the Board
members shall receive only one-third of the monthly retainer
fee till next one year. Beginning with the next month after the
Board has terminated its regular activities pursuant to
paragraph 4(a) above, the Board members shall no longer
receive any monthly retainer fee.
d. Payments to the Board Members shall be shared equally by

the Authority and the Contractor. The concerned Project
Implementation Unit (PIU) of Authority shall pay members'
1657
invoices within 30 calendar days after receipt of such

invoices and shall invoice the Contractor for one-half of the
amounts of such invoices. The Contractor shall pay such
invoices within 30 days' time period after receipt of such
invoices.
8. Board Site Visits:
a. The Board shall visit the Site and meet the representatives of
the Authority, the Contractor and the Authority’s Engineer at
regular intervals, at times of critical construction events, at
the written request of either party, and in any case not less
than 6 times in any period or 12 months. The timing of Site
visits shall be as agreed among the Authority, the Contractor
and the Board, but failing agreement shall be fixed by the
Board.
b. Site visits shall include an informal discussion of the status

of the construction of the Works. Site visits shall be attended
by personnel from the Authority, the Contractor and the
Authority’s Engineer.
c. At the conclusion of each Site visit, the Board shall prepare

a report covering its activities during the visit and shall send
copies to the parties and to the Authority’s Engineer.
9. Procedure for Dispute Referral to the Board
lf either party objects to any action or inaction of the other party

or the Authority’s Engineer, the objecting party may file a
written Notice of Dispute to the other party with a copy to the
Authority’s Engineer stating that it is given pursuant to the
1658
Agreement and state clearly and in details the basis of the

dispute.
a. The party receiving the Notice of Dispute will consider it and
respond to it in writing within 14 days after receipt.
b. This response shall be final and conclusive on the subject,

unless a written appeal to the response is filed with the
responding party within 10 days after receiving the response
and call upon Authority’s Engineer to mediate and assist the
parties in arriving an amicable settlement thereof. Both
parties are encouraged to pursue the matter further to attempt
to settle the dispute.
c. If the Authority’s Engineer receiving the Notice of Dispute

fails to provide a written response within 14 days after receipt
of such Notice or failing mediation by Authority’s Engineer,
either party may require such dispute to be referred to the
Board, either party may refer the dispute to the Board by
written Request to the Board. The Request for decision shall
state clearly and in full detail the specific issues of the dispute
(s) to be considered by Board and shall be addressed to the
Chairman of the Board, with copies to the other Board
Members, the other party, and the Authority Engineer, and it
shall state that it is made pursuant to this Agreement.
d. When a dispute is referred to the Board, and the Board is

satisfied that the dispute requires the Board's assistance, the
Board decide when to conduct a hearing on the dispute. The
Board may request that written documentation and
arguments from both parties be submitted to each Board
Member before the hearing begins. The parties shall submit
insofar as possible agreed statements of the relevant facts.
1659
e. During the hearing, the Contractor, the Authority, and the

Authority’s Engineer shall each have ample opportunity to
be heard and to offer evidence. The Board's decision for
resolution of the dispute will be given in writing to the
Authority, the Contractor and the Authority’s Engineer as
soon as possible, and in any event not more than 56 days or
any mutually extended period between the Authority and the
Contractor. The time period of 56 days of issuance of DRB
decision will reckon/start from the day of first hearing that
begins after submission of complete pleadings (including
supporting documents, if any) by the parties.
10. Conduct of Hearings:
a. Normally hearings will be conducted at the Site, but any

location that would be more convenient and still provide all
required facilities and access to necessary documentation
may be utilized by the Board. Private session of the Board
may be held at any cost effective location convenient to the
Board. Video recordings of all hearings shall invariably be
made.
b. The Authority, the Authority’s Engineer and the Contractor

shall be given opportunity to have representatives at all
hearings. Parties should restrain to bring any Advocate/Law
Firm during DRB hearings.
c. During the hearings, no Board Member shall express any

opinion concerning the merit of the respective arguments of
the parties.
d. After the hearings are concluded, the Board shall meet

privately to formulate its decision. The private meeting (s) of
the Board shall not exceed 3 sittings. All Board deliberations
1660
shall be conducted in private, with all Members' individual

views kept strictly confidential. The Board's decisions,
together with an explanation of its reasoning shall be
submitted in writing to both parties and to the Authority’s
Engineer. The decision shall be based on the pertinent
contract provisions, applicable laws and regulations and the
facts and circumstances involved in the dispute.
e. The Board shall make every effort to reach a unanimous

decision. If this proves impossible the majority shall decide
and the dissenting Member may prepare a written minority
report together with an explanation of its reasoning for
submission to both parties and to the Authority’s Engineer
11. In all procedural matters, including the furnishing of written

documents and arguments relating to disputes, site visits and
conduct of hearings, the Board shall have full and the final
authority. If a unanimous decision on any such matter proves
impossible, the majority shall prevail.
12. After having been selected and where necessary approved
each Board Member shall sign two copies of the following
declaration and make one copy available each to the
Authority and to the Contractor.
BOARD MEMBER’S DECLARATION OF ACCEPTANCE
WHEREAS
a. A Contract Agreement (the Contract) for the__________

project [fill in the name of project] has been signed on
___________ [fill in date] between__________ [name of
Authority] and ______________name of Contractor] (the
Contractor).;
1661
b. The provisions of Agreement and Dispute Resolution Board's

rules and procedure provided for establishment and operation
of Dispute Resolution Board (DRB).
c. The undersigned has been selected to serve as a Board Member

on said Board;
NOW THEREFORE, the undersigned Board Member hereby

declares as follows
1. I accept the selection as a Board Member and agree to serve

on the Board and to be bound by the provisions of Contract
Agreement and rules and procedure provided for
establishment and operation of Dispute Resolution Board
DRB).
2. With respect to paragraph 1 of Dispute Resolution Board's

Rules and Procedure. said Annex A, I declare
a. that I have no financial interest of the kind referred to in

subparagraph (a):
b. that I have had no previous employment nor financial ties of

the kind referred to in subparagraph (b); and
c. that I have made to both parties any disclosures that may be

required by sub- paragraphs (b) and (c).
3. I declare that I have __________no. of Arbitrations (list

enclosed) and _________ no. of DRBs (list enclosed) in
progress and that I will give sufficient time for the current
assignment.
BOARD MEMBER
1662
________________________________
__________ [insert name of Board Member)

Date: ____________________________________
Schedule of expenses and fees payable to the Member(s) of

The fee and other expenses payable to the Members of DRB shall
be as under
S. No. Particular Amount

Payable
1 Retainer-ship fee, Rs. 50,000/-
secretarial assistance and per month
incidental charges for one
(telephone, fax, postage package and
etc) maximum of
Rs. 75,000/-
per month
for 2 or more
packages
2(i) Fee for site visit or Rs. 25,000/-
meetings at site per day
(ii) Fee for meetings/hearings Rs. 10,000/-
not at site per day
3 Traveling expenses Economy
class by air,
AC first class
by train and
AC taxi by
road
4 Lodging & Boarding Rs. 15,000/-
per day
(Metro
Cities): or
1663
Rs. 10,000/-
per day (in
other cities);
or
Rs. 5,000/-
per day (own
arrangement)
5 Extra charges for days Rs. 5,000/-
other than hearing/meeting
days (travel days
maximum of 2 days on
each occasion)
6 Local conveyance Rs. 2,000/-
Notes:
i. Lodging, boarding and travelling expenses will be allowed only
for those members who are residing 100 kms away from the
place of meeting.
ii. Delhi, Mumbai, Chennai, Kolkata, Bangalore and Hyderabad

shall be considered as Metro Cites.
iii. The above schedule of fee and expenses shall be applicable

on or after the date of issue of this circular.
iv. The expenses are to be shared equally by the parties i.e.

Authority and Contractor.
II: Model RFP and Model Concession Agreement

for HAM projects.
Model RFP of HAM was issued by MoRTH vide version dt 24.11.2015 and same has
been implemented for National Highway projects vide MoRTH Circular No. NH-
24028/14/2014-H (Vol-II) dt. 09.02.2016. Revised Model Concession Agreement for HAM
projects was issued vide MoRTH OM No. NH-24028/14/2014-H dated 10.11.2020.
2. After the publication of Model RFP and Model Concession Agreement for HAM
projects, the following circulars have been issued by MoRTH/NHAI till 28.04.2022:
Sr. Subject Circular No. / Letter No. Date

No.
I. Fixation of timelines for e- MoRTH Letter No. RW/NH- 16th January, 2017
tendering-Reg. 37010/4/2010/PIC-
EAP(Printing)
II. Amendments to Model RFP for MoRTH Letter No. NH- 02nd June, 2017
Hybrid Annuity projects 37015/1/2009-H
[Amendment No. 1/2017]-reg.
III. Dispensation of physical NHAI Policy circular No 06th June, 2019
submission of Bid in various 9.1.11/2019
procurement methods- Amendment
to RFP clauses-Reg.
IV. Standard Operating Procedure for NHAI Policy circular No 29th July, 2019
HAM Concessionaires due to 03.03.20/2019
Change in Law on account of
introduction of GST Act, 2017 – reg.
V. Rain Water Harvesting and Artificial MoRTH Letter No. RW/NH- 03rd September,
recharging along National 33044/14/2003-S&RI Pt. I 2019
Highways- Standard Operating
Procedure.
VI. Inclusion of Utility Shifting Works in NHAI Policy circular No 06th March, 2020
the RFPs/Bids as part of Civil 7.2.8/2020
Construction under Hybrid Annuity
and EPC Mode – reg.
VII. Standard Request for MoRTH Letter No. RW/NH- 30th April, 2020
Proposal(RFP) for National 37010/4/2010-EAP(Printing)
Highways and centrally sponsored Vol. IV
road works proposed to be
implemented on EPC mode-
Amendment No. 2 to RFP-
regarding.
VIII. Inclusion of Utility Shifting Works in NHAI Policy circular No 13th October, 2020
the RFPs/Bids as part of Civil 7.2.10/2020
Construction under Hybrid Annuity
and EPC Mode – Amendment in
policy circular dated 06.03.2020-
reg.
IX. Relaxation in technical and financial Letter No. NH-35014/25/2017- 28th October, 2020
qualification for bidders of National H (pt. II)
Highways Project under Hybrid
Annuity Mode (HAM) and Build,
Operate, Transfer mode (BOT)-reg.
X. Communication of Project related NHAI Policy circular No 03rd November,
correspondences between 6.24/2020 (Approved vide 2020
Concessionaires/ Contractors, AEs/ MoRTH OM dated 25.03.2021)
IEs and NHAI through Project
Management Software and Data
Lake Portal
XI. Changes in Model Concession NHAI Policy circular No 24th November,

Agreement (MCA) of Hybrid 11.21/2020 2020
Annuity Mode (HAM) Projects – reg.
XII. Amendment in Cl. 10.2.6 of Model 02nd December,
NHAI Policy circular No 11.22
Concession Agreement of HAM 2020
XIII. Adoption of revised Integrity Pact NHAI Policy circular No 5.8 29th December,
(IP) for NHAI Projects reg. 2020
XIV. Additional Security Deposit /BG in NHAI Policy circular No 20th January, 2021
case of Abnormally Low Bids 3.1.30/2021
(ALBs).
XV. Regarding amendment in the NHAI Policy circular No 16th June, 2021
Standard Request for Proposal 11.29 (Approved vide MoRTH
(RFP) and Model Concession letter dated 16.07.2021)
Agreement (MCA) for National
Highways and Centrally Sponsored
Road works proposed to be
implemented on HAM mode.
XVI. Adoption of revised Integrity Pact NHAI Policy circular No 23rd June, 2021
(IP) for NHAI Projects- Regarding 5.9/2021
incorporation of names of IEMs in
NITs.
XVII. Drone Video Recording of Project NHAI Policy circular No 03rd November,
Highway during the development, 18.75/2021 2021
construction and O&M period –reg.
XVIII. Standard operating procedure to NHAI Policy circular No 16th November,
debar/penalize/declare ad Non- 16.11/2021 (Reference 2021
Performer the MoRTH Circular dated
Contractor/Concessionaire in 06.10.2021)
National Highways and other
centrally sponsored road projects-
reg.
XIX. Amendment in the Standard NHAI Policy circular No 07th December,
Request for Proposal (RFP) and 11.34/2021 (Subsequently 2021
Model Concession Agreement issued by MoRTH vide Circular
(MCA) for National Highways and dated 16.12.2021)
other centrally sponsored road
projects proposed to be
implemented on Hybrid Annuity
Model (HAM) mode of contract to
make procurement compliant of
Public Procurement (Preference to
Make in India) Order 2017 and Rule
144 (xi) of GFR-reg.
XX. Reinstatement of provision of NHAI Policy circular No 25.02.2022
Earnest Money Deposit (EMD) in 3.1.32/2022 (Reference
bids for highway projects - reg. MoRTH OM dated 22.02.2022)
XXI. Modification in Integrity Pact NHAI Policy circular No 25rd April, 2022
regarding 5.10/2022
XXII. Changes in Bidder Eligibility Criteria NHAI Policy circular No 27th April, 2022
of NH projects under Hybrid Annuity 11.36/2022 (Reference
Mode reg. MoRTH letter dt 11.04.2022)
XXIII. Relief for Contractors/Developers NHAI Policy circular No 28th April, 2022
of Road Sector in view of COVID-19 11.81/2022 (Reference
pandemic – reg. MoRTH letter dt 11.04.2022)
3. Based on the aforesaid amendments, the deviation statement indicating the existing
clauses and revised formulation thereof are attached herewith at Annexure A. The
revised Model RFP and Model Concession Agreement for HAM projects
incorporating the changes made are placed at NHAI website under heading Standard
Documents.
Modifications in Model RFP & Model Concession Agreement for HAM projects
Clause Existing clause as per Model RFP version 24.11.2015 Modified clause incorporating amendment issued by NHAI/ MoRTH till Reference Circular
28.04.2022
Para 2 of The complete BID document can be viewed / downloaded from official portal of The complete BID document can be viewed / downloaded from official portal of Website Change
Notice the CPPP website https:// eprocure.gov.in/eprocure/app from _____** to ____** the NHAI http://nhai.gov.in or the CPPP website http://etenders.gov.in from
Inviting Bid (upto **** Hrs. IST). Bidder must submit its Financial bid and Technical Bid at ******(upto **** Hrs. IST). Bidder must submit its financial bid and Technical Bid
https:// eprocure.gov.in/eprocure/app on or before (upto _____** hours IST). at on or before **** (upto **** hours IST). Bids received online shall be opened Same change in clause 1.1.1, 2.11.7,
Bids received online shall be opened on ___** (at_____** hours IST). on *****(at **** hours IST). 2.12, 2.13 2.14.7.4, 2.14.8.3
Para 3 of Bid submitted through any other mode shall not be entertained. However, Bid Bid submitted through any other mode shall not be entertained. However, Bid Modification has been made pursuant
Notice Security, proof of online payment of cost of bid document, Power of Attorney Security, Power of Attorney for signing of Bid, Power of Attorney for lead to following circulars:
Inviting Bid and joint bidding agreement etc. as specified in Clause 2.11.2 of the RFP shall member of Consortium, if any, Joint Bidding Agreement for Consortium, if
be submitted physically by the Bidder on or before 19.02.2019**** (at upto a) NHAI/Policy
any, Integrity Pact, and experience certificates apostille at foreign origin,
Guidelines/Procurement/2019 No.
****1100 hours IST). Please note that the Authority reserves the right to accept if any, and other documents required as per clause 2.11.2 of RFP shall be 9.1.11/2019 Dated 06.06.2019
or reject all or any of the BIDs without assigning any reason whatsoever. submitted physically in original by the Lowest Bidder before issuance of issued by NHAI.
Letter of Award (LOA) by the Authority. Please note that the Authority b) Circular no. RW/NH-
37010/4/2010-EAP (Printing) Vol.
reserves the right to accept or reject all or any of the BIDs without assigning any
reason whatsoever. IV dated 30.04.2020 issued by
MORTH
1.1.4 The estimated cost of the Project (the “Estimated Project Cost”) has been The estimated cost of the Project (the “Estimated Project Cost”) has been Modification has been made pursuant
specified in the clause 1.1.1 above. The assessment of actual costs, however, specified in the clause 1.1.1 above, which is exclusive of Goods and Services to Policy circular No. 11.29 dated
will have to be made by the Bidders. Tax (GST). The assessment of actual costs, however, will have to be made by 16.06.2021
the Bidders.
1.1.8 New Clause a. The Selected Bidder shall use the Link ‘Data Lake Portal’ available on NHAI Modification has been made pursuant
website nhai.gov.in to communicate with the Independent Engineer and NHAI to Policy circular no 6.24/2020 dated
for all contractual correspondence. 03.11.2020.
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b. No Physical document shall be accepted unless and until the same is

specifically stated so in the RFP or it is a legal requirement
1.2.1 The Authority has adopted a single stage two envelop process (referred to The Authority has adopted a single stage two envelop process (referred to as Modification has been made pursuant
as the "Bidding Process") for selection of the Bidder for award of the Project. the "Bidding Process") for selection of the Bidder for award of the Project. Under to change of mode of payment from
Under this process, the Bid shall be invited under two envelops. Prior to or this process, the Bid shall be invited under two envelops. Prior to or along with demand draft to online payment on
along with the Bid, the Bidder shall pay to the Authority a sum of [Rs 50,000 the Bid, the Bidder shall pay to the Authority a sum of [Rs 50,000 (Rupees fifty NIC portal
(Rupees fifty thousand)] as the cost of the RFP process. Eligibility and thousand)]270 as the cost of the RFP process transmitted online to NHAI.
qualification of the Bidder will be first examined based on the details
submitted under first envelop (Technical Bid) with respect to eligibility and Eligibility and qualification of the Bidder will be first examined based on the
qualifications criteria prescribed in this RFP. (The “Bidder”, which details submitted under first envelop (Technical Bid) with respect to eligibility
expression shall, unless repugnant to the context, include the members of and qualifications criteria prescribed in this RFP. (The “Bidder”, which
the Consortium). The Financial Bid under the second envelop shall be expression shall, unless repugnant to the context, include the members of the
opened of only those Bidders whose Technical Bids are responsive to Consortium). The Financial Bid under the second envelop shall be opened of
only those Bidders whose Technical Bids are responsive to eligibility and
eligibility and qualifications requirements as per this RFP.
qualifications requirements as per this RFP. The details of NHAI Account for
[GOI has issued guidelines (see Annexure VI of Appendix-1A of RFP) for deposition of application cost of bid document online is given below:
qualification of bidders seeking to acquire stakes in any public sector
enterprise through the process of disinvestment. These guidelines shall
apply mutatis mutandis to this Bidding Process. The Authority shall be Beneficiary National Highways Authority of India
entitled to disqualify any Bidder in accordance with the aforesaid guidelines Bank Canara Bank
at any stage of the Bidding Process. Bidders must satisfy themselves that Account Number 8598201005819
they are qualified to bid, and should give an undertaking to this effect in the
IFSC Code CNRB0008598
form at Appendix-IA]
270
The cost of RFP may be determined at the rate of Rs. 10,000 for every Rs. 100 crore or part thereof comprising the Estimated Project Cost. Thus the cost of an RFP document for a project of Rs. 500 crore shall be Rs. 50, 000.
28.04.2022
[GOI has issued guidelines (see Annexure VI of Appendix-1A of RFP) for

qualification of bidders seeking to acquire stakes in any public sector enterprise
through the process of disinvestment. These guidelines shall apply mutatis
mutandis to this Bidding Process. The Authority shall be entitled to disqualify
any Bidder in accordance with the aforesaid guidelines at any stage of the
Bidding Process. Bidders must satisfy themselves that they are qualified to bid,
and should give an undertaking to this effect in the form at Appendix-IA]
1.2.4 A Bidder is required to deposit, along with its Bid, a Bid Security 271 of Rs. A Bidder is required to submit, along with its Bid, a Bid Security Rs******* Crores Modification has been made pursuant
****Crores (Rupees **********) (the "Bid Security"), refundable not later than 90 (the Bid Security), refundable not later than 90 (ninety) days from the Bid Due to change of mode of payment from
(ninety) days from the Bid Due Date, except in the case of the Selected Date, except in the case of the Selected Bidder whose Bid Security shall be demand draft to online payment on
Bidder whose Bid Security shall be retained till it has provided a retained till it has provided a Performance Security under the Agreement. The NIC portal
Performance Security under the Agreement. The Bidders will have an option Bidders will have an option to provide Bid Security in the form of a demand draft
to provide Bid Security in the form of a demand draft or a bank guarantee or a bank guarantee acceptable to the Authority, and in such event, the validity
acceptable to the Authority, and in such event, the validity period of the bank period of the bank guarantee shall not be less than 120 (one hundred and
guarantee shall not be less than 120 (one hundred and twenty) days from the twenty) days from the Bid Due Date with a claim period of 60 (sixty) days, and
Bid Due Date with a claim period of 60 (sixty) days, and may be extended as may be extended as may be mutually agreed between the Authority and the
may be mutually agreed between the Authority and the Bidder from time to time Bidder from time to time. The validity of the demand draft shall not be less than
and that the validity of the demand draft shall not be less than 60 (sixty) days 60 (sixty) days from the bid due date. Upon submission of Demand draft, the
from the Bid Due Date. Upon submission of demand draft, the same shall be same shall be encashed by the Authority. This Guarantee shall be transmitted
encashed by the Authority. The Bid shall be summarily rejected if it is not through SFMS Gateway to NHAI’s Bank. The Bid shall be summarily rejected
accompanied by the Bid Security if it is not accompanied by the Bid Security.
271The Bid Security shall generally be 1% of the Estimated Project Cost. However, the Authority may, if deemed necessary, prescribe a higher Bid Security not exceeding 2% of the Estimated Project Cost. In case of a project having
an Estimated Project Cost of Rs. 2,000 cr. or above, the Authority may reduce the Bid Security, but not less than 0.5% in any case
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1.2.6 Bids would be evaluated on the basis of the lowest assessed Bid Price (the “Bid Bids would be evaluated on the basis of the lowest assessed Bid Price (the “Bid Modification has been made pursuant
Price”). The Bid Price shall be summation of (a) Net Present Value (NPV) of Bid Price”). The Bid Price shall be summation of (a) Net Present Value (NPV) of Bid to Circular no. NHAI/Policy
Project Cost during the Concession Period and(b) NPV of O&M cost (the “O&M Project Cost during the Concession Period and (b) NPV of O&M cost (the “O&M Guidelines/Standard Documents/2020
Cost”) during the O&M Period, required by a Bidder for implementing the Project Cost”) during the O&M Period, required by a Bidder for implementing the Project No.11.21/2020 dated 24.11.2020 with
and shall be paid as per the provisions of Article 23 of the Concession and shall be paid as per the provisions of Article 23 of the Concession modified clause.
Agreement. The Concession Period is pre-determined, as indicated in the Agreement. The Concession Period is pre-determined, as indicated in the
Concession Agreement. The assessed Bid Price shall constitute the sole criteria Concession Agreement. The assessed Bid Price shall constitute the sole criteria
for evaluation of Bids. Subject to Clause 2.16, the Project will be awarded to the for evaluation of Bids. Subject to Clause 2.16, the Project will be awarded to the
Bidder quoting the lowest assessed Bid Price. Bidder quoting the lowest assessed Bid Price.
The discount rate for calculation of NPV shall be [Bank Rate +3%] and Bank The discount rate for calculation of NPV shall be average of one year MCLR
Rate shall be the applicable Bank Rate on the date of submission of the Bid. of top 5 Scheduled Commercial Banks + 1.25% and average of one year
MCLR of top 5 Scheduled Commercial Banks shall be the average MCLR
of top 5 Scheduled Commercial Banks declared by the Authority and
In this RFP, the term “Lowest Bidder” shall mean the Bidder who’s assessed applicable on the date of submission of the Bid.
Bid Price is the lowest.
In this RFP, the term “Lowest Bidder” shall mean the Bidder who’s assessed Bid
Price is the lowest.
1.2.7 Generally, the Lowest Bidder shall be the Selected Bidder. The remaining Generally, the Lowest Bidder shall be the Selected Bidder. The remaining Modification has been made pursuant
Bidders shall be kept in reserve and may, in accordance with the process Bidders shall be kept in reserve and may, in accordance with the process to Policy circular No.11.34/2021 dated
specified in Clause 3 of this RFP, be invited to match the Bid submitted by the specified in Clause 3 of this RFP, be invited to match the Bid submitted by the 7.12.2021 with modified clause.
Lowest Bidder in case such Lowest Bidder withdraws or is not selected for any Lowest Bidder in case such Lowest Bidder withdraws or is not selected for
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reason. In the event that none of the other Bidders match the Bid of the Lowest whatsoever reason except the reason mentioned in Clause 3.3.1. In the
Bidder, the Authority may, in its discretion, either invite fresh Bids from the event that none of the other Bidders match the Bid of the Lowest Bidder, the
remaining Bidders or annul the Bidding Process. Authority may, in its discretion, either invite fresh Bids from the remaining
Bidders or annul the Bidding Process.
1.2.8 In the event, the Bid Project Cost of the Lowest Bidder is lower by more than In the event, the Bid Project Cost of the Lowest Bidder is lower by more than Modification has been made pursuant
10% with respect to the Estimated Project Cost, the Concessionaire shall 10% with respect to the Estimated Project Cost, the Concessionaire shall submit to NHAI/Policy Guidelines/Finance/&
submit an Additional Performance Security (the “Additional Performance an Additional Performance Security (the “Additional Performance Security” as Accounts/2021 No. 3.1.30/2021 dated
Security” as per the provision of the Concession Agreement. The Additional per the provision of the Concession Agreement. The Additional Performance 20.01.2021
Performance Security shall be determined @ 10% of the difference in the Security shall be determined @ 10% of the difference in the Estimated Project
Estimated Project Cost and the Bid Project Cost. Cost and the Bid Project Cost. without modified clause
Provided that amount of Additional Performance Security shall not exceed

the amount of Performance Security.
1.2.12 New Clause In case Lowest Bidder fails to submit the originals Bid Security, Power of Modification has been made pursuant
Attorney for signing of Bid, Power of Attorney for lead member of Consortium, if to Circular no. NHAI/Policy
any, Joint Bidding Agreement for Consortium, if any, Integrity Pact, and Guidelines/Procurement/2019 No.
experience certificates apostile at foreign origin, if any, or any other document 9.1.11/2019 Dated 06.06.2019 issued
required as per clause 2.11.2 of RFP, the Bidding Process shall be annulled and by NHAI & Circular no. RW/NH-
Tender shall be re-invited. 37010/4/2010-EAP(Printing) Vol. IV
dated 30.04.2020 issued by MORTH
without modified clause.
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1.2.13 New Clause A Bidder is required to submit, along with its technical BID, a self- certification Modification has been made pursuant
that the item offered meets the local content requirement for ‘Class – I local to Policy circular No.11.34/2021
Supplier’ / ‘Class – II local Supplier’, as the case may be. The self-certification dated 07.12.2021
shall also have details of the location(s) at which the local value addition is made.
In case, bidder has not submitted the aforesaid certification the bidder will be
treated as ‘Non- Local Supplier’.
In the above pretext, the Class – I Local Supplier, Class – II Local Supplier and
the Non- Local Supplier are defined as under:
(i) ‘Class – I local Supplier’ means a supplier or service provider, whose goods,
services or works offered for procurement, meets the minimum local content as
prescribed for ‘Class – I local Supplier’ under this RFP. The ‘local content’
requirement to categorize a supplier as ‘Class – I local Supplier’ is minimum
50%.
(ii) ‘Class – II local Supplier’ means a supplier or service provider, whose goods,
prescribed for ‘Class – II local Supplier’ under this RFP. The ‘local content’
requirement to categorize a supplier as ‘Class – II local Supplier’ is minimum
20%.
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(iii) ‘Non - local Supplier’ means a supplier or service provider, whose goods,
services or works offered for procurement, has local content less than that
prescribed for ‘Class – II local supplier’ under this RFP.
(iv) ‘Local content’ means the amount of value added in India which shall be the
total value of item procured (excluding net domestic indirect taxes) minus the
value of imported content in the item (including all customs duties) as a
proportion of the total value, in percent
In case of procurement for a value in excess of Rs. 10 crores, the ‘Class – I local
supplier’ / ‘Class – II local supplier’ shall provide a certificate from the statutory
auditor or cost auditor of the company (in case of companies) or from a
practicing cost accountant or practicing chartered accountant (in respect of
suppliers other than companies) giving the percentage of local content.
1.3 Modification has been made pursuant

to circulars No
Sl.No. Event Description Date Sl.No. Event Description Date
1. Invitation of RFP (NIT) **** 1. Invitation of RFP (NIT) *****

a) Lowest Bidder physical
2. Last date for receiving queries **** 2. Last date for receiving queries ***** submission Circular No. RW/NH-
37010/4/ 2010- EAP(Printing) Vol.
3. Pre-Bid meeting at venue **** 3. Pre-Bid meeting at venue ***** lV Dated 30.04.2020
mentioned at Clause 2.11.4 mentioned at Clause 2.11.4
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4. Authority response to queries **** 4. Authority response to queries ****** b) Circular no. NHAI/Policy
latest by latest by Guidelines/Procurement/2019 No.
9.1.11/2019 Dated 06.06.2019
5. Bid Due Date **** 5. Last date of request for Bid upto **** Hrs IST issued by NHAI without
Documents modification of clause.
6. Physical Submission of Bid [till 11.00 Hrs IST on Bid
Security/POA etc. Due Date 6. Date of Submission of upto ****Hrs IST
c) No. RW/NH-37010/4/2010/pic-
Tender/Bid (online) - Bid Due
7. Opening of Technical Bids at [at 11.30 Hrs. on Bid Due eap (Printing) dated 16.01.2017
Date issued by MoRTH with
venue provided in Clause 2.11.4 Date]
modification of table (Fixation of
7. Physical Submission of originals Before issuance of Letter of
8. Declaration eligible / qualified [within 20 days from Bid Due timelines for e-tendering)
Bid Security, Power of Attorney Award(LOA) to the Lowest
Bidders Date] for signing of Bid, Power of Bidder by the Authority
9. Opening of Financial Bid [within 30 days from Bid Due Attorney for lead member of
Date] Consortium, if any, Joint Bidding
Agreement for Consortium, if
10. Letter of Award (LOA) Within 60 days of Bid Due any, Integrity Pact, and
Date experience certificates apostile
at foreign origin, if any and other
11. Validity of Bid 120 days from Bid Due Date documents required as per
12. Signing of Agreement Within 45 days of award of clause 2.11.2 of RFP by the
LOA Lowest Bidder
8. Opening of Technical Bidsat venue at ***** Hrs. On

provided in Clause 2.11.4
9. Declaration eligible / qualified [Within 15th day from Bid Due

Bidders Date]
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10. Opening of Financial Bid [Within 23rd day from Bid Due
Date]
11. Date of issue of Letter of Award [Within 30th day from Bid
(LOA) in case where Authority is Due Date]
competent
12. Date of issue of LOA after [Within 55th Day from Bid
obtaining approval from competent Due Date]
authority in MORTH, where
Authority is not competent
13. Validity of Bid 120 days from Bid Due Date
14. Signing of Agreement Within 45 days of award of

LOA
2.1.6 The Bidder shall deposit a Bid Security of Rs.***Crores(Rupees*****) in The Bidder shall deposit a Bid Security of Rs****** Cr. (Rupees ***** only) in Modification has been made pursuant
accordance with the provisions of this RFP. The Bidder has the option to provide accordance with the provisions of this RFP. The Bidder has the option to provide to change of mode of payment from
the Bid Security either as a Demand Draft or in the form of a Bank Guarantee the Bid Security either as a Demand Draft or in the form of a Bank Guarantee demand draft to online payment on
acceptable to the Authority, as per format at Appendix-II. The Bidders shall also acceptable to the Authority, as per format at Appendix-II. The Bidders shall also NIC portal
submit proof of online payment of Rs.**** (Rupees) towards cost of bid make online payment towards cost of bid document of Rs. **** (Rupees *****
document. Only) specifying the tender ID and Bid due date to NHAI.

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1. Name of Beneficiary National Highways Authority of

India
3. Address of Bank Branch Dwarka, Sector-10 Branch
4. Account No. 8598201005819
2.1.15 Point (iv) commit that each of the members, whose experience will be evaluated (iv) commit that each of the members, whose experience will be evaluated for Circular no. NHAI/Policy
G for the purposes of this RFP, shall subscribe to 26% (twenty six per cent) or the purposes of this RFP, shall subscribe to 26% (twenty six per cent) or more Guidelines/Standard Documents/2020
more of the paid up and subscribed equity of the SPV and shall further commit of the paid up and subscribed equity of the SPV and shall further commit that No.11.21/2020 dated 24.11.2020 with
that each such member shall, for a period of 2 (two) years from the date of each such member shall, for a period of 6 (six) months from the date of modified clause
commercial operation of the Project, hold equity share capital not less than: (i) commercial operation of the Project, hold equity share capital not less than: (i)
26% (twenty six per cent) of the subscribed and paid up equity share capital of 26% (twenty six per cent) of the subscribed and paid up equity share capital of
the SPV; and (ii) 5% (five per cent) of the Total Project Cost specified in the the SPV; and (ii) 5% (five per cent) of the Total Project Cost specified in the
Concession Agreement; Concession Agreement.
(v) members of the Consortium undertake that they shall collectively hold at (v) members of the Consortium undertake that they shall collectively hold
least 51% (fifty one per cent) of the subscribed and paid up equity of the SPV at least 51% (fifty one per cent) of the subscribed and paid up equity of the SPV
at all times until the second anniversary of the commercial operation date of the at all times until the six months after the commercial operation date of the
Project Project; and
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2.1.20 While Qualification is open to persons from any country, the following provisions While Qualification is open to persons from any country, the following provisions Circular no. NH-37015/1/2009-H
shall apply: shall apply: Dated 02.06.2017 issued by MoRTH
with modified clause.
(a) Where, on the date of the Bid, not less than 25% (twenty five percent) (a) Where, on the date of the Bid, not less than 50% (Fifty percent) of the
of the aggregate issued, subscribed and paid-up equity share capital in a Bidder aggregate issued, subscribed and paid-up equity share capital in a Bidder or its
or its Member is held by persons resident outside India or where an Bidder or Member is held by persons resident outside India or where an Bidder or its
its Member is controlled by persons resident outside India; or Member is controlled by persons resident outside India; or
(b) if at any subsequent stage after the date of the Bid, there is an (b) if at any subsequent stage after the date of the Bid, there is an
acquisition of not less than 25% (twenty five percent) of the aggregate issued, acquisition of not less than 50% (Fifty percent) of the aggregate issued,
subscribed and paid-up equity share capital or control, by persons resident subscribed and paid-up equity share capital or control, by persons resident
outside India, in or of the Bidder or its Member; outside India, in or of the Bidder or its Member;
then the Eligibility of such Bidder shall be subject to approval of the Authority then the Eligibility and / or opening of Financial Bid and or award of the Project
from national security and public interest perspective. The decision of the to such Bidder shall be subject to approval of the Authority from national security
Authority in this behalf shall be final and conclusive and binding on the Bidder. and public interest perspective. The decision of the Authority in this behalf shall
be final and conclusive and binding on the Bidder.
The holding or acquisition of equity or control, as above, shall include direct or

indirect holding/ acquisition, including by transfer, of the direct or indirect legal The holding or acquisition of equity or control, as above, shall include direct or
or beneficial ownership or control, by persons acting for themselves or in indirect holding/ acquisition, including by transfer, of the direct or indirect legal
concert and in determining such holding or acquisition, the Authority shall be or beneficial ownership or control, by persons acting for themselves or in concert
guided by the principles, precedents and definitions contained in the Securities and in determining such holding or acquisition, the Authority shall be guided by
28.04.2022
and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) the principles, precedents and definitions contained in the Securities and
Regulations, 2011, or any substitute thereof, as in force on the date of such Exchange Board of India (Substantial Acquisition of Shares and Takeovers)
acquisition. Regulations, 2011, or any substitute thereof, as in force on the date of such
acquisition.
The Bidder shall promptly inform the Authority of any change in the
shareholding, as above, and failure to do so shall render the Bidder liable for The Bidder shall promptly inform the Authority of any change in the
disqualification from the Bidding Process. shareholding, as above, and failure to do so shall render the Bidder liable for
disqualification from the Bidding Process.
2.1.23 New clause The Bidder, including an individual or any of member of its Consortium, should NHAI/Policy Guidelines/Non-
neither be a non-performing party on the date of opening of tender nor on the Performer & Debarred/2021 Policy No.
date of issue of Letter of Acceptance (LoA). The Bidder, including any Members 16.11/2021 dated 16.11.2021
of its Consortium, shall be deemed to be a non-performing party if it attracts any
or more of the following conditions in any of its ongoing or completed projects:
(i) Fails to set up institutional mechanism and procedure as per contract.
(ii) Fails to mobilize key construction equipment within a period of 4 months

from the Appointed Date;
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(iii) Fails to complete or has missed any milestone and progress not
commensurate with contiguous unencumbered project length/ROW available
even after lapse of 6 months from respective project milestone/Schedule
Completion date, unless Extension of Time has been granted due to Authority’s
Default or Force Majeure;
(iv) Fails to achieve progress commensurate with funds released from

Escrow Account (Equity + Debt +Grant) in BOT or HAM project and variation is
more than 25% in the last 365 days;
(v) Fails to achieve the target progress or complete the project as per
schedule agreed at the time of sanctioning of funds under One Time Funds
Infusion (OTFI) or relaxations to contract conditions to improve cash flow solely
on account of Concessionaire’s failure/default;
(vi) Fails to complete rectification (excluding minor rectifications) as per time

given in non-conformity reports (NCR) in design/completed works/maintenance
or reported in Inspection Reports issued by Quality Inspectors deployed by the
Authority or Officers of the Authority.
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(vii) Fails to complete minor rectifications exceeding 3 instances in a project

as per time given in non-conformity reports (NCR) in design/completed
works/maintenance;
(viii) Fails to fulfill its obligations to maintain a highway in a satisfactory

condition in spite of two rectification notices issued in this regard;
(ix) Damages/penalties recommended by Independent/Authority’s

Engineer during O&M Period and remedial works are still not taken up;
(x) Fails to complete Punch list items even after lapse of time for completion
of such items excluding delays attributable to the Authority;
(xi) Occurrence of minor failure of structures/highway due to construction

defect wherein no casualties are reported (casualties include injuries to human
being/animals);
(xii) Occurrence of major failure of structures/highway due to construction

defect wherein no casualties are reported (casualties include injuries to human
being/animals);
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(xiii) Occurrence of major failure of structures/highway due to construction

defect leading to loss of human lives besides loss of reputation etc. of the
authority;
(xiv) Fails to make premium payments excluding the current instalment in

one or more projects;
(xv) Fails to achieve financial closure in two or more projects within the
given or extended period (which shall not be more than six months in any case);
(xvi) Fails to submit the Performance Security within the permissible time
period in more than one project;
(xvii) Rated as an unsatisfactory performing entity/non-performing entity by

an independent third-party agency and so notified on the website of the
Authority;
(xviii) Failed to perform for the works of Expressways, National Highways, ISC
& EI works in the last 2 (two) years, as evidenced by imposition of a penalty by
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an arbitral or judicial authority or a judicial pronouncement or arbitral award

against the Bidder, including individual or any of its Joint Venture Member, as
the case may be;
(xix) Expelled from the contract or the contract terminated by the Ministry of
Road Transport & Highways or its implementing agencies for breach by such
Bidder, including individual or any of its Joint Venture Member; Provided that
any such decision of expulsion or termination of contract leading to debarring of
the Bidder from further participation in bids for the prescribed period should have
been ordered after affording an opportunity of hearing to such party.
(xx) Fails to start the works or causes delay in maintenance & repair/overlay
of the project.
The Bidder, including individual or each member of Joint Venture or Members

of its Consortium, shall give the list of the projects of Expressways, National
Highways, ISC and El works of Ministry of Road Transport & Highways or its
implementing agencies (NHAI/ NHIDCL/State PWDs) and the status of above
issues in each project as on the bid submission date and undertake that they do
not attract any of the above categories (Ref. Sr. No.6, Annex-| of Appendix - IA).
The Bidder including individual or any of its Joint Venture Member or Members
of its Consortium may provide
28.04.2022
(i) details of all their ongoing projects along with updated stage of litigation, if so,
against the Authority / Governments; and
(ii) details of updated ongoing process of blacklisting if so, under any contract
with Authority / Government;
The Authority reserves the right to reject an otherwise eligible Bidder on the
basis of the information provided under this clause 2.1.23. The decision of the
Authority in this case shall be final.
In case, any debarred/declared non performer firm submits, the bid, the same
will be ignored. In case such firm is lowest (L-1), next lowest firm shall be
considered as L-1
2.1.24 New Clause All Orders of Ministry of Finance/DPIIT/any other Government agencies, as Modification has been made pursuant
applicable and prevalent on the date of LOA, shall be applicable. to Policy circular No.11.34/2021
dated 07.12.2021
2.1.25 New Clause Entities of countries which have been identified by Ministry of Road Transport & Modification has been made pursuant
Highways as not allowing Indian companies to participate in their Government to Policy circular No.11.34/2021
procurement for any item related to Ministry of Road Transport & Highways shall dated 07.12.2021
not be allowed to participate in Government procurement in India for all items
related to Ministry of Road Transport & Highways, except for the list of items
published by the Ministry of Road Transport& Highways permitting their
participation.
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2.2.1 (e) New Clause For determining the eligibility of Bidder from a country which shares a land Modification has been made pursuant
border with India the following shall apply: to Policy circular No.11.34/2021
dated 07.12.2021
(i) Any Bidder from a country which shares a land border with India will be eligible
to bid, only if the Bidder is registered with the Competent Authority, specified in
Annexure-I of Order (Public Procurement No. 1) issued by Ministry of Finance,
Department of Expenditure Public Procurement Division vide F. No. 6/18/2019-
PPD, dated 23rd July 2020, which shall form an integral part of RFP and DCA
(Copy enclosed).
(ii) “Bidder from a country which shares a land border with India” means:
a) An entity incorporated, established or registered in such a country, or
b) A subsidiary of an entity incorporated, established or registered in such

a country; or
c) An entity substantially controlled through entities incorporated,

established or registered in such a country; or
d) An entity whose beneficial owner is situated in such a country; or
g) A Consortium or joint venture where any member of the consortium or

joint venture falls under any of the above.
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(iii). Beneficial owner for the purpose of (ii) above means:
1. In case of a company or Limited Liability Partnership, the beneficial

owner is the natural person(s), who, whether acting alone or together, or through
one or more judicial person, has a controlling ownership interest or who
exercises control through other means.
Explanation:
a) “Controlling ownership interest” means ownership of or entitlement to

more than twenty-five per cent of shares or capital or profits of the company.
b) “Control” shall include the right to appoint majority of the directors or to

control the management or policy decisions including by virtue of their
shareholding or management rights or shareholding agreements or voting
agreements;
2. In case of a partnership firm, the beneficial owner is the natural

person(s) who, whether acting alone or together, or through one or one or more
juridical person: has ownership of entitlement to more than fifteen percent of
capital or profits of the partnership;
3. In case of an unincorporated association or body of individuals, the

beneficial owner is the natural person(s), who, whether acting alone or together,
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or through one or more juridical person, has ownership of or entitlement to more

than fifteen percent of the property or capital or profits of such association or
body of individual;
4. Where no natural person is identified under (1) or (2) or (3) above, the
beneficial owner is the relevant natural person who holds the position of senior
managing official;
5. In case of a trust, the identification of beneficial owner(s) shall include

identification of the author of the trust, the trustee, the beneficiaries with fifteen
percent or more interest in the trust and any other natural person exercising
ultimate effective control over the trust through a chain of control or ownership.
(iv). An Agent is a person employed to do any act for another, or to represent

another in dealings with third person.
(v) The Selected Bidder shall not be allowed to sub-contract works to any
contractor from a country which shares a land border with India unless such
contractor is registered with the Competent Authority. The definition of
“contractor from a country which shares a land border with India” shall be as in
Clause 2.2.1(d)(ii) above.
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A certificate on the letterhead of the Bidder shall be required to be submitted by

the bidders certifying the following:
“I have read the clause regarding restrictions on procurement from a bidder of a

country which shares a land border with India and on sub-contracting to
contractors from such countries; I certify that this bidder is not from a country or,
if from such a country, has been registered with the Competent Authority as
defined in Public Procurement Order no. F.no.6/18/2019- PPD dated 23rd July
2020. I hereby certify that this bidder fulfils all requirements in this regard and is
eligible to be considered.”
It may be noted that in case the above certification is found to be false, this would
be a ground for immediate rejection of Bid/termination and further legal action in
accordance with law.
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In respect of RFP, registration should be valid at the time of submission of bids

and at the time of acceptance of bids. If the Bidder was validly registered at the
time of acceptance, registration shall not be a relevant consideration during
contract execution.
2.2.2 (AA) New Clause For normal Highway projects (including Major Modification has been made pursuant
Bridges/ROB/Flyovers/Tunnels): to Circular no. NH-24028/14/2014-H
dated 11.04.2022
Provided that at least one similar work of 20% of Estimated Project Cost [Rs.
****crore (Rs.****)] shall have been completed from the Eligible Projects in
Category 1 and/or Category 3 specified in Clause 3.4.1. For this purpose, a
project shall be considered to be completed, if more than 90% of the value of
work has been completed and such completed value of work is equal to or more
than 20% of the estimated project cost.
If any Major Bridge/ROB/Flyover/Tunnel is (are) part of the project, then the sole
Bidder or in case the Bidder being a Joint Venture, any member of Joint Venture
shall necessarily demonstrate additional experience in construction of Major
Bridge/ROBs/Flyovers/Tunnel in the last 10 (Ten) financial years preceding the
Bid Due Date i.e. shall have completed at least one similar Major
Bridge/ROB/Flyover having span equal to or greater than:
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a) In case, longest span of Bridge/ROB/Flyover is less than or equal to

60m, no additional qualification is required.
b) When longest span is more than 60m: 50% of the longest span or 100m,
whichever is less, of the structure proposed in this project.
and in case of tunnel, if any, shall have completed construction of at least one
tunnel consisting of single or twin tubes (including tunnel(s) for
Road/Railway/Metro Rail/irrigation/Hydro-electric projects etc.) having at least
(a) In case Tunnel is a part of project having length less than or equal to
200 m, then no additional qualification is required.
(b) When length of tunnel more than 200 m: 50% of the cross sectional area
of proposed tunnel or two lane highway tunnel cross-sectional area, whichever
is less and 20% length of the tunnel to be constructed in this project or 2 km,
whichever is less.
2.2.2 (AAA) New Clause (AAA) For Stand-alone specialized projects: Modification has been made pursuant
to Circular no. NH-24028/14/2014-H
(a) Major Bridges/ROB/Flyovers projects: dated 11.04.2022
(a1) In case the cost of specialized project is less than or equal to Rs. 1,000
Cr: The sole Bidder or in case the Bidder being a Joint Venture, any member of
Joint Venture shall have completed at least one similar Major
Bridge/ROB/Flyover project in the last 10 (Ten) financial years preceding the Bid
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Due Date, having span equal to or greater than 50% of the longest span or 100
m, whichever is less of the structure proposed in this project and also the cost
of such similar project shall be at least 20% of the Estimated Project Cost. For
this purpose, a project shall be considered to be completed, if more than 90% of
the value of work has been completed and such completed value of work is
equal to or more than 20% of the Estimated Project Cost.
(a2) In case the cost of specialized project is more than Rs. 1,000 Cr: The
sole Bidder or in case the Bidder being a Joint Venture, any member of Joint
Venture shall have completed at least one similar Major Bridge/RoB/Flyover
project in the last 10 (Ten) financial years preceding the Bid Due Date, having
span equal to or greater than 50% of the longest span of the structure proposed
in this project or 100m, whichever is less, and also the cost of such similar project
shall be at least 20% of the Estimated Project Cost or Rs. 1000 Cr., whichever
is less.
For this purpose, a project shall be considered to be completed, if more than

90% of the value of work has been completed and such completed value of work
is equal to or more than 20% of the Estimated Project Cost or Rs. 1000 Cr.,
whichever is less.
(b) Tunnel Project : The sole Bidder or in case the Bidder being a Joint
Venture, any member of Joint Venture shall have completed at least one tunnel
project in the last 10 (Ten) financial years preceding the Bide Due Date,
consisting of single or twin tubes (including tunnel(s) for roads/ Railway/Metro
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Rail/irrigation/hydro-Electric Projects etc.) having at least 50% of the cross-

sectional area of the tunnel to be constructed or cross sectional area of 2 lane
highway tunnel, whichever is less, and 20% length of the tunnel to be
constructed in this project or 2 km, whichever is less and the cost of such project
shall be at least 20% of the Estimated Project Cost or Rs. 1000 Cr., whichever
is less. For this purpose, a project shall be considered to be completed, if more
than 90% of the value of work has been completed and such completed value
of work is equal to or more than 20% of the Estimated Project Cost or Rs. 1000
Cr., whichever is less.
Footnote 7 of The Threshold Financial Capacity shall be 25% of the Estimated Project Cost. The Threshold Financial Capacity shall be 15% of the Estimated Project Cost. Modification has been made pursuant
Clause to circular no. NH-35014/25/2017-
2.2.2(B) of H(pt.II) dated 15.10.2020
RFP
2nd para of In case of a Consortium, the combined technical capability and net worth of In case of a Consortium, the combined technical capability and net worth of Modification has been made pursuant
Clause those Members, who have and shall continue to have an equity share of at least those Members, who have and shall continue to have an equity share of at least to Circular no. NHAI/Policy
2.2.2(B) of 26% (twenty six per cent) each in the SPV, should satisfy the above conditions 26% (twenty six per cent) each in the SPV, should satisfy the above conditions Guidelines/Standard Documents/2020
RFP of eligibility; provided that each such Member shall, for a period of 2 (two) year of eligibility; provided that each such Member shall, for a period of 06 (six) No.11.21/2020 dated 24.11.2020 with
from the date of commercial operation of the Project, hold equity share capital months from the date of commercial operation of the Project, hold equity share modified clause.
not less than: (i) 26% (twenty six per cent) of the subscribed and paid up equity capital not less than: (i) 26% (twenty six per cent) of the subscribed and paid up
of the SPV; and (ii) 5% (five per cent) of the Total Project Cost specified in the equity of the SPV; and (ii) 5% (five per cent) of the Total Project Cost specified
Concession Agreement£. in the Concession Agreement£
£
The Authority may, in its discretion, impose further obligations in the Concession Agreement, but such obligations should provide sufficient mobility for partial divestment of equity without compromising the
interests of the Project.
28.04.2022
Last para of Provided further that each member of the Consortium shall have a minimum Provided further that each member of the Consortium shall have a minimum Net Modification has been made pursuant
Clause Net Worth of 12.5% of Estimated Project Cost in the immediately preceding Worth of 7.5% of Estimated Project Cost in the immediately preceding financial to circular no. NH-35014/25/2017-
2.2.2(B) of financial year year H(pt.II) dated 15.10.2020 with
RFP modified clause.
2.7.1 New Point Added VII Certificate regarding Compliance with Restrictions under Rule 144 (xi) of Modification has been made pursuant
the General Financial Rules (GFRs) to circular for General Financial Rules
2.10.1 The Bidder shall provide all the information sought under this RFP. The The Bidder shall provide all the information sought under this RFP. The Authority Modification has been made pursuant
Authority will evaluate only those Bids that are received online in the required will evaluate only those Bids that are received online in the required formats and to
formats and complete in all respects and Bid Security, proof of online payment complete in all respects However, Bid Security, Power of Attorney for
of cost of bid document, POA and Joint Bidding Agreement etc. as specified in signing of Bid, Power of Attorney for lead member of Consortium, if any, a) Circular no. 9.1.11/2019
Clause 2.11.2 of the RFP are received in hard copies. Joint Bidding Agreement for Consortium, if any, Integrity Pact, and Dated 06.06.2019 issued by NHAI
experience certificates apostile at foreign origin, if any or any other b) Circular no. RW/NH-
document as specified in Clause 2.11.2 of RFP shall be submitted physically 37010/4/2010-EAP (Printing) Vol. IV
in original by the Lowest Bidder (including individual or all of its dated 30.04.2020 issued by MORTH
Consortium Members ) before issuance of Letter of Award (LOA) by the without modified clause.
Authority. Lowest Bidder (including all of its Consortium Members) failing
to submit the original documents required as per above shall be
unconditionally debarred from bidding in NHAI projects for a period of 5
years.
Clause 2.11.1 Copy of Proof of payment of Rs. ***** towards cost of Bid document. Proof of online payment of Rs. ***** towards cost of Bid document transmitted Modification has been made pursuant
(j) of RFP online to NHAI. to change of mode of payment from
demand draft to online payment on
NIC portal.
28.04.2022
Clause 2.11.1 Proof of payment of tender processing fee of [Rs. 1295/- (Rupees one thousand Deleted
(k) of RFP two hundred and ninety five only);
Clause 2.11.1 - Certificate regarding Compliance with Restrictions under Rule 144 (xi) of the Modification has been made pursuant
(m) of RFP General Financial Rules (GFRs) as per format given in Appendix-VII shall be to circular for General Financial Rules
submitted by the Bidder with the RFP Bid duly signed by Authorised signatory &
shall be part of the Concession Agreement.
Para (n) of -- Copy of Registration from the Competent Authority as defined in Public Modification has been made pursuant
Clause 2.11.1 Procurement Order No. F. No. 6/18/2019-PPD dated 23rd July 2020, if to office memorandum no. NH-
of RFP applicable (to be submitted by the “Bidder from a country which shares a land 35014/20 /2020-H Dated 04.08.2020
border with India”).
2.11.1 (m) Appendix-IB (Letter comprising the Financial Bid). (o) Appendix-IB (Letter comprising the Financial Bid) Modification has been made pursuant
to Policy circular No.11.34/2021
dated 7.12.2021
Self - Certification
Self- certification by the Bidder that its Bid meets the Local Content
requirement for ‘Class – I Local supplier’/ ‘Class – II Local supplier’, as the
case may be. The Self-certification shall also have details of the location(s)
at which the local value addition is made. In case, bidder do not submit the
aforesaid Certification, the bidder will be summarily treated as ‘Non Local
Supplier’.
28.04.2022
In case of procurement for a value in excess of Rs. 10 crores, the ‘Class –

I Local supplier’ / ‘Class – II Local supplier’ shall have to provide a
Certificate from the Statutory Auditor or Cost Auditor of the Company (in
case of Companies) or from a practicing Cost Accountant or practicing
Chartered Accountant (in respect of Suppliers other than Companies)
giving the percentage of Local Content upon Construction of the Project.
Clause 2.11.2 The Bidder shall submit the following documents physically The Lowest Bidder shall submit the following documents physically before Modification has been made pursuant
of RFP issuance of Letter of Award (LOA) by the Authority: to following circulars:
a) Circular no. 9.1.11/2019 Dated

06.06.2019 issued by NHAI
b) Circular no. RW/NH-
IV dated 30.04.2020 issued by
MORTH
Clause 2.11.2 Copy of Proof of Payment of online payment of Cost of Tender Document of Rs. Deleted. Modification has been made pursuant
(f) of RFP ***. to change of mode of payment from
NIC portal.
Clause 2.11.2 Proof of payment of tender processing fee of [Rs. 1295/- (Rupees one thousand Deleted
(h) of RFP two hundred and ninety five only);
Clause 2.11.2 - Original of Experience certificates apostile at foreign origin, if any. Modification has been made pursuant
(k) of RFP to Circular no. 9.1.11/2019 Dated
28.04.2022
06.06.2019 issued by NHAI without

modified clause.
Clause 2.11.2 - Certificate regarding Compliance with Restrictions under Rule 144 (xi) of Modification has been made pursuant
(l) of the RFP the General Financial Rules (GFRs) as per format given in Appendix-VII to circular for General Financial Rules.
shall be submitted by the Bidder with the RFP Bid duly signed by
Authorised signatory & shall be part of the Concession Agreement.
Clause 2.11.1 -- Copy of Registration from the Competent Authority as defined in Public Modification has been made pursuant
(m) of RFP Procurement Order No. F. No. 6/18/2019-PPD dated 23rd July 2020, if to office memorandum no. NH-
applicable (to be submitted by the “Bidder from a country which shares a 35014/20 /2020-H Dated 04.08.2020
land border with India”).
2.11.5 If the envelopes is not sealed and marked as instructed above, the Authority If the envelopes is not sealed and marked as instructed above, the Authority Modification has been made pursuant
assumes no responsibility for the misplacement or premature opening of the assumes no responsibility for the misplacement or premature opening of the to
contents of the Bid submitted and consequent losses, if any, suffered by the contents of the Bid submitted and consequent losses, if any, suffered by the
Bidder. The Lowest Bidders (including individual or any of its Consortium a) Circular no. 9.1.11/2019
Bidder.
Members) failing to submit the original documents required as per clause Dated 06.06.2019 issued by NHAI
2.11.2 above shall be unconditionally debarred from bidding in NHAI b) Circular no. RW/NH-
projects for a period of 5 years. 37010/4/2010-EAP (Printing) Vol. IV
dated 30.04.2020 issued by MORTH
2.12 (Bid Due Technical & Financial Bid comprising of the documents listed at clause 2.11.1 Technical & Financial Bid comprising of the documents listed at clause 2.11.1 of Modification has been made pursuant
Date) of the RFP shall be submitted online through e-procurement portal the RFP shall be submitted online through e-procurement portal to
[https://nhai.eproc.in]on or before *****hrs IST on ******Documents listed at https://etenders.gov.inon or before ***** hrs IST on *****. Documents listed at
28.04.2022
clause 2.11.2 of the RFP shall be physically submitted on or before ****hours clause 2.11.2 of the RFP shall be physically by Lowest Bidder before issuance a) Circular no. 9.1.11/2019
IST on *****at the address provided in Clause 2.11.4 in the manner and form as of Letter of Acceptance (LOA) by the Authority, at the address provided in
detailed in this RFP.A receipt thereof should be obtained from the person Clause 2.11.4 in the manner and form as detailed in this RFP.A receipt thereof Dated 06.06.2019 issued by NHAI
specified at Clause 2.11.4. should be obtained from the person specified at Clause 2.11.4.Lowest Bidder b) Circular no. RW/NH-
(including all of its Consortium Members) failing to submit the original 37010/4/2010-EAP (Printing) Vol. IV
documents required as per clause 2.11.2 above shall be unconditionally dated 30.04.2020 issued by MORTH
debarred from bidding in NHAI projects for a period of 5 years. without modified clause..
2.14.1.1 It is mandatory for all the Bidders to have class-III Digital Signature Certificate It is mandatory for all the Bidders to have class-III Digital Signature Certificate Modification has been made pursuant
(DSC) (in the name of Authorized Signatory / Firm or Organization / Owner of (DSC) (in the name of Authorized Signatory / Firm or Organization / Owner of to Circular no. 11041/218/2007-Admn.
the Firm or organisation) from any of the licensed Certifying Agency (Bidders the Firm or organisation) from any of the licensed Certifying Agency (Bidders Dated 30.08.2016 issued by NHAI
can see the list of licensed CAs from the link www.cca.gov.in) to participate in can see the list of licensed CAs from the link www.cca.gov.in) to participate in
e-tendering of the Authority. e-tendering of the Authority.
DSC should be in the name of the authorized signatory as authorized in DSC should be in the name of the authorized signatory as authorized in
Appendix III of this RFP. It should be in corporate capacity (that is in Bidder Appendix III of this RFP. It should be in corporate capacity (that is in Bidder
capacity / in case of Consortium in the Lead Member capacity, as applicable). capacity / in case of Consortium in the Lead Member capacity, as applicable).
The Bidder shall submit document in support of the class III DSC. The Bidder shall submit document in support of the class III DSC.
The Authorized Signatory holding Power of Attorney shall only be the Digital The Authorized Signatory holding Power of Attorney (POA) or the person
Signatory. In case Authorized Signatory holding Power of Attorney and Digital executing/delegating such POA shall only be the Digital Signatory. In other
Signatory are not the same, the BID shall be considered non–responsive. cases, the Bid shall be considered non-responsive.
28.04.2022
2.14.2.2 The documents listed at clause 2.11.1 shall be prepared and scanned in The documents listed at clause 2.11.1 shall be prepared and scanned in different Modification has been made pursuant
different files (in PDF or JPEG format such that file size is not more than 5 files (in PDF or RAR format such that file size is not more than 30 MB) and to NHAI has decided to migrate to e-
MB) and uploaded during the on-line submission of BID. uploaded during the on-line submission of BID. procurement portal developed by
National Informatics Centre (NIC) from
the existing e- procurement solution of
M/s C1 India Ltd w.e.f. 01.04.2017
2.15.2 The Authority shall on-line open Technical Bids on ******at ****hours IST, in the The Authority shall on-line open Technical Bids on ****** at **** hours IST, in the Modification has been made pursuant
presence of the authorized representatives of the Bidders, who choose to presence of the authorized representatives of the Bidders, who choose to to Circular no. 9.1.11/2019 Dated
attend. Technical Bid of only those Bidders shall be online opened whose attend. The NHAI will subsequently examine and evaluate the Bids in 06.06.2019 issued by NHAI without
documents listed at clause 2.11.2 of the RFP have been physically received. accordance with the provisions of Section 3 of RFP. modification of clause.
The MoRT&H/ NHAI will subsequently examine and evaluate the Bids in
accordance with the provisions of Section 3 of RFP.
3.1.1 The Authority shall open the Technical Bids received physically & online at **** The Authority shall open the Technical Bids received online at **** hours IST Modification has been made pursuant
hours IST on ******, at the place specified in Clause 2.11.4and in the presence on ******, at the place specified in Clause 2.11.4 and in the presence of the to Circular no. 9.1.11/2019 Dated
of the Bidders who choose to attend. Bidders who choose to attend. 06.06.2019 issued by NHAI without
modification of clause.
Clause 3.2.1 Documents listed at clause 2.11.2 are received physically Deleted Modification has been made pursuant
(b) of the to Circular no. 9.1.11/2019 Dated
RFP 06.06.2019 issued by NHAI
Clause 3.2.1 Technical Bid contains proof of online payment of Rs. ********/- (Rupees****) Technical Bid contains proof of online payment of Rs.***** (Rupees****) towards Modification has been made pursuant
(i) of RFP towards cost of Bid document cost of Bid document transmitted online to NHAI. to change of mode of payment from
NIC portal.
28.04.2022
Clause core sector would be deemed to power, telecom, ports, airports, railways, metro core sector would be deemed to include civil construction cost of power Modification has been made pursuant
3.4.1(b) of rail, industrial parks/ estates, logistic parks, pipelines, irrigation, water supply, sector, commercial setups (SEZs etc.), telecom, ports, airports, railways, to circular no. NH-35014/25/2017-
RFP sewerage and real estate development. metro rail, industrial parks/ estates, logistic parks, pipelines, irrigation, water H(pt.II) dated 15.10.2020 with
supply, stadium, hospitals, hotel, smart city, warehouses/Silos, oil and gas, modified clause.
sewerage and real estate development.
Footnote 9 of The minimum size of the Eligible Projects shall be 10% of the Estimated Project The minimum size of the Eligible Projects shall be 5% of the Estimated Project Modification has been made pursuant
Clause 3.4.3 Cost. Cost. to circular no. NH-35014/25/2017-
(c) H(pt.II) dated 15.10.2020 with
modified clause.
Footnote 10 The minimum size of the Eligible Projects shall be 10% of the Estimated Project The minimum size of the Eligible Projects shall be 5% of the Estimated Project Modification has been made pursuant
of Clause Cost. Cost. to circular no. NH-35014/25/2017-
3.4.4 H(pt.II) dated 15.10.2020 with
modified clause.
3.8.1 New Clause Subject to the provisions of Clause 2.16.1, the Bidder whose Bid is adjudged as Modification has been made pursuant
responsive in terms of Clause 3.1.6. The Bidder shall be declared as the to Policy circular No.11.34/2021
selected Bidder (the “Selected Bidder”) in pursuance to the procedure defined dated 7.12.2021
hereunder:
(i) Among all the responsive bidder, the lowest bidder will be termed as L1. If
L1 is ‘Class -I Local Supplier’, the contract will be awarded to L1.
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(ii) If L1 is not ‘Class – I local supplier’, the lowest bidder among the ‘Class – I
local supplier’, will be invited to match L1 price subject to Class – I local
supplier’s quoted price falling within the margin of purchase preference, and the
contract will be awarded to such ‘Class – I local supplier’ subject to matching the
L1 price.
(iii) In case such lowest eligible ‘Class – I local supplier’ fails to match the L1
price, the ‘Class – I local supplier’ with the next higher bid within the margin of
purchase preference shall be invited to match the L1 price and so on and
contract shall be awarded accordingly. In case none of the ‘Class – I local
supplier’ within the margin of purchase preference matches the L1 price, the
contract shall be awarded to the L1 bidder.
‘Margin of purchase preference’ means the maximum extent to which the price
quoted by a ‘Class – I local supplier’ may be above the L1 for the purpose of
purchase preference. The margin of purchase preference shall be 20%.
4.4 Bidder shall comply with the provisions of office Memorandum No. Bidder shall comply with the provisions of Policy Circular No. 5 dated 29th Modification has been made pursuant
13030/09/2008-vig dated 28.01.2013 issued by NHAI i.e. Model Agreement for December 2020 issued by NHAI i.e. Model Agreement for Integrity Pact to Circular no.5.8 dated 29.12.2020
Integrity Pact (IP),(format given in Appendix VI) shall be submitted by the Bidder (IP),(format given in Appendix VI) shall be submitted by the Bidder along with
along with the Bid duly signed by the Authorised signatory of the Bidder and shall the Bid duly signed by the Authorised signatory of the Bidder and shall be
be deemed to be a part of the Concession Agreement. deemed to be a part of the Concession Agreement.
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Appendix-IA I/We acknowledge and undertake that our Consortium is qualified on the basis I/We acknowledge and undertake that our Consortium is qualified on the basis Modification has been made pursuant
Point No. 16 of Technical Capacity and Financial Capacity of those of its Members who shall, of Technical Capacity and Financial Capacity of those of its Members who shall, to Circular no. NHAI/Policy
for the period of 2 (two) years from the date of commercial operation of the for the period of 6 (six) months from the date of commercial operation of the Guidelines/Standard Documents/2020
Project, hold equity share capital not less than: (i) 26% (twenty six percent) of Project, hold equity share capital not less than: (i) 26% (twenty six percent) of No.11.21/2020 dated 24.11.2020
the subscribed and paid up equity of the Concessionaire; and (ii) 5% (five the subscribed and paid-up equity of the Concessionaire; and (ii) 5% (five
percent) of the Total Project Cost specified in the Concession Agreement. We percent) of the Total Project Cost specified in the Concession Agreement. We
further agree and acknowledge that the aforesaid obligation shall be in addition further agree and acknowledge that the aforesaid obligation shall be in addition
to the obligations contained in the Concession Agreement in respect of Change to the obligations contained in the Concession Agreement in respect of Change
in Ownership. in Ownership.
Point 24 of The documents accompanying the Technical Bid, as specified in Clause 2.11.2 The documents accompanying the Technical Bid, as specified in Clause 2.11.2 Modification has been made pursuant
Appendix IA of the RFP, have been submitted in a separate envelope and marked as of the RFP, shall be submitted in a separate envelope and marked as to following circulars:
“Enclosures of the Bid” “Enclosures of the Bid”
a) Circular no. 9.1.11/2019 Dated
b) Circular no. RW/NH-
IV dated 30.04.2020 issued by
MORTH
Appendix-IB I/ We hereby submit our Bid consisting of Bid Project Cost272 of Rs. I/ We hereby submit our Bid consisting of Bid Project Cost of Rs. Modification has been made pursuant
...................................... (Rs ...................................... to Policy Circular 11.29 dated
Point No.7 ......................................................................................... in words) and First Year (Rs......................................................................................... in words) excluding 16.06.2021 with modified clause.
O&M Cost273 of Rs. ...................................... GST and First Year O&M Cost of Rs.
(Rs..................................................................... in words) for undertaking the ......................................(Rs..................................................................... in words)
272
Bid Project Cost is the project cost as assessed by the Bidder as on the Bid Due Date.
First Year O&M Cost is the O&M cost assessed by the Bidder for first full year of O&M after COD, as on the Bid Due Date and the Concessionaire should consider all costs including major maintenance while
273
quoting the first year O&M costs. The O&M Cost shall be paid to the Concessionaire in each year of the O&M Period in accordance with the provision of the Concession Agreement.
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aforesaid Project in accordance with the Bidding Documents and the Concession excluding GST for undertaking the aforesaid Project in accordance with the
Agreement. Bidding Documents and the Concession Agreement
Annexure-1 6. A statement by the Bidder and each of the Members of its Consortium (where 6. (a) I/ We certify that in the last two years, we/ any of the JV partners or Modification has been made pursuant
applicable) or any of their Associates disclosing material non-performance or Members of Consortium have neither failed to perform for the works of to NHAI/Policy Guidelines/Non-
Details of contractual non-compliance in past projects, contractual disputes and litigation/ Expressways, National Highways, ISC & EI works, as evidenced by Performer & Debarred/2021 Policy No.
Bidder imposition of a penalty by an arbitral or judicial authority or a judicial
arbitration in the recent past is given below (Attach extra sheets, if necessary): 16.11/2021 dated 16.11.2021
pronouncement or arbitral award against us, nor been expelled or
terminated by Ministry of Road Transport & Highways or its
implementing agencies for breach on our part.
(b) I/ We certify that we/ any of the JV partners or Members of Consortium

do not fall in any of the categories of being a Non-Performing entity given
at Clause 2.1.23 of Instructions to Bidders in the projects of Expressways,
National Highways, ISC and EI works of Ministry of Road Transport &
Highways or its implementing agencies and furnished the complete
details.
7. (a) I/ We further certify that no investigation by a regulatory authority is

pending either against us/any member of Consortium or our sister
concern or against our CEO or any of our directors/managers/employees.
(b) I/ We further certify that no investigation by any investigating agency

in India or outside is pending either against us/ any member of
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Consortium or our sister concern or against our CEO or any of our

directors/managers/ employees.
A statement by the Bidder and each of the Members of its Consortium (where
applicable) or any of their Associates disclosing material non-performance or
contractual non-compliance in past projects, contractual disputes and litigation/
arbitration in the recent past, as on bid due date is given below (Attach extra
sheets, if necessary) w.r.t. para 2.1.23:
Name of the Bidder /Member of Consortium: __________________________
Sr. Categories of Non-Performer Name of

No. Project(s)
i Fails to set up institutional mechanism and procedure as
per contract.
ii Fails to mobilize key construction equipment within a
period of 4 months from the Appointed Date.
iii Fails to complete or has missed any milestone and
progress not commensurate with contiguous
unencumbered project length /ROW available even after
lapse of 6 months from respective project
milestone/Schedule Completion date, unless Extension of
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Time has been granted due to Authority's Default or Force

Majeure.
iv Fails to achieve progress commensurate with funds
released from Escrow Account (Equity + Debt + Grant) in
BOT or HAM project and variation is more than 25% in the
last 365 days.
v Fails to achieve the target progress or complete the
project as per schedule agreed at the time of sanctioning
of funds under One Time Funds Infusion (OTFI) or
relaxations to contract conditions to improve cash flow
solely on account of Concessionaire's/contractor’s
failure/default.
vi Fails to complete rectification (excluding minor
rectifications) as per time given in non-conformity reports
(NCR) in design/completed works/maintenance or
reported in Inspection Reports issued by Quality
Inspectors deployed by the Authority or Officers of the
Authority.
vii Fails to complete minor rectifications exceeding 3
instances in a project as per time given in non-conformity
reports (NCR) in design/completed works/maintenance.
viii Fails to fulfill its obligations to maintain a highway in a
satisfactory condition in spite of two rectification notices
issued in this regard.
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ix Damages/ penalties recommended by

Independent/Authority's Engineer during O&M Period and
remedial works are still not taken up.
x Fails to complete Punch list items even after lapse of time
for completion of such items excluding delays attributable
to the Authority.
xi Occurrence of minor failure of structures/highway due to
construction defect wherein no casualties are reported
(casualties include injuries to human being / animals).
xii Occurrence of major failure of structures/highway due to
construction defect wherein no casualties are reported
(casualties include injuries to human being/ animals).
xiii Occurrence of major failure of structures/highway due to
construction defect leading to loss of human lives besides
loss of reputation etc. of the authority.
xiv Fails to make premium payments excluding the current
instalment in one or more projects.
xv Fails to achieve financial closure in two or more projects
within the given or extended period (which shall not be
more than six months in any case).
xvi Fails to submit the Performance Security within the
permissible time period in more than one project.
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xvii Rated as an unsatisfactory performing entity/ non-

performing entity by an independent third-party agency
and so notified on the website of the Authority.
xviii Failed to perform for the works of Expressways, National
Highways, ISC & EI works in the last 2(two) years, as
evidenced by imposition of a penalty by an arbitral or
judicial authority or a judicial pronouncement or arbitral
award against the Bidder, including individual or any of its
Joint Venture Member, as the case may be.
xix Expelled from the contract or the contract terminated by
the Ministry of Road Transport & Highways or its
implementing agencies for breach by such Bidder,
including individual or any of its Joint Venture Member;
Provided that any such decision of expulsion or
termination of contract leading to debarring of the Bidder
from further participation in bids for the prescribed period
should have been ordered after affording an opportunity
of hearing to such party.
xx Fails to start the works or causes delay in maintenance &
I/ We certify that the list is complete and covers all the projects of Expressways,
National Highways, ISC and El works of Ministry of Road Transport & Highways
or its implementing agencies and that we/ any of the JV partners or Members of
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consortium do not fall in any of the above categories of being a Non-Performing

entity.
Appendix-II The guarantor/Bank hereby confirms that it is on the SFMS (Structural Finance Modification has been made pursuant
Bank Messaging System) platform & shall invariably send an advice of this Bank to change of mode of payment from
Guarantee Guarantee to the designated bank of NHAI Details, the details of which is given demand draft to online payment on
are as under follow: NIC portal.
Point No 15
1. Name of Beneficiary National Highways Authority of India
3. Account No. 8598201005819
Appendix V 6.2 The Parties undertake that a minimum of 26% (twenty six per cent) of the 6.2 The Parties undertake that a minimum of 26% (twenty six per cent) of the Modification has been made pursuant
(Format for subscribed and paid up equity share capital of the SPV shall, at all times subscribed and paid up equity share capital of the SPV shall, at all times to Circular no. NHAI/Policy
Joint Bidding till the second anniversary of the date of commercial operation of the till the six months after the date of commercial operation of the Project, Guidelines/Standard Documents/2020
Agreement Project, be held by the Parties of the First, {Second and Third} Part be held by the Parties of the First, {Second and Third} Part whose No.11.21/2020 dated 24.11.2020
for whose experience and networth have been reckoned for the purposes experience and networth have been reckoned for the purposes of
Consortium) of qualification and short-listing of Applicants for the Project in terms of qualification and short-listing of Applicants for the Project in terms of the
the RFP. RFP.
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6.3 The Parties undertake that each of the Parties specified in Clause 6.2 6.3 The Parties undertake that each of the Parties specified in Clause 6.2
above shall, at all times between the commercial operation date of the above shall, at all times between the commercial operation date of the
Project and the second anniversary thereof, hold subscribed and paid Project and the six months thereof, hold subscribed and paid up equity
up equity share capital of SPV equivalent to at least 5% (five per cent) share capital of SPV equivalent to at least 5% (five per cent) of the Total
of the Total Project Cost. Project Cost.
6.4 The Parties undertake that they shall collectively hold at least 51% (fifty 6.4 The Parties undertake that they shall collectively hold at least 51% (fifty
one per cent) of the subscribed and paid up equity share capital of the SPV at one per cent) of the subscribed and paid up equity share capital of the
all times until the second anniversary of the commercial operation date of the SPV at all times until the six months after the commercial operation
Project. date of the Project.
Appendix-VI Draft Integrity Pact Format applicable for works having value of Rs. 100 Cr (To be executed on the plain paper and submitted alongwith Technical Bid/ Modification has been made pursuant
(Integrity and above Tender documents for tenders having a value of Rs. 5 crore or more. To be to NHAI/Policy
Pact) signed by the bidder and same signatory competent/ authorized to sign the Guidelines/Vigilance/2020 policy
relevant contract on behalf of the NHAI) Circular No.5.8 dated 29.12.2020 &
(Name of the Project on BOT (Hybrid Annuity) Mode (the “Project”) through 5.10 dated 25.04.2022
(__________________Division)
an public private partnership.
Tender No.________________
(_________Division)
This integrity Pact is made at . on this_____ day
of………...2021.
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Tender No.________
BETWEEN
This Integrity Pact is made at ________ on this __________ day

of__________20142020
THE NATIONAL HIGHWAYS AUTHORITY OF INDIA (NHAI), a statutory body
constituted under the National Highways Authority of India Act, 1988, which has
been entrusted with the responsibility of development, maintenance and
Between management of National Highways, having its office at G- 5 & 6, Sector-10,
Dwarka, New Delhi, hereinafter referred to as "The Principal", which expression
shall, unless repugnant to the meaning of contract thereof, include its
[National Highways Authority of India (NHAI), a statutory body constituted successors and permitted assigns)
under the National Highways Authority of India Act, 1988, which has been
entrusted with the responsibility of development, maintenance and
management of National Highways, having its office at G-5 & 6, Sector-10, AND
Dwarka, New Delhi, hereinafter referred to as “The Principal”, which
expression shall unless repugnant to the meaning or contract thereof include
its successors and permitted assigns.]
…………………………………………………………. hereinafter referred to as
"The Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s)" and which
expression shall unless repugnant to be meaning or context thereof include its
and successors and permitted assigns.
Preamble
_____________________________________________________.
hereinafter referred to as “The Bidder/ Contractor/ Concessionaire/
Whereas, the Principal intends to award, under laid down organizational
procedure, contract/s for “………………”. The Principal values full compliance
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Consultant” and which expression shall unless repugnant to be meaning or with all relevant laws of the land, rules of land, regulations, economic use of
context thereof include its successors and permitted assigns. resources and of fairness/ transparency in its relations with its Bidder(s) and for
Contractor(s)/ Concessionaire(s)/ Consultant(s).
Preamble
And Whereas in order to achieve these goals, the Principal will appoint an
Independent External Monitors (IEMs), who will monitor the tender process and
Whereas, the Principal intends to award, under laid down the execution of the contract for compliance with the Principles mentioned
organizational procedures contract/s for……………………. The Principal above.
values full compliance with all relevant laws of the land, rules of land,
regulations, economic use of resources and of fairness/ transparency in its
relations with its Bidder(s) and for And whereas to meet the purpose aforesaid, both the parties have agreed to
Contractor(s)/Concessionaire(s)/Consultant(s). enter into this Integrity Pact (hereafter referred to as "Integrity Pact") the terms
and conditions of which shall also be read as integral part and parcel of the
Tender documents and contract between the parties.
And whereas in order to achieve these goals, the Principal will appoint an Now, therefore, in consideration of mutual covenants stipulated in this pact, the
independent external Monitor (IEM), who will monitor the tender process and parties hereby agree as follows and this pact witnesses as under:
the execution of the contract for compliance with the Principles mentioned
above.
Article-1: Commitments of the Principal
And whereas to meet the purpose aforesaid, both the parties have agreed to
enter into this Integrity Pact (hereafter referred to as Integrity Pact) the terms
and conditions of which shall also be read as integral part and parcel of the (1) The Principal commits itself to take all measures necessary to
Tender documents and contract between the parties. Now, therefore, in prevent corruption and to observe the following principles:-
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consideration of mutual covenants stipulated in this pact, the parties hereby (a) No employee of the Principal, personally or through
agree as follows and this pact witnesseth as under:- family members, will in connection with the Tender for, or the
execution of a Contract, demand, take a promise for or accept,
for self, or third person, any material or immaterial benefit which
Article-1-Commitments of the Principal the person is not legally entitled to.
(b) The Principal will, during the Tender process treat all
(1) The Principal commits itself to take all measures necessary to Bidder(s) with equity and reason. The Principal will in particular,
prevent corruption and to observe the following principle:- before and during the Tender process, provide to all Bidder(s)
the same information and will not provide to any Bidder(s)
confidential/ additional information through which the Bidder(s)
(a) No employee of the Principal, personally or through family members, could obtain an advantage in relation to the tender process or
will in connection with the lender for, or the execution of a contract, demand the contract execution.
take a promise for or accept for self or third person any material or immaterial
benefit Which the person is not legally entitled to.
(c) The Principal will exclude all known prejudiced persons
from the process.
(b) The Principal will, during the tender process treat all Bidder(s) with
equity and reason. The Principal will in particular, before and during the (2) If the Principal obtains information on the conduct of any of its
tender process, provide to all Bidder(s) the same information and will not employees which is a criminal offence under the IPC/PC Act or any
provide to any Bidder(s) confidential/ additional information through which the other Statutory Acts or if there be a substantive suspicion in this
Bidder(s) could obtain an advantage in relation to the tender process or the regard, the Principal will inform the Chief Vigilance Officer and in
contract execution. addition can initiate disciplinary actions as per its internal laid down
Rules/Regulations.
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(c) The Principal will exclude all known prejudiced persons from the Article - 2: Commitments of the Bidder(s)/ Contractor(s)/
process, whose conduct in the past has been of biased nature. Concessionaire(s)/ Consultant(s).
(2) If the Principal obtains information on the conduct of any of its The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) commit himself
employees which is a criminal offence under the IPC/PC Act or any other to take all measures necessary to prevent corruption. He commits himself to
Statutory Acts or if there be a substantive suspicion in this regard, the observe the following principles during his participation in the tender process
Principal will inform the Chief Vigilance Officer and in addition can initiate and during the contract execution.
disciplinary actions as per its internal laid down Rules/ Regulations.
(a) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)

Article-2 Commitments of the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ will not, directly or through any other person or firm, offer, promise or
Consultant(s) give to any of the Principal's employees involved in the tender process
or the execution of the contract or to any third person any material or
other benefit which he/she is not legally entitled to, in order to obtain
The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) commit in exchange any advantage of any kind whatsoever during the tender
himself to take all measures necessary to prevent corruption. He commits process or during the execution of the contract.
himself to observe the following principles during his participation in the
tender process and during the contract execution.
(b) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
will not enter with other Bidders into any undisclosed agreement or
understanding, whether formal or informal.
(a) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will This applies in particular to prices, specifications, certifications,
not, directly or through any other person or firm, offer, promise or give to any subsidiary contract, submission or non-submission or bids or any other
of the Principals employees involved in the tender process or the execution actions to restrict competitiveness or to introduce cartelization in the
of the contract or to any third person any material or other benefit which bidding process.
he/she is not legally entitled to, in order to obtain in exchange any advantage
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of any kind whatsoever during the tender process or during the execution of
the contract.
(c) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not
commit any offence under the relevant IPC/PC Act and other Statutory
Acts; further the
(b) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will
Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) will not use
not enter with other Bidders into any undisclosed agreement or
improperly, for purposes of completion or personal gain, or pass on to
understanding, whether formal or informal. This applies in particular to prices,
others, any information or document provided by the Principal as part
specifications, certifications, subsidiary contracts, submission or non-
of the business relationship, regarding plans, technical proposals and
submission or bids or any other actions to restrict competitiveness or to
business details, including information contained or transmitted
introduce cartelization in the bidding process.
electronically.
(c) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will (d) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) of
not commit any offence under the relevant IPC / PC. Act and other Statutory foreign origin shall disclose the name and address of the Agents/
Acts; further the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) Representatives in India, if any. Similarly, the Bidder(s)/ Contractor(s)/
will not use improperly for purposes of completion or personal gain, or pass Concessionaire(s)/ Consultant(s) of Indian Nationality shall furnish the
on to others, any information or document provided by the Principal as part name and address of the foreign principals, if any. Further, details as
of the business relationship, regarding plans, technical proposals and mentioned in the 'Guidelines on Indian Agents of Foreign Suppliers'
business details, including information contained or transmitted shall be disclosed by the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
electronically. Consultant(s). Further, all the payments made to the Indian Agent /
Representative have to be Indian Rupees only.
(d) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) of (e) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will,
foreign origin shall disclose the name and address of the Agents/ when presenting his bid, disclose any and all payments he has made,
representatives in India. If any similarly the Bidder(s)/ Contractor(s)/ is committed to or intends to make to agents, brokers or any other
28.04.2022
Concessionaire(s)/ Consultant(s) of Indian Nationality shall furnish the name intermediaries in connection with the award of the contract. He shall
and address of the foreign principle, if any. also disclose the details of services agreed upon for such payments.
(f) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not

(e) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will,
instigate third persons to commit offences outlined above or be an
when presenting his bid, disclose any and all payments he has made, is
accessory to such offences.
committed to or intends to make to agents, brokers or any other
intermediaries in connection with the award of the contract. He shall also
disclose the details of services agreed upon for such payments. (g) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not
bring any outside influence through any Govt. bodies/quarters directly
or indirectly on the bidding process in furtherance of his bid.
(f) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will
not instigate third persons to commit offences outlined above or be an
(h) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
accessory to such offences.
who have signed a Integrity pact shall not approach the court while
representing the matter to IEMs and shall wait for their decision in the
matter.
(g) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will
not bring any outside influence through any Govt. bodies/quarters directly or
indirectly on the bidding process in furtherance of his bid. Article - 3 Disqualification from tender process and exclusion from future
contracts.
Article 3 Disqualification from tender process and exclusion from

future contracts (1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s), before award or during execution has committed a
transgression through a violation of any provision of Article2, above or
in any other form such as to put his reliability or credibility in question,
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(1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) the Principal is entitled to disqualify the Bidder(s)/ Contractor(s)/
before award or during execution has committed a transgression through a Concessionaire(s)/ Consultant(s) from the tender process.
violation of any provision of Article-2, above or in any other from such as to
put his reliability or credibility in question, the Principal is entitled to disqualify
the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) from the (2) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s) has committed a transgression through a violation of
tender process.
Article-2 such as to put his reliability or credibility into question, the
Principal shall be entitled to exclude including blacklist and put on
holiday the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
(2) If the Bidder/Contractor/Concessionaire/Consultant has committed a for any future tenders/ contract award process. The imposition and
transgression through a violation of Article-2 such as to put his reliability or duration of the exclusion will be determined by the severity of the
credibility into question, the Principal shall be entitled to exclude including transgression. The severity will be determined by the Principal taking
blacklist and put on holiday the Bidder/Contractor/Concessionaire/Consultant into consideration the full facts and circumstances of each case
for any future tenders/contract award process. The imposition and duration particularly taking into account the number of transgressions, the
of the exclusion will be determined by the severity of the transgression. The position of the transgressors within the company hierarchy of the
severity will be determined by the Principal taking into consideration the full Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) and the
facts and circumstances of each case particularly taking into account the amount of the damage. The exclusion will be imposed for a minimum
number of transgressions, the position of the transgressors within the period of 6 months and maximum period of 2 years.
company hierarchy or the Bidder/Contractor/Concessionaire/Consultant and
the amount of the damage. The exclusion will be imposed for a minimum of
1 year. (3) A transgression is considered to have occurred if the Principal
after due consideration of the available evidence concludes that “On
the basis of facts available there are no material doubts”.
(3) A transgression is considered to have occurred if the Principal after
due consideration of the available evidence concludes that “On the basis of (4) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
facts available there are no material doubts”. with its free consent and without any influence agrees and undertakes
to respect and uphold the Principal's absolute rights to resort to and
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impose such exclusion and further accepts and undertakes not to

challenge or question such exclusion on any ground, including the lack
(4) The Bidder/ Contractor/Concessionaire/Consultant will its free of any hearing before the decision to resort to such exclusion is taken.
consent and without any influence agrees and undertakes to respect and This undertaking is given freely and after obtaining independent legal
uphold the Principal’s absolute rights to resort to and impose such exclusion advice.
and further accepts and undertakes not to challenge or question such
exclusion on any ground, including the lack of any hearing before the decision
to resort to such exclusion is taken. This undertaking is given freely and after (5) The decision of the Principal to the effect that a breach of the
obtaining independent legal advice. provisions of this Integrity Pact has been committed by the Bidder(s)/
Contractor(s)/ Concessionaire(s)/ Consultant(s) shall be final and
binding on the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
(5) The decision of the Principal to the effect that a breach of the Consultant(s), however, the Bidder(s)/ Contractor(s)/
provisions of this Integrity Pact has been committed by the Bidder/ Concessionaire(s)/ Consultant(s) can approach IEM(s) appointed for
Contractor/ Concessionaire/Consultant shall be final and binding on the the purpose of this Pact.
Bidder/ Contractor/Concessionaire/Consultant.
(6) On occurrence of any sanctions/ disqualification etc. arising out
from violation of integrity pact, the Bidder(s)/ Contractor(s)/
(6) On occurrence of any sanctions/ disqualification etc. arising out from Concessionaire(s)/ Consultant(s) shall not be entitled for any
violation of integrity pact, Bidder/ Contractor/Concessionaire/Consultant shall compensation on this account.
not be entitled for any compensation on this account.
(7) Subject to full satisfaction of the Principal, the exclusion of the

Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) could be
(7) Subject to full satisfaction of the Principal, the exclusion of the
revoked by the Principal if the Bidder(s)/ Contractor(s)/
Bidder/ Contractor/Concessionaire/Consultant could be revoked by the
Concessionaire(s)/ Consultant(s) can prove that he has restored/
Principal if the Bidder/ Contractor/Concessionaire/Consultant can prove that
recouped the damage caused by him and has installed a suitable
corruption prevention system in his organization.
28.04.2022
he has restored/recouped the damage caused by him and has installed a

suitable corruption prevention system in his organization.
Article-4: Compensation for Damages.
(1) If the Principal has disqualified the Bidder(s) from the tender
Article 4 Compensation for Damages process prior to the award according to Article-3, the Principal shall be
entitled to suspend the bidder for participation in the tendering process
for the works of MoRTH/NHAI/NHIDCL and works under other Centrally
(1) If the Principal has disqualified the Bidder(s) from the tender process Sponsored Schemes for a period of One Year from the bid due date of
prior to the award according to Article3, the Principal shall be entitled to this work apart from any other legal right that may have accrued to the
suspend the bidder for participation in the tendering process for the works of Principal.
MoRTH/NHAI/NHIDCL and works under other Centrally Sponsored
Schemes for a period of One Year from the bid due date of this work forfeit (2) In addition to 1 above, the Principal shall be entitled to take
the Earnest Money Deposit/Bid Security or demand and recover the recourse to the relevant provisions of the contract related to
damages equivalent to Earnest Money Deposit/Bid Security apart from any Termination of Contract due to Contractor/
other legal right that may have accrued to the Principal. Concessionaire/Consultant's Default. In such case, the Principal shall
be entitled to forfeit the Performance Bank Guarantee of the
Contractor/ Concessionaire/ Consultant and/ or demand and recover
(2) In addition to above, the Principal shall be entitled to take recourse liquidated and all damages as per the provisions of the
to the relevant provisions of the contract related to Termination of Contract contract/concession agreement against Termination.
due to Contractor/Concessionaire/Consultant’s Default. In such case, the
Principal shall be entitled to forfeit the Performance Bank Guarantee of the
Contractor/Concessionaire/Consultant and/or demand and recover Article - 5: Previous Transgressions
liquidated and all damages as per the provisions of the contact/Concession
agreement against Termination.
(1) The Bidder declares that no previous transgressions occurred
in the last 3 years immediately before signing of this Integrity Pact with
28.04.2022
Article 5 Previous Transgression any other Company in any country conforming to the anti corruption/
Transparency International (TI) approach or with any other Public
Sector Enterprise/ Undertaking in India or any Government
(1) The Bidder declares that no previous transgression occurred in the Department in India that could justify his exclusion from the tender
last 3 years immediately before signing of this integrity pact with any other process.
Company in any country conforming to the anticorruption/Transparency
International (TI) approach or with any other Public Sector (2) If the Bidder makes incorrect statement on this subject, he can
Enterprise/Undertaking in India or any Government Department in India that be disqualified from the tender process or action for his exclusion can
could justify his exclusion from the lender process. be taken as mentioned under Article-3 above for transgressions of
Article-2 and shall be liable for compensation for damages as per
Article-4 above.
(2) If the Bidder makes incorrect statement on this subject, he can be
disqualified from the tender process or action for his exclusion can be taken
as mentioned under Article-3 above for transgression of Article-2 and shall Article - 6: Equal treatment of all Bidders/ Contractors/ Concessionaires/
be liable for compensation for damages as per Article-4 above. Consultants/ Subcontractors.
Article 6 Equal treatment of all Bidders/ Contractors/ Concessionaires/ (1) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
Consultants/ Subcontractors undertake(s) to demand from all sub-contractors a commitment in
conformity with this Integrity Pact, and to submit it to the Principal
before contract signing.
(1) The Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s)

undertake(s) to demand from all sub-contractors a commitment in conformity (2) The Principal will enter into agreements with identical
with this integrity Pact, and to submit it to the Principal before contract conditions as this one with all Bidders/ Contractors/ Concessionaires/
signing. Consultants and subcontractors.
28.04.2022
(2) The Principal will enter into agreements with identical conditions as (3) The Principal will disqualify from the tender process all Bidders
this one with all Bidders/Contractors/Concessionaire/Consultant and who do not sign this Pact or violate its provisions.
Subcontractors.
Article - 7: Criminal charges against violating Bidder(s)/ Contractor(s)/

Concessionaire(s)/ Consultant(s)/ Sub-contractor(s).
(3) The Principal will disqualify from the lender process all Bidders who
do not sign this Pact violate previsions.
If the Principal obtains knowledge of conduct of a Bidder/ Contractor/

Article 7 Criminal charges against violating Bidder(s)/ Contractor(s)/ representative or an associate of a Bidder/ Contractor/ Concessionaire/
Concessionaire(s)/Consultant(s)/ Sub-contractor(s) Consultant or Subcontractor, which constitutes corruption, or if the
Principal has substantive suspicion in this regard, the Principal will
inform the same to the Chief Vigilance Officer.
If the Principal obtains knowledge of conduct of a Bidder/Contractor/
Concessionaire/Consultant or Subcontractor, or of an employee or a
representative or an associate of a Article- 8: Independent External Monitor (IEM)
Bidder/Contractor/Concessionaire/Consultant or Subcontractor, which
constitutes corruption, or if the Principal has substantive suspicion in this
regard, the Principal will inform the same to the Chief Vigilance Officer.
(1) The Principal has appointed Smt. Gauri Kumar, IAS (Retd.), Sh.
Ashish Bhauguna, (IAS Retd.) and Sh. Animesh Chauhan (Ex-MD &
CEO, Oriental Bank of Commerce) for this Pact. The task of the Monitor
Article 8 Independent External Monitor (IEM) is to review independently and objectively, whether and to what extent
the parties comply with the obligations under this agreement.
28.04.2022
(1) The Principal appoints competent and credible Independent External

Monitor for this Pact. The task of the Monitor is to review independently and
objectively, whether and to what extent the parties comply with the (2) The Monitor is not subject to instructions by the representatives
of the parties and performs his functions neutrally and independently.
obligations under this agreement.
He reports to the Chairman, NHAI.
(2) The Monitor is not subject to instructions by the representatives of (3) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
the parties and performs his functions neutrally and independently. He accepts that the Monitor has the right to access without restriction to
reports to the Chairman, NHAI. all project documentation of the Principal including that provided by
the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s). The
Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will also
(3) The Bidder/Contractor/Concessionaire/Consultant accepts that the grant the Monitor, upon his request and demonstration of a valid
Monitor has the right to access without restriction to all Project documentation interest, unrestricted and unconditional access to his project
of the Principal including that provided by the Bidder/ Contractor/ documentation. The same is applicable to Subcontractors.
Concessionaire/ Consultant. The Bidder/ Contractor/ Concessionaire/
Consultant will also grant the Monitor, upon his request and demonstration of (4) The Monitor is under contractual obligation to treat the
a valid interest, unrestricted and unconditional access to the Project. The information and documents of the
Monitor is under contractual obligation to treat the information and documents Bidder(s)/Contractor(s)/Subcontractor(s) with confidentiality. The
of the Bidder/ Contractor/ Concessionaire/ Consultant/ subcontractors with Monitor has also signed on ‘Non-disclosure of Confidential
confidentiality. Information’ and of ‘Absence of Conflict of Interest’. In case of any
conflict of interest arising at a later date, the IEM shall inform
Chairman, NHAI and recuse himself/ herself from that case.
(4) The Principal will provide to the Monitor sufficient information about
all meetings among the parties related to the Project provided such meetings
could have an impact on the contractual relations between the Principal (5) The Principal will provide to the Monitor sufficient information
about all meetings among the parties related to the Project provided
28.04.2022
and the Bidder/Contractor/ Concessionaire/Consultant. The parties offer to such meetings could have an impact on the contractual relations
the Monitor the option to participate in such meetings. between the Principal and the Bidder/Contractor/ Concessionaire/
Consultant. The parties offer to the Monitor the option to participate in
such meetings.
(5) As soon as the Monitor notices, or believes to notice any
transgression as given in Article-2, he may request the Management of the (6) As soon as the Monitor notices, or believes, to notice any
Principal to take corrective action, or to take relevant action. The monitor can transgression as given in Article-2, he may request the Management
in this regard submit non- binding recommendations. Beyond this, the of the Principal to take corrective action, or to take relevant action. The
Monitor has no right to demand from the parties that they act in a specific monitor can in this regard submit non-binding recommendations.
manner, refrain from action or tolerate action. Beyond this, the Monitor has no right to demand from the parties that
they act in a specific manner, refrain from action or tolerate action.
(6) The Monitor will submit a written report to the Chairman, NHAI within
8-10 weeks from the date of reference or intimation to him by the Principal (7) The Monitor will submit a written report to the Chairman, NHAI
and, should the occasion arise, submit proposals for correcting problematic within 8 to 10 weeks from the date of reference or intimation to him by
situations. the Principal and, should the occasion arise, submit proposals for
correcting problematic situations.
(7) If the Monitor has reported to the Chairman, NHAI, a substantiated (8) If the Monitor has reported to the Chairman, NHAI, a
suspicion of under relevant IPC/PC Act or any other Statutory Acts, and the substantiated suspicion of an offence under relevant IPC/PC Act or
Chairman, NHAI has not, within the reasonable time taken visible action to any other Statutory Acts, and the Chairman, NHAI has not, within the
proceed against such offence or reported it the Chief Vigilance Officer, the reasonable time taken visible action to proceed against such offence
Monitor may also transmit this information directly to the Central Vigilance or reported it to the Chief Vigilance Officer, the Monitor may also
Commissioner. transmit this information directly to the Central Vigilance
Commissioner.
28.04.2022
Article 9 Pact Duration

Article - 9 Pact Duration
This Pact begins when both parties have signed (In case of EPC i.e. for
projects funded by Principal and consultancy services) It expires for the This Pact begins when both parties have legally signed it (in case of
Contractor/Consultant 12 months after his Defect Liability Period is over or EPC i.e. for projects funded by Principal and consultancy services). It
12 months after his last payment under the contract whichever is later and expires for the Contractor/ Consultant 12 months after his Defect
for all other unsuccessful Bidders 6 months after this Contract has been Liability Period is over or 12 months after his last payment under the
awarded (In case BOT projects) It expires for the concessionaire 24 months contract whichever is later and for all other unsuccessful Bidders 6
after his concession period is over and for all other unsuccessful Bidders 6 months after this Contract has been awarded. (In case of BOT Projects)
months after this Contract has been awarded. It expires for the concessionaire 24 months after his concession period
is over and for all other unsuccessful Bidders 6 months after this
Contract has been awarded. Any violation of the same would entail
disqualification of the bidder and exclusion from future dealings.
If any claim is made/lodged during this time, the same shall be biding and
continue to be valid despite the lapse of this pact as specified above, unless
it is discharged determined by Chairman of NHAI.
If any claim is made/ lodged during this time, the same shall be binding
and continue to be valid despite the lapse of this pact as specified
above, unless it is discharged/ determined by Chairman of NHAI.
Article 10 Other Provisions
Article - 10 Other Provisions

28.04.2022
(1) This pact is subject to Indian Law, Place of performance and

jurisdiction is the Registered Office of the Principal, i.e. New Delhi.
(1) This pact is subject to Indian Law. Place of performance and
jurisdiction is the Registered Office of the Principal, i.e. New Delhi.
(2) Changes and supplements as well as termination notices need to be

made in writing. (2) Changes and supplements as well as termination notices need
to be made in writing.
(3) If the Bidder/Contractor/Concessionaire/Consultant is a partnership (3) If the Bidder/Contractor/Concessionaire/Consultant is in a

or a Consortium, this pact must be signed by all partners or Consortium partnership or a Joint Venture partner, this pact must be signed by all
members. partners or members.
(4) Should one or several provisions of this agreement turn out to be (4) Should one or several provisions of this agreement turn out to
invalid, the reminder of this agreement remains valid, in this case, the parties be invalid, the remainder of this agreement remains valid. In this case,
will strive to come to an agreement to their original intentions. the parties will strive to come to an agreement to their original
intentions.
(5) Any dispute/differences arising between the parties with regard to (5) Issue like warranty / Guarantee etc. shall be outside the purview
term of this Pact, any action taken by the Principal in accordance with this of IEMs.
Pact or interpretation thereof shall not be subject to any Arbitration.
(6) In the event of any contradiction between the Integrity Pact and
its Annexure, the clause in integrity pact shall prevail.
28.04.2022
(6) He actions stipulated in the integrity Pact are without prejudice to any (7) Any disputes/ differences arising between the parties with
other legal action that may follow in accordance with the provisions to the regard to term of this pact, any action taken by the Principal in
extant law in force relating to any civil or criminal proceedings. accordance with this Pact or interpretation thereof shall not be subject
to any Arbitration.
In witness whereof he parties have signed and executed this pact at the place (8) The actions stipulated in this Integrity Pact are without prejudice
and date first done mentioned in the presence of following witnesses:- to any other legal action that may follow in accordance with the
provision of the extent law in force relating to any civil or criminal
proceedings.
______________________________
_______________________________
In witness whereof the parties have signed and executed this Pact at the place
and date first done mentioned in the presence of following witness:-
(For & On behalf of the (Principal) (For & On behalf of Bidder/
……………………………………. ……………………………………..
Contractor/Concessionaire/Consultant For & on behalf of the Principal For & On behalf of
Bidder/
(Office Seal) (Office Seal) Contractor/ Concessionaire/
Consultant
Place……………
Place ________
Date………….…
28.04.2022
Date ________
Witness 1:
Witness 1: (Name & Address)

_____________
(Name & Address)

____________
___________________________________________________
_______
___________________________________________________
Witness 2:
(Name & Address)

___________________________________________________
________________
_________
Witness 2:
________
(Name & Address)

___________________________________________________
___________________________________________________
_____________________________
28.04.2022
Appendix-VII (To be on the letter head of the Bidder/ Each Member of the Consortium) No.G-20016/3/2020/TF-II
(GFR Rules)
Certificate regarding Compliance with Restrictions under Rule 144 (xi) of &
the General Financial Rules (GFRs)
MoRTH OM no. NH-35014/20/2020-H
(Refer Clause 2.1.2) dated 04.08.2020
And
The *********** Modification has been made pursuant

to circular for General Financial Rules.
[National Highways Authority of India
G-5&6, Sector 10, Dwarka,
New Delhi - 110 075]
Sub: BID for ********** on Hybrid Annuity Mode
Dear Sir,
28.04.2022
With reference to your RFP document dated *** **$, I/we, having examined the
Bidding Documents and understood their contents, hereby undertake and
confirm as follows:
I/We have read the clause regarding restrictions on procurement from a

bidder of a country which shares a land border with India and on sub-
contracting to contractors from such countries;
I certify that this Bidder is not from such a country or, if from such a country,
has been registered with the Competent Authority, as defined in Public
Procurement Order no. F.no.6/18/2019- PPD dated 23rd July 2020 and will
not sub-contract any work to a contractor from such countries unless such
contractor is registered with the said Competent Authority.
I hereby certify that this bidder fulfils all requirements in this regard and is
eligible to be considered.
Yours faithfully,
Date:
28.04.2022
Place:
Name and seal of Bidder/Lead Member of the Consortium
Notes:
{Where applicable, evidence of valid registration by the Competent Authority

shall be attached}
In case the above certification is found to be false, this would be a ground for
immediate rejection of Bid/termination and further legal action in accordance
with law.
Modifications in Model Concession Agreement for HAM projects
Clause Existing clause as per Model concession Agreement issued by Modified clause incorporating amendment issued by NHAI/ MoRTH till Reference Circular
MoRTH on 10.11.2020 28.04.2022
Article-1 (Point T) Any agreement, consent, approval, authorization, notice, communication, Any agreement, consent approval, authorization, notice, communication, information, Modification has been made
information or report required under or pursuant to this Agreement from or by any report or any other correspondence required under or pursuant to this Agreement, from or pursuant to Policy circular no
Party or the Independent Engineer shall be valid and effective only if it is in writing by any party or the Independent Engineer, shall be valid and effective only if it is routed 6.24/2020 dated 03.11.2020 with
under the hand of a duly authorized representative of such Party or the Independent through NHAI Data Lake (unless the law requires to send such notice, modified clause
Engineer, as the case may be, in this behalf and not otherwise. communication, etc, through physical/any other specified mode only) under the hand
of a duly authorized representative of such Party or the Independent Engineer, as the
case may be, in this behalf and not otherwise
Article 5.9 New Clause Obligations relating to Local Content Modification has been made
pursuant to Policy circular
The Contractor [Class I Local Supplier/ Class II Local Supplier/ Non Local Supplier] No.11.34/2021 dated 07.12.2021
undertakes to ensure minimum Local Content in the Project Highway of at least
[50%/20%] duly complying with the provisions of Department for Promotion of Industry
and Internal Trade, Ministry of Commerce and Industry, Government of India Order No.
P-45021/2/2017-PP (BE- II) dated September 16, 2020, as amended or modified till Bid
Due Date and the provisions under Rule 144(xi) of GFR, 2017.
7.1 (k) It shall at no time undertake or permit any Change in Ownership except in it shall at no time undertake or permit any Change in Ownership except in accordance with Modification has been made
accordance with the provisions of Clause 5.3 and that the {selected bidder/ the provisions of Clause 5.3 and that the {selected bidder/ Consortium Members}, together pursuant to Policy circular
Consortium Members}, together with {its/ their} Associates, hold not less than 51% with {its/ their} Associates, hold not less than 51% (fifty-one percent) of its issued and No.11.21/2020 dated 24.11.2020
(fifty-one percent) of its issued and paid up Equity as on the date of this Agreement; paid up Equity as on the date of this Agreement; and that each Consortium Member whose with modified clause
and that each Consortium Member whose technical and financial capacity was technical and financial capacity was evaluated for the purposes of pre-qualification and
evaluated for the purposes of pre-qualification and short-listing in response to the short-listing in response to the Request for Proposals shall hold at least 26% (twenty six
Request for Proposals shall hold at least 26% (twenty six per cent) of Equity during per cent) of Equity during the Construction Period and six months thereafter along with
the Construction Period and two years thereafter along with its Associates; its Associates;
Provided further that any such request made under Clause 7.1(k) and / or Article Provided further that any such request made under Clause 7.1(k) and / or Article 42, at the
42, at the option of the Authority, may be required to be accompanied by a suitable option of the Authority, may be required to be accompanied by a suitable no objection
no objection letter from Senior Lenders. letter from Senior Lenders
Foot Note 5 under Calculated @ 5% (five per cent) of the Bid Project Cost. Calculated @ 5% (five per cent) of the Bid Project Cost. However, Circular No. OM Modification has been made
Article-9 Mo. F. No. G-20016/01/2020-TF-II dated 17.11.2020 has reduced Performance pursuant to
Security from existing 5% to 3% was initially valid upto 31.12.2021, further, Circular
No. COVID-19/RoadMap/ JS(H)/ 2020 dated 11.04.2022 extended the applicability a) Circular No. OM Mo. F. No.
of reduced Performance Security 3% (three percent) up to 31.10.2022. G-20016/01/2020-TF-IIdated
17.11.2020
b) Circular No. COVID-

19/RoadMap/ JS(H)/ 2020 dated
11.04.2022
10.2.6 It is expressly agreed that trees on the Site are property of the Authority except It is expressly agreed that trees on the Site are property of the Authority except that Modification has been made
that the Concessionaire shall be entitled to exercise usufructory rights thereon the Concessionaire shall be entitled to exercise usufructuary rights thereon during the pursuant to NHAI/Policy
during the Concession Period. Concession Period. Guidelines/Standard
Documents/2020 Policy No.
11.22 Dated 02.12.2020
11.2.2 New Clause In case Appointed Date is not achieved and the Concession Agreement is terminated prior Modification has been made
to achievement of Appointed Date, the Concessionaire shall be reimbursed the cost of pursuant to Circular no.
Utility shifting carried out during Development Period by the Authority after due 7.2.10/2020 dated the 13.10.2020
certification by the Authorized Representative of the Authority. For the purpose of such
reimbursement, the rates in the approved estimates by the concerned utility department
shall be paid as per actual work carried out at site. For the avoidance of doubt, the
Concessionaire would be reimbursed the cost of utility shifting only in case of termination
prior to Appointed Date and only if it carry out the utility shifting as envisaged in Clause
11.2.1
13.6 Video recording Video recording Modification has been made

pursuant to NHAI/Policy
During the Construction Period, the Concessionaire shall provide to the Authority During the Construction Period, the Concessionaire shall provide to the Authority Guidelines /Policy
for every calendar quarter, a video recording, which will be compiled into a 3 (three) for every calendar month, a video recording, which will be compiled into a 3 (three) Guidelines/2021
hour digital video disc or any substitute thereof, covering the status and progress of hour digital video disc or any substitute thereof, covering the status and progress
Construction Works in that quarter. The first such video recording shall be provided of Construction Works in that month. The first such video recording shall be Policy No.18.75/2021 dated
to the Authority within 7 (seven) days of the Appointed Date and thereafter, no later provided to the Authority within 7 (seven) days of the Appointed Date and 3.11.2021
than 15 (fifteen) days after the close of each quarter. Such video recording shall be thereafter, no later than 15 (fifteen) days after the close of each month. Such video
carried out along with the authorized representative of the Authority. recording shall be carried out along with the authorized representative of the
Notwithstanding anything to the contrary contained in this document, the Authority. Recording of previous month video and current month video running
Concessionaire shall also develop a Project specific website which shall be side by side shall be loaded on Data Lake (https://datalakeg.nhai.gov.in/nhai) for
accessible to the public and upload the time stamp pictures of the development of easily capturing various developments during the month before submission of their
Project Highway each week. invoice. Capturing Ortho-image for approx. 10% equivalent length of critical
structures or any other specific area should be decided by the Authority.
Independent Engineer shall ensure that the features and quality of drone video is
acceptable and video is not distorted/tampered with. Independent Engineer shall
analyse these drone videos and give their comments in its digital MPRs covering
inter-alia but not limited to the encumbrances/lands not available, sites of COS
demands, progress of project, mobilisation of plant & equipment, mobilisation of
camp sites, progress on rectification of NCRs etc. along with the proposed action
plan. Authority shall cross-check drone videos during the monthly physical
inspections and notify the discrepancies noticed, if any, between drone video, on
Independent Engineer comments and ground reality. The discrepancies shall be
examined and addressed through joint site inspections.
Authority should plan biannually drone based video recording during O&M period
in such a manner so that there is no overlap and digital data of O&M period is
available in regular intervals (monthly) through NSV and drone videography.

Concessionaire shall also develop a Project specific website which shall be
accessible to the public and upload the time stamp pictures of the development of
Project Highway each week regarding progress. The website must be accessible
to the public. In addition, Authority shall also undertake need based drone
videography as and when required. Authority shall ensure development of a
project specific website by the Concessionaire. In case of default on this account,
the Authority shall withhold an amount equivalent to Rs. 5 Lacs plus (drone rate X
length of project X no. of defaulting week) from the dues to the Concessionaire.
23.1 Bid Project Cost Bid Project Cost Modification has been made
pursuant to Policy circular no.
The Parties expressly agree that the cost of construction of the Project, as on the The Parties expressly agree that the cost of construction of the Project, as on the Bid Date, 03.03.20/2019 dated 29.07.2019
Bid Date, which is due and payable by the Authority to the Concessionaire, shall which is due and payable by the Authority to the Concessionaire, shall be deemed to be with modification of clause
Rs…………(Rupees………….) (The “ Bid Project Cost ”)£. The Parties further agree
be deemed to be Rs…………(Rupees………….) (The “Bid Project Cost ”)£. The that the Bid Project Cost specified hereinabove for payment to the Concessionaire shall & Policy Circular 11.29 dated
Parties further agree that the Bid Project Cost specified hereinabove for payment be inclusive of the cost of construction, interest during construction, working capital, 16.06.2021 with modified clause
to the Concessionaire shall be inclusive of the cost of construction, interest during physical contingencies and all other costs, expenses and charges for and in respect of
construction, working capital, physical contingencies and all other costs, expenses construction of the Project, save and except any additional costs arising on account of
and charges for and in respect of construction of the Project, save and except any variation in Price Index, Change of Scope, Change in Law, Force Majeure or breach of
additional costs arising on account of variation in Price Index, Change of Scope, this Agreement, which costs shall be due and payable to the Concessionaire in accordance
Change in Law, Force Majeure or breach of this Agreement, which costs shall be with the provisions of the Agreement. The Bid Project Cost shall be exclusive of GST,
due and payable to the Concessionaire in accordance with the provisions of the which shall be paid to the Concessionaire by the Authority at the applicable rates. For
Agreement. For the avoidance of doubt, the Bid Project Cost specified herein the avoidance of doubt, the Bid Project Cost specified herein represents the amount due
represents the amount due and payable by the Authority to the Concessionaire and and payable by the Authority to the Concessionaire and may be less than, equal to, or more
may be less than, equal to, or more than the Estimated Project Cost. than the Estimated Project Cost.
23.3.1 [40% (forty per cent)] of the Bid Project Cost, adjusted for the Price Index Multiple, [40% (forty per cent)] of the Bid Project Cost, adjusted for the Price Index Multiple, shall be Modification has been made
shall be due and payable to the Concessionaire in 5 (five) equal installments of [8% due and payable to the Concessionaire in 10 (ten) equal installments of [4% (four per cent)] pursuant to Circular no.
(four per cent)] each during the Construction Period in accordance with the provisions each during the Construction Period in accordance with the provisions of Clause23.4. NHAI/Policy Guidelines/Standard
of Clause23.4. Documents/2020 No.11.21/2020
dated 24.11.2020 with modified
clause
23.6.4 Interest shall be due and payable on the reducing balance of Completion Cost at an Interest shall be due and payable on the reducing balance of Completion Cost at an interest Modification has been made
interest rate equal to the applicable Bank Rate [plus 3% (three per cent)]. Such rate equal to the average of one year MCLR of top 5 Scheduled Commercial Banks276 pursuant to Policy circular
interest shall be due and payable biannually along with each installment specified plus 1.25 percent. Such interest shall be due and payable biannually along with each No.11.21/2020 dated 24.11.2020
in Clause 23.6.3. For the avoidance of doubt and by way of illustration, the Parties installment specified in Clause 23.6.3. For the avoidance of doubt and by way of with modified clause
agree that interest on the Completion Cost remaining to be paid, calculated from illustration, the Parties agree that interest on the Completion Cost remaining to be paid,
COD and until the 180th (one hundred and eightieth) day of COD, shall be due and calculated from COD and until the 180th (one hundred and eightieth) day of COD, shall
payable to the Concessionaire along with the first Annuity Payment and interest on be due and payable to the Concessionaire along with the first Annuity Payment and interest
**274% (** per cent) of the Percentage of Completion Cost remaining to be paid on on ** % (** per cent) of the Percentage of Completion Cost remaining to be paid on COD,
COD, calculated from first Annuity payment date and until the 1st (first) calculated from first Annuity payment date and until the 1st (first) anniversary of COD,
anniversary of COD, shall be due and payable along with the second Annuity shall be due and payable along with the second Annuity Payment due and payable under
Payment due and payable under this Agreement. The Parties further agree that this Agreement. The Parties further agree that interest shall be calculated based on the
interest shall be calculated based on the number of days a particular Bank Rate was number of days a particular average of one year MCLR of top 5 Scheduled Commercial
£
Bid Project Cost shall be the amount specified in the Bid of the selected Bidder.
274
To be finalized on the basis of the outstanding Completion Cost Annuity pursuant to the payment of 1 st Annuity as provided in the Annuity payment schedule in Clause 23.6.3
276
The Authority shall declare the list of Top 5 Scheduled Commercial Banks on 1st September every calendar year based on the balance sheet size as declared in their annual reports. The 1 year
MCLR of the top 5 Scheduled commercial banks shall be taken at the start of every quarter.
applicable during the period of calculation. For the purpose of illustration, assuming Banks was applicable during the period of calculation. For the purpose of illustration,
that the balance capital cost remaining to be paid is Rs 100 crores on the 1st Annuity assuming that the balance capital cost remaining to be paid is Rs 100 crores on the 1st
Payment Date, the applicable Bank Rate for the first 75 days is 8% and thereafter it Annuity Payment Date, the applicable average of one year MCLR of top 5 Scheduled
is revised to 7.5% and remains unchanged till the 2 ndAnnuity Payment Date, the Commercial Banks for the first 75 days is 8% and thereafter it is revised to 7.5% and
interest would be calculated as ((100*11%*75)/365)+((100*10.5%*105)/365). For remains unchanged till the 2ndAnnuity Payment Date, the interest would be calculated as
the avoidance of doubt275, the Interest would be calculated on simple interest basis ((100*9.25%*75)/365)+((100*8.75%*105)/365). For the avoidance of doubt, the Interest
and no compounding of the same would be undertaken. would be calculated on simple interest basis and no compounding of the same would be
undertaken.
23.7.1 The Parties acknowledge and agree that all O&M Expenses shall be borne by the The Parties acknowledge and agree that all O&M Expenses shall be borne by the Modification has been made
Concessionaire and in lieu thereof; a lump sum financial support in the form of Concessionaire and in lieu thereof; a lump sum financial support in the form of biannual pursuant to Policy Circular 11.29
biannual payments shall be due and payable by the Authority, which shall be payments shall be due and payable by the Authority, which shall be computed on dated 16.06.2021 with modified
computed on Rs…………(Rupees………….) (the “First Year O&M Cost”)£, in Rs…………(Rupees………….) (the “First Year O&M Cost”)£ + GST at the applicable clause
accordance with the provisions of this Clause 23.7 (the “O&M Payments”). The rates, in accordance with the provisions of this Clause 23.7 (the “O&M Payments”). The
Parties further acknowledge and agree that any O&M Expenses in excess of the Parties further acknowledge and agree that any O&M Expenses in excess of the O&M
O&M Payments shall be borne solely by the Concessionaire, save and except as Payments shall be borne solely by the Concessionaire, save and except as expressly
expressly provided in this Agreement. For avoidance of doubt it is clarified that the provided in this Agreement. For avoidance of doubt it is clarified that the O&M Payments
O&M Payments will be subject to any Change in Scope of the Project of the will be subject to any Change in Scope of the Project of the Concessionaire under Article
Concessionaire under Article 16of this Agreement. 16of this Agreement.
38.3.1 Any Dispute which is not resolved amicably by conciliation, as provided in Any Dispute which is not resolved amicably by conciliation as provided in Clause 38.2 Modification has been made
Clause 38.2, shall be finally decided by reference to arbitration by an arbitral shall be finally settled by arbitration as set forth below: pursuant to Circular no.
tribunal constituted in accordance with Clause 38.3.2. Such arbitration shall be NHAI/Policy
held in accordance with the Rules of Society for Affordable Redressal of i) The Dispute shall be finally referred to Society for Affordable Resolution of Guidelines/Dispute Resolution
Disputes (“SAROD”), New Delhi (the “Rules”), or such other rules as may be Disputes (hereinafter called as SAROD), a Society registered under Society's Act, & Legal Matter/2020 no.
1860 vide Registration no. S/RS/SW1049/2013 duly represented by Authority and
mutually agreed by the Parties, and shall be subject to the provisions of the 2.1.43/2020 dated 4.09.2020
National Highways Builders Federation (NHBF). The dispute shall be dealt with
Arbitration and Conciliation Act, 1996. The place of such arbitration shall be
in terms of Rules of SAROD. The detailed procedure for conducting Arbitration
the [Delhi] and the language of arbitration proceedings shall be English.
shall be governed by the Rules of SAROD and provisions of Arbitration &
Conciliation Act, 1996, as amended from time to time. The Dispute shall be
governed by Substantive Law of India.
275
Assuming that the total number of days between 1st Annuity payment date and 2nd Annuity date are 180. In case the number of days are different the calculation may be appropriately changed
£
First Year O&M Cost shall be the amount specified in the Bid of the selected Bidder.
ii) The appointment of Tribunal, Code of conduct for Arbitrators and fees and
expenses of SAROD and Arbitral Tribunal shall also be governed by the Rules of
SAROD as amended from time to time.
iii) Subject to the provisions of THE LIMITATION ACT, 1963, as amended from
time to time, Arbitration may be commenced during or after the Concession
Period, provided that the obligations of Authority and the Concessionaire shall not
be altered by reason of the Arbitration being conducted during the Concession
Period.
iv) The venue of Arbitration shall be New Delhi or a place selected by governing body
of SAROD and the language for all documents and communications between the
parties shall be English.
The expenses incurred by each party in connection with the preparation, presentation,
etc., of arbitral proceedings shall be shared by each party itself.
38.3.2 There shall be an arbitral tribunal comprising three arbitrators, of whom each - Modification has been made
Party shall select one, and the third arbitrator shall be appointed by the two pursuant to Circular no.
arbitrators so selected and in the event of disagreement between the two NHAI/Policy
arbitrators, the appointment shall be made in accordance with the Rules Guidelines/Dispute Resolution
& Legal Matter/2020 no.
2.1.43/2020 dated 04.09.2020
38.4 Adjudication by a Tribunal Adjudication by Regulatory Authority, Tribunal or Commission Modification has been made
pursuant to Circular no.
In the event of constitution of a statutory tribunal or other forum with powers In the event of constitution of a statutory regulatory authority, tribunal or commission, NHAI/Policy
to adjudicate upon disputes between the Concessionaire and the Authority, all as the case may be, with powers to adjudicate upon disputes between the Guidelines/Dispute Resolution
Disputes arising after such constitution shall, instead of reference to arbitration Concessionaire and the Authority, all Disputes arising after such constitution shall, & Legal Matter/2020 no.
under Clause 38.3, be adjudicated upon by such tribunal or other forum in instead of reference to arbitration under Clause 38.3, be adjudicated upon by such 2.1.43/2020 dated 04.09.2020
accordance with Applicable Laws and all references to Dispute Resolution regulatory authority, tribunal or commission in accordance with the Applicable Law
Procedure shall be construed accordingly. and all references to Dispute Resolution Procedure shall be construed accordingly. For
the avoidance of doubt, the Parties hereto agree that the adjudication hereunder shall
not be final and binding until an appeal against such adjudication has been decided by
an appellate tribunal or court of competent jurisdiction, as the case may be, or no such
appeal has been preferred within the time specified in the Applicable Law.
41.14 Any notice or other communication to be given by any Party to the other Party Unless the law requires to follow the specified mode of communication only as Modification has been made
under or in connection with the matters contemplated by this Agreement shall prescribed therein, any notice or other communication to be given by one contracting pursuant to Circular no.
be in writing and shall: Party to the other Party under or in connection with the matters contemplated by this NHAI/Policy Guidelines/Project
Agreement shall be routed through NHAI Data Lake under the hand of the authorized Payment/2020 No. 6.24/2020
(a) in the case of the Concessionaire, be given by facsimile or e-mail and by representative and shall: dated 03.11.2020 with modified
letter delivered by hand to the address given and marked for attention of clause
the person set out below or to such other person as the Concessionaire (a) in the case of the Concessionaire, be given through NHAI Data Lake and marked
may from time to time designate by notice to the Authority; provided for attention of the person set out below or to such other person as the
that notices or other communications to be given to an address outside Concessionaire may from time to time designate by notice to the Authority;
the Delhi may, if they are subsequently confirmed by sending a copy
thereof by registered acknowledgement due, air mail or by courier, be {Attention:
Designation:
sent by facsimile or e-mail to the number as the Concessionaire may
Address:
from time to time designate by notice to the Authority. Fax No:
Email ;}
{Attention: (b) in the case of the Authority, be given through NHAI Data Lake and be addressed
Designation:
to the person named below with a copy delivered to the Authority Representative
Address:
Fax No: or such other person as the Authority may from time to time designate by notice
Email ;} to the Concessionaire;
(b) in the case of the Authority, be given by facsimile or e-mail and by letter
delivered by hand at the address given below and be addressed to the {Name:
Designation:
person named below with a copy delivered to the Authority
Address:
Representative or such other person as the Authority may from time to Fax No:
time designate by notice to the Concessionaire; provided that if the Email :}; and
Concessionaire does not have an office in the Delhi it may send such
notice by facsimile or e-mail and by registered acknowledgement due, (c) any notice or communication by one contracting Party to the other Party,
air mail or by courier. given in accordance herewith, shall be deemed to have been delivered when given
through or made on the NHAI Data Lake.
{Name:
Designation:
Address:
Fax No:
Email :}; 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 day following the date of its delivery.
Article-42 “Change in Ownership” means a transfer of the direct and/or indirect legal or Change in Ownership” means a transfer of the direct and/or indirect legal or beneficial Policy circular No.11.21/2020
beneficial ownership of any shares, or securities convertible into shares, that causes ownership of any shares, or securities convertible into shares, that causes the aggregate dated 24.11.2020 with modified
Definitions the aggregate holding of the {selected bidder/ Consortium Members},together with holding of the {selected bidder/ Consortium Members},together with {its/their} clause
{its/their} Associates, in the total Equity to decline below 51% (fiftyone per cent) Associates, in the total Equity to decline below 51% (fifty one per cent) thereof during
thereof during Construction Period and two years thereafter; provided that any Construction Period and six months thereafter; provided that any material variation (as
material variation (as compared to the representations made by the Concessionaire compared to the representations made by the Concessionaire during the bidding process
during the bidding process for the purposes of meeting the minimum conditions of for the purposes of meeting the minimum conditions of eligibility or for evaluation of its
eligibility or for evaluation of its application or bid, as the case may be,) in the application or bid, as the case may be,) in the proportion of the equity holding of {the
proportion of the equity holding of {the selected bidder/ any Consortium Member} selected bidder/ any Consortium Member} to the total Equity, if it occurs prior to
to the total Equity, if it occurs prior to completion of a period two years after COD, completion of a period six months after COD, shall constitute Change in Ownership;
shall constitute Change in Ownership;
“Taxes” means any Indian taxes including excise duties, customs duties, value Taxes” means any Indian taxes including GST, excise duties, customs duties, value Modification has been made
added tax, sales tax, local taxes, cess and any impost or surcharge of like nature added tax, sales tax, local taxes, cess and any impost or surcharge of like nature (whether pursuant to Policy Circular 11.29
(whether Central, State or local) on the goods, materials, equipment and services Central, State or local) on the goods, materials, equipment and services incorporated in dated 16.06.2021 with Modified
incorporated in and forming part of the Project charged, levied or imposed by any and forming part of the Project highway charged, levied or imposed by any Government clause
Government Instrumentality, but excluding any interest, penalties and other sums Instrumentality, but excluding any interest, penalties and other sums in relation thereto
in relation thereto imposed on any account whatsoever. For the avoidance of doubt, imposed on any account whatsoever. For the avoidance of doubt, Taxes shall not include
Taxes shall not include taxes on corporate income; taxes on corporate income;
Schedule-F New Points 12. This guarantee shall also be operatable at our ________________branch at New Delhi,
from whom, confirmation regarding the issue of this guarantee or extension/
renewal thereof shall be made available on demand. In the contingency of this guarantee
being invoked and payment thereunder claimed, the said branch shall accept such
invocation letter and make payment of amounts so demanded under the said
invocation.
13. The guarantor/bank hereby confirms that it is on the SFMS (Structural Finance
Messaging System) platform & shall invariably send an advice of this Bank
Guarantee to the designated bank of NHAI which are as follows:
9. Name of Branch Dwarka Sector-10 Branch
10. Account No. 8598201005819
Annexure-1 to In accordance with Clause 23.8 of the Agreement, the Authority shall make to the In accordance with Clause 23.8 of the Agreement, the Authority shall make to the Inadvertent Error
Schedule-F Concessionaire an interest bearing bearing (@ Bank Rate) advance payment (herein Concessionaire an interest bearing (@average of one year MCLR of top 5 Scheduled
after called “Mobilization Advance”) not exceeding 10% (ten percent) of the Bid Commercial Banks277 plus 1.25%, compounded annually) advance payment (herein
Project Cost; and that the Mobilization Advance shall be made in (one/two) after called “Mobilization Advance”) not exceeding 10% (ten per cent) of the Bid Project
installment(s) subject to the concessionaire furnishing an irrevocable and Cost; and that the Mobilization Advance shall be made in [one/two] 278 installment(s)
unconditional guarantee by a scheduled bank for an amount equivalent to 110% subject to the concessionaire furnishing an irrevocable and unconditional guarantee by a
(one hundred and ten percent) of such installment to remain effective till the scheduled bank for an amount equivalent to 110% (one hundred and ten percent) of such
complete and full payment of the installment of the Mobilization Advance as installment to remain effective till the complete and full payment of the installment of the
security for compliance with its obligations in accordance with the Agreement . The Mobilization Advance as security for compliance with its obligations in accordance with
amount of {first/second} installment of the Mobilization Advance is Rs…………. the Agreement. The amount of {first/second} 279 installment of the Mobilization Advance
Cr. (Rupees……….Crore) and the amount of this Guarantee is Rs. …… Cr. is Rs.--------- Cr. (Rupees------ Crore) and the amount of this Guarantee is Rs. ---- Cr.
(Rupees- ………. crore) (the “Guarantee Amount”) . (Rupees---- crore) (the “Guarantee Amount”) 280.
277
The Authority shall declare the list of top 5 Scheduled Commercial Banks on 1st September every calendar year based on the balance sheet size as declared in their annual reports. The 1 year
MCLR of top 5 Scheduled Commercial Banks shall be taken at the start of every quarter.
278
Please strike out whichever is not applicable as per Clause 23.8 of the Agreement.
279
Please delete in case of mobilization advance is to be made in one/single installment.
280
The Guarantee amount should be equivalent to 110% of the value of the applicable installment.
Annexure-1 to New Point in table Modification has been made

Schedule -G pursuant to Circular no.
Format for Contract Price Weightages for Highway Projects with Flexible Electrical EHT line Km [***] [***] NHAI/Policy Guidelines/Utility
Pavements. and Shifting/2020 no. 7.2.8/2020 dated
public the 06.03.2020 and
health
utilities 7.2.10/2020 dated 13.10.2020
EHT Number [***] [***]

crossings
HT/ LT lines Km [***] [***]

(including
Transformers
any)
HT/ LT Number [***] [***]

crossings
Water Km [***] [***]

pipeline
Water Number [***] [***]

pipeline
crossings
Sewage line Km [***] [***]
Sewage line Number [***] [***]

crossings
* The above list is illustrative and may require modification as per the scope of the
work.
** Measurement of Progress
For example, if the total length of bituminous work to be done is 100 km, the
physical progress of bituminous work shall be determined as follows:
Physical progress of bituminous work =Weightage for bituminous work x (L'/L)
L = Total length of bituminous work in km
L' = Executed length of bituminous work in km
Similarly, the physical progress for other stages shall be worked out and addition of
all will give the total progress achieved.
Annexure-1 to Format for Contract Price Weightages for Highway Projects with Rigid Modification has been made
Schdeule -G Pavements. pursuant to Circular no.
Electrical EHT line Km [***] [***] NHAI/Policy Guidelines/Utility
and Shifting/2020 no. 7.2.8/2020 dated
public the 06.03.2020.
health
utilities
EHT Number [***] [***]

crossings
HT/ LT lines Km [***] [***]

(including
Transformers
any)
HT/ LT Number [***] [***]

crossings
Water Km [***] [***]

pipeline
Water Number [***] [***]

pipeline
crossings
Sewage line Km [***] [***]
Sewage line Number [***] [***]

crossings
* The above list is illustrative and may require modification as per the scope of the
work.
** Measurement of Progress
For example, if the total length of bituminous work to be done is 100 km, the
physical progress of bituminous work shall be determined as follows:
Physical progress of bituminous work =Weightage for bituminous work x (L'/L)
L = Total length of bituminous work in km

L' = Executed length of bituminous work in km
Similarly, the physical progress for other stages shall be worked out and addition of
all will give the total progress achieved.
Schedule-J New Point 2. It is certified that Rain Water Harvesting and Artificial Recharging arrangements have Modification has been made
been provided by the Concessionaire as per Schedule C of the Concession Agreement, pursuant to Circular No. RW/NH-
Completion and are functional. Details (with location chainage) are as given in Annex- ________. 33044/14/2003-SfrR(R) dated
Certificate. 03.09.2019
Annexure-1 Other Project Facilities and Approach roads Other Project Facilities and Approach roads
Schedule-K Damage or deterioration in Approach Roads, [pedestrian facilities, truck lay-bys, Damage or deterioration in Approach Roads, [pedestrian facilities, truck lay-bys, bus-bays, Modification has been made
bus-bays, bus- shelters, cattle crossings, Traffic Aid Posts, Medical Aid Posts and bus- shelters, cattle crossings, Traffic Aid Posts, Medical Aid Posts, Rain Water pursuant to Circular No.
other works] Harvesting/Artificial Recharge Unit and other works] RW/NH-33044/14/2003-SfrR(R)
dated 03.09.2019
III.: Combined Single Stage RFP for BOT (Toll) projects,

MCA for BOT(Toll) projects and MCA BOT(Toll) for
Capacity Augmentation of projects
Combined Single Stage RFP for BOT (Toll) projects has been issued by MoRTH
Circular No. NH-35014/25/2017-H dated 25.08.2020, MCA for BOT(Toll) projects by
MoRTH OM No. NH-35014/25/2017-H dated 24.08.2020 and Model Concession Agreement
(MCA) for capacity augmentation of Projects by MoRTH vide OM No. NH-35014/25/2017-H
dated 09.12.2020.
2. The following circulars have been issued by MoRTH/NHAI till 23.05.2022 in respect
of Combined Single Stage RFP for BOT (Toll) projects, MCA for BOT(Toll) projects & Model
Concession Agreement (MCA) for capacity augmentation of Projects:
S No. Subject Circular No. Date

1. Policy for submission of all types of Bank NHAI/Policy Guidelines/ Bank 23.01.2018
Guarantee linking through structured Guarantee linking through
financial message system (SFMS) and its structured financial message
verification of genuineness. system (SFMS)/2018
No.3.1.22/2018
2. Dispensation of physical submission of NHAI/PolicyGuidelines/ 06.06.2019
Bid Procurement/ 2019 No.
9.1.11/2019
3. Rain Water Harvesting and Artificial Circular No. RW/NH- 03.09.2019
recharging along National Highways 33044/14/2003-SfrR(R)
Standard
Operating Procedure.
4. Relaxation in Technical And Financial Circular no. NH-35014/25/2017- 28.10.2020
qualification of Bidders of National H(pt.11)
Highways project under Hybrid Annuity
Mode (HAM) and Build, Operate,
Transfer Mode (BOT) reg.
5. Amendment in clause 10.2.6 of Model NHAI/Policy Guidelines/ 02.12.2020
Concession Agreement Standard Documents/ 2020
Policy No. 11.22
6. Adoption of revised integrity pact (IP) for NHAI/Policy Guidelines 29.12.2020
NHAI projects reg. /Vigilance / 2020 Policy Circular
No. 5.8
7. Communication of Project related NHAI/Policy Guidelines/ Project 11.01.2021
correspondences between BOT (Toll) payment/ 2021 Policy guideline
Concessionaires, IEs and NHAI through no 6.26/2021
Project Management Software and Data
Lake Portal.
8. Drone Video Recording of Projects NHAI Policy No.18.75/2021 3.11.2021
Highway during the Development,
construction and O&M Period
9. Standard operating procedure to NHAI/Policy Guidelines /Non- 16.11.2021
Debar/Penalize/Declare as non- Performer & Debarred/2021
Performer the contractor/concessionaire Policy No. 16.11/2021
in National Highways and other centrally
sponsored road projects reg.
10. Amendment in the combined single stage NHAI/Policy Guidelines / 07.12.2021
RFP and Model concession agreement Standard Documents/2021
for National highway and centrally Policy circular No.11.33/2021
sponsored road projects proposed to be
implemented on BOT (toll) mode of
contact make to procurement compliant of
public procurement (preference to make
in India) order 2017 and Rule 144 (xi) of

GFR reg.
11. Modification in Integrity Pact NHAI/Policy Guidelines 25.04.2022

/Vigilance /2022 Policy Circular
No.5.10.2022
12. Changes in the Model Concession MoRTH Circular No. NH- 23.05.2022
Agreement of BOT (toll) project permitting 24028/14/2014-H
the change of ownership from existing 2 ( Vol. II) ( E-134863)
years to 1 years after commercial
operation date (Cod) - reg
3. Based on the aforesaid amendments, the deviation statement indicating the existing clauses
and revised formulation thereof are attached herewith at Annexure A. The revised Single Stage
RFP for BOT (Toll) projects, MCA for BOT(Toll) projects and MCA BOT(Toll) for
capacity augmentation of Projects incorporating the changes made made are placed at NHAI
website under heading Standard Documents.
.List of Modified Clauses for Combined Single Stage RFP for BOT (Toll) projects & MCA BOT(Toll) for capacity augmentation of Projects
(A) Combined Single Stage RFP for BOT (Toll) projects
Sl. No. Clause Existing Modified Remarks
1. Para 3 of Notice Bid submitted through any other mode shall not be entertained. Bid submitted through any other mode shall not be entertained. However, Modification has been made
Inviting Bid However, Bid Security, proof of online payment of cost of bid Bid Security, Power of Attorney for signing of Bid, Power of Attorney pursuant to following
document, Power of Attorney and joint bidding agreement etc. as circular:
for lead member of Consortium, if any, Joint Bidding Agreement for
specified in Clause 2.11.2 of the RFP shall be submitted physically by
Consortium, if any, Integrity Pact, and experience certificates apostille at NHAI/Policy
the Bidder on or before **** (at up to ****1100 hours IST). Please note
that the Authority reserves the right to accept or reject all or any of the foreign origin, if any and other documents required as per clause 2.11.2 Guidelines/Procurement/2019
BIDs without assigning any reason whatsoever. of RFP shall be submitted physically in original by the Highest Bidder No. 9.1.11/2019 Dated
before issuance of Letter of Award (LOA) by the Authority. Please note 06.06.2019 issued by NHAI
that the National Highways Authority of India reserves the right to accept without modified clause.
or reject all or any of the Bids without assigning any reason whatsoever
2. 1.1.8 New Clause a. The Selected Bidder shall use the Link ‘Data Lake Portal’ available on NHAI website Modification has been made
nhai.gov.in to communicate with the Independent Engineer and NHAI for all contractual pursuant to Policy circular no
correspondence. 6.26/2020 dated 11.01.2021
b. No Physical document shall be accepted unless and until the same is specifically stated
so in the RFP or it is a legal requirement
3. 1.2.1 The Authority has adopted a single stage two envelop The Authority has adopted a single stage two envelop process (referred to as the Modification has been made
process (referred to as the "Bidding Process") for selection "Bidding Process") for selection of the Bidder for award of the Project. Under this pursuant
process, the Bid shall be invited under two envelops. Prior to or along with the Bid, the
of the Bidder for award of the Project. Under this process, NHAI/Policy
Bidder shall pay to the Authority a sum of Rs. *******281 as the cost of the RFP process
the Bid shall be invited under two envelops. Prior to or along Guidelines/Procurement/2019
transmitted online to NHAI.
with the Bid, the Bidder shall pay to the Authority a sum of No. 9.1.11/2019 Dated
281
The cost of bidding documents may be determined at the rate of Rs. 10,000 for every Rs. 100 crore or part thereof comprising the estimated Project Cost.
Rs. ****** as the cost of the RFP process. Eligibility and Eligibility and qualification of the Bidder will be first examined based on the details 06.06.2019 issued by NHAI
qualification of the Bidder will be first examined based on submitted under first envelop (Technical Bid) with respect to eligibility and without modified clause.
qualifications criteria prescribed in this RFP. (The “Bidder”, which expression shall,
the details submitted under first envelop (Technical Bid)
unless repugnant to the context, include the members of the Consortium). The Financial
with respect to eligibility and qualifications criteria Bid under the second envelop shall be opened of only those Bidders whose Technical
prescribed in this RFP. (The “Bidder”, which expression Bids are responsive to eligibility and qualifications requirements as per this RFP. The
shall, unless repugnant to the context, include the members details of NHAI Account for deposition of application cost of bid document online is
of the Consortium). The Financial Bid under the second given below:
envelop shall be opened of only those Bidders whose

Technical Bids are responsive to eligibility and
qualifications requirements as per this RFP. Beneficiary National Highways Authority of
India
GOI has issued guidelines (see Annexure VI of Appendix- Bank Canara Bank
1A of RFP) for qualification of bidders seeking to acquire Account Number 8598201005819
stakes in any public sector enterprise through the process of IFSC Code CNRB0008598
disinvestment. These guidelines shall apply mutatis
mutandis to this Bidding Process. The Authority shall be
GOI has issued guidelines (see Annexure VI of Appendix-1A of RFP) for qualification
entitled to disqualify any Bidder in accordance with the
of bidders seeking to acquire stakes in any public sector enterprise through the process
aforesaid guidelines at any stage of the Bidding Process. of disinvestment. These guidelines shall apply mutatis mutandis to this Bidding Process.
Bidders must satisfy themselves that they are qualified to The Authority shall be entitled to disqualify any Bidder in accordance with the aforesaid
bid, and should give an undertaking to this effect in the form guidelines at any stage of the Bidding Process. Bidders must satisfy themselves that they
at Appendix-IA are qualified to bid, and should give an undertaking to this effect in the form at
Appendix-IA.
4. 1.2.4 A Bidder is required to deposit, along with its Bid, a Bid A Bidder is required to submit, along with its Bid, a Bid Security Rs******* (the Bid Modification has been made
Security282 of Rs. ****Crores (Rupees **********) (the Security), refundable not later than 90 (ninety) days from the Bid Due Date, except in pursuant.
the case of the Selected Bidder whose Bid Security shall be retained till it has provided
282The Bid Security shall generally be 1% of the Estimated Project Cost. However, the Authority may, if deemed necessary, prescribe a higher Bid Security not exceeding 2% of the Estimated Project Cost. In case of a project having
an Estimated Project Cost of Rs. 2,000 cr. or above, the Authority may reduce the Bid Security, but not less than 0.5% in any case
"Bid Security"), refundable not later than 90 (ninety) days from a Performance Security under the Agreement. The Bidders will have an option to provide NHAI/Policy
the Bid Due Date, except in the case of the Selected Bidder Bid Security in the form of a demand draft or a bank guarantee acceptable to the Guidelines/Procurement/2019
Authority, and in such event, the validity period of the bank guarantee shall not be less No. 9.1.11/2019 Dated
whose Bid Security shall be retained till it has provided a
than 120 (one hundred and twenty) days from the Bid Due Date with a claim period of 06.06.2019 issued by NHAI
Performance Security under the Agreement. The Bidders will 60 (sixty) days, and may be extended as may be mutually agreed between the Authority without modified clause and
have an option to provide Bid Security in the form of a demand and the Bidder from time to time. The validity of the demand draft shall not be less than circular no 3.1.22/2018 dated
draft or a bank guarantee acceptable to the Authority, and in 60 (sixty) days from the bid due date. Upon submission of Demand draft, the same shall 23.01.2018
such event, the validity period of the bank guarantee shall not be encashed by the Authority. This Guarantee shall be transmitted through SFMS
Gateway to NHAI’s Bank. The Bid shall be summarily rejected if it is not accompanied
be less than 120 (one hundred and twenty) days from the Bid
by the Bid Security.
Due Date with a claim period of 60 (sixty) days, and may be
extended as may be mutually agreed between the Authority and
the Bidder from time to time and that the validity of the demand
draft shall not be less than 60 (sixty) days from the Bid Due
Date. Upon submission of demand draft, the same shall be
encashed by the Authority. The Bid shall be summarily rejected
if it is not accompanied by the Bid Security
5. 1.2.7 Generally, the Highest Bidder shall be the Selected Bidder. The remaining Generally, the Highest Bidder in terms of percentage of revenue offered as Premium Modification has been made
Bidders shall be kept in reserve and may, in accordance with the process payable to the Authority, shall be the Selected Bidder. The remaining Bidders shall be pursuant to Circular no.
specified in Clause 3 of this RFP, be invited to match the Bid submitted by kept in reserve and may, in accordance with the process specified in Clause 3 of this NHAI/Policy
the Highest Bidder in case such Highest Bidder withdraws or is not selected RFP, be invited to match the Bid submitted by the Highest/ Selected Bidder in case such Guidelines/Procurement/2019
for any reason. In the event that none of the other Bidders match the Bid of Highest/ Selected Bidder withdraws or is not selected for any reason other than the No. 9.1.11/2019 Dated
the Highest/ Selected Bidder, the Authority may, in its discretion, either reasons specified in clause 1.2.11 and 3.8 of RFP. In the event that none of the other 06.06.2019 issued by NHAI.
invite fresh Bids from the remaining Bidders or annul the Bidding Process. Bidders match the Bid of the Highest/ Selected Bidder, the Authority may, in its
discretion, either invite fresh Bids from the remaining Bidders or annul the Bidding
Process.
6. 1.2.11 New Clause In case Highest/ Selected Bidder fails to submit the originals Bid Security, Power of Modification has been made
Attorney for signing of Bid, Power of Attorney for lead member of Consortium, if any, pursuant to Circular no.
Joint Bidding Agreement for Consortium, if any, Integrity Pact, and experience NHAI/Policy
Guidelines/Procurement/2019
No. 9.1.11/2019 Dated
certificates apostille at foreign origin, if any and other documents required as per clause 06.06.2019 issued by NHAI
2.11.2 of RFP, the Bidding Process shall be annulled and Tender shall be re-invited. without modified clause.
7. 1.2.12 New Clause A Bidder is required to submit, along with its technical BID, a self- certification that the Modification has been made
item offered meets the local content requirement for ‘Class – I local Supplier’ / ‘Class – pursuant to Policy circular
II local Supplier’, as the case may be. The self-certification shall also have details of the No.11.33/2021 dated
location(s) at which the local value addition is made. In case, bidder has not submitted 07.12.2021
the aforesaid certification the bidder will be treated as ‘Non- Local Supplier’.
In the above pretext, the Class – I Local Supplier, Class – II Local Supplier and the Non-
Local Supplier are defined as under:
(i) ‘Class – I local Supplier’ means a supplier or service provider, whose goods, services
or works offered for procurement, meets the minimum local content as prescribed for
‘Class – I local Supplier’ under this RFP. The ‘local content’ requirement to categorize
a supplier as ‘Class – I local Supplier’ is minimum 50%.
(ii) ‘Class – II local Supplier’ means a supplier or service provider, whose goods,
prescribed for ‘Class – II local Supplier’ under this RFP. The ‘local content’ requirement
to categorize a supplier as ‘Class – II local Supplier’ is minimum 20%.
(iii) ‘Non - local Supplier’ means a supplier or service provider, whose goods, services
or works offered for procurement, has local content less than that prescribed for ‘Class
– II local supplier’ under this RFP.
(iv) ‘Local content’ means the amount of value added in India which shall be the total
value of item procured (excluding net domestic indirect taxes) minus the value of
imported content in the item (including all customs duties) as a proportion of the total
value, in percent
In case of procurement for a value in excess of Rs. 10 crores, the ‘Class – I local supplier’
/ ‘Class – II local supplier’ shall provide a certificate from the statutory auditor or cost
auditor of the company (in case of companies) or from a practicing cost accountant or
practicing chartered accountant (in respect of suppliers other than companies) giving the
percentage of local content.
8. 1.3 (Point No 6) of Physical submission of originals Bid Security, Power of Physical submission of originals Bid Security, Power of Attorney for Modification has been made
Table Attorney etc. signing of Bid, Power of Attorney for lead member of Consortium, pursuant to Circular no.
NHAI/Policy
if any, Joint Bidding Agreement for Consortium, if any, Integrity
Pact, and experience certificates apostille at foreign origin, if any, No. 9.1.11/2019 Dated
and other documents required as per clause 2.11.2 of RFP by the 06.06.2019 issued by NHAI
Highest Bidder - Before issuance of Letter of Award (LOA) to the without modified clause.
Highest Bidder by the Authority.
9. 1.2.7 The Bidder shall deposit a Bid Security of Rs. (Rupees The Bidder shall deposit a Bid Security of Rs. (Rupees only)in Modification has been made
only)in accordance with the provisions of this RFP. The Bidder accordance with the provisions of this RFP. The Bidder has the option to pursuant to
has the option to provide the Bid Security either as a Demand provide the Bid Security either as a Demand Draft or in the form of a NHAI/Policy
Draft or in the form of a Bank Guarantee acceptable to the Bank Guarantee acceptable to the Authority. The Bidders shall also make Guidelines/Procurement/2019
Authority. The Bidders shall also submit copy of demand draft online payment towards cost of bid document of Rs. **** /- (Rupees No. 9.1.11/2019 Dated
of Rs. ***** (Rupees **** only) towards cost of Bidding *****only) transmitted online to NHAI. 06.06.2019 issued by NHAI
Documents without modified clause.
10. 2.1.16 G (iv) commit that each of the members, whose experience will be commit that each of the members, whose experience will be evaluated for Modification made pursuant to
evaluated for the purposes of this RFP, shall subscribe to 26% the purposes of this RFP, shall subscribe to 26% (twenty six per cent) or MoRTH circular no NH-
(twenty six per cent) or more of the paid up and subscribed more of the paid up and subscribed equity of the SPV and shall further 24020/14/2014-H (vol II) (E-
equity of the SPV and shall further commit that each such commit that each such member shall, for a period of 1 (one) year from 134863) dated 23.05.2022
member shall, for a period of 2 (two) years from the date of the date of commercial operation of the Project, hold equity share capital
commercial operation of the Project, hold equity share capital not less than: (i) 26% (twenty six per cent) of the subscribed and paid up
not less than: (i) 26% (twenty six per cent) of the subscribed equity share capital of the SPV; and (ii) 5% (five per cent) of the Total
and paid up equity share capital of the SPV; and (ii) 5% (five Project Cost specified in the Concession Agreement;
per cent) of the Total Project Cost specified in the Concession
Agreement;
11. 2.1.17 Any entity which has been barred by the Central/ State Any entity which has been barred by the Central/ State Government, or any entity NHAI/Policy Guidelines/Non-
Government, or any entity controlled by it, from participating controlled by it, from participating in any project (BOT or otherwise), and the bar Performer & Debarred/2021
subsists as on the date of Bid, would not be eligible to submit a Bid, either individually Policy No. 16.11/2021 dated
in any project (BOT or otherwise), and the bar subsists as on
or as member of a Consortium 16.11.2021
the date of Bid, would not be eligible to submit a Bid, either
individually or as member of a Consortium. The Bidder, including an individual or any of member of its Consortium, should neither
be a non-performing party on the date of opening of tender nor on the date of issue of
Letter of Acceptance (LoA). The Bidder, including any Members of its Consortium,
shall be deemed to be a non-performing party if it attracts any or more of the following
conditions in any of its ongoing or completed projects:
(i) Fails to set up institutional mechanism and procedure as per contract.
(ii) Fails to mobilize key construction equipment within a period of 4 months from
the Appointed Date;
(iii) Fails to complete or has missed any milestone and progress not commensurate
with contiguous unencumbered project length/ROW available even after lapse of 6
months from respective project milestone/Schedule Completion date, unless Extension

of Time has been granted due to Authority’s Default or Force Majeure;
(iv) Fails to achieve progress commensurate with funds released from Escrow
Account (Equity + Debt +Grant) in BOT or HAM project and variation is more than
25% in the last 365 days;
(v) Fails to achieve the target progress or complete the project as per schedule
agreed at the time of sanctioning of funds under One Time Funds Infusion (OTFI) or
relaxations to contract conditions to improve cash flow solely on account of
Concessionaire’s failure/default;
(vi) Fails to complete rectification (excluding minor rectifications) as per time given
in non-conformity reports (NCR) in design/completed works/maintenance or reported in
Inspection Reports issued by Quality Inspectors deployed by the Authority or Officers
of the Authority.
(vii) Fails to complete minor rectifications exceeding 3 instances in a project as per

time given in non-conformity reports (NCR) in design/completed works/maintenance;
(viii) Fails to fulfill its obligations to maintain a highway in a satisfactory condition

in spite of two rectification notices issued in this regard;
(ix) Damages/penalties recommended by Independent/Authority’s Engineer during

O&M Period and remedial works are still not taken up;
(x) Fails to complete Punch list items even after lapse of time for completion of
such items excluding delays attributable to the Authority;
(xi) Occurrence of minor failure of structures/highway due to construction defect

wherein no casualties are reported (casualties include injuries to human being/animals);
(xii) Occurrence of major failure of structures/highway due to construction defect

wherein no casualties are reported (casualties include injuries to human being/animals);
(xiii) Occurrence of major failure of structures/highway due to construction defect

leading to loss of human lives besides loss of reputation etc. of the authority;
(xiv) Fails to make premium payments excluding the current instalment in one or
more projects;
(xv) Fails to achieve financial closure in two or more projects within the given or
extended period (which shall not be more than six months in any case);
(xvi) Fails to submit the Performance Security within the permissible time period in
more than one project;
(xvii) Rated as an unsatisfactory performing entity/non-performing entity by an

independent third-party agency and so notified on the website of the Authority;
(xviii) Failed to perform for the works of Expressways, National Highways, ISC & EI
works in the last 2 (two) years, as evidenced by imposition of a penalty by an arbitral or
judicial authority or a judicial pronouncement or arbitral award against the Bidder,
including individual or any of its Joint Venture Member, as the case may be;
(xix) Expelled from the contract or the contract terminated by the Ministry of Road
Transport & Highways or its implementing agencies for breach by such Bidder,
including individual or any of its Joint Venture Member; Provided that any such decision
of expulsion or termination of contract leading to debarring of the Bidder from further
participation in bids for the prescribed period should have been ordered after affording
an opportunity of hearing to such party.
(xx) Fails to start the works or causes delay in maintenance & repair/overlay of the
project.
The Bidder, including individual or each member of Joint Venture or Members of its
Consortium, shall give the list of the projects of Expressways, National Highways, ISC
and El works of Ministry of Road Transport & Highways or its implementing agencies
(NHAI/ NHIDCL/State PWDs) and the status of above issues in each project as on the
bid submission date and undertake that they do not attract any of the above categories
(Ref. Sr. No.6, Annex-| of Appendix - IA).
The Bidder, including individual or each member of Joint Venture or Members of its
Consortium, shall give the list of the projects of Expressways, National Highways, ISC
& EI works of Ministry of Road Transport & Highways or its implementing agencies
(NHAI/NHIDCL/State PWDs) and the status of the above issues in each project as on
the bid submission date and undertake that they do notto attract any of the above
categories (Ref. Sr No. 6, Annex I of the Appendix – IA).
The Bidder, including individual or any member of its Joint Venture or Members of its
Consortium may provide
(i) details of all their on-going projects along with updated stage of litigation, if
so, against the Authority/Governments; and
(ii) details of updated on-going process of blacklisting if so, under any contract
with Authority/Government;
The Authority reserves the right to reject an otherwise eligible Bidder on the basis of the
information provided under this clause 2.1.17. The decision of the Authority in this case
shall be final.
12. 2.1.24 New Clause All Orders of Ministry of Finance/DPIIT/any other Government agencies, as applicable Modification has been made
and prevalent on the date of LOA, shall be applicable. pursuant to Policy circular
No.11.33/2021 dated
07.12.2021
13. 2.1.25 New Clause Entities of countries which have been identified by Ministry of Road Transport & Modification has been made
Highways as not allowing Indian companies to participate in their Government pursuant to Policy circular
procurement for any item related to Ministry of Road Transport & Highways shall not No.11.33/2021 dated
be allowed to participate in Government procurement in India for all items related to 07.12.2021
Ministry of Road Transport & Highways, except for the list of items published by the
Ministry of Road Transport& Highways permitting their participation.
14. 2.2.1 (e) New Clause For determining the eligibility of Bidder from a country which shares a land border with Modification has been made
India the following shall apply: pursuant to Policy circular
No.11.33/2021 dated
(i) Any Bidder from a country which shares a land border with India will be eligible to 07.12.2021
bid, only if the Bidder is registered with the Competent Authority, specified in
Annexure-I of Order (Public Procurement No. 1) issued by Ministry of Finance,
Department of Expenditure Public Procurement Division vide F. No. 6/18/2019-PPD,
dated 23rd July 2020, which shall form an integral part of RFP and DCA (Copy
enclosed).
(ii) “Bidder from a country which shares a land border with India” means:
a) An entity incorporated, established or registered in such a country, or
b) A subsidiary of an entity incorporated, established or registered in such a

country; or
c) An entity substantially controlled through entities incorporated, established or

registered in such a country; or
d) An entity whose beneficial owner is situated in such a country; or
g) A Consortium or joint venture where any member of the consortium or joint

venture falls under any of the above.
(iii). Beneficial owner for the purpose of (ii) above means:
1. In case of a company or Limited Liability Partnership, the beneficial owner is

the natural person(s), who, whether acting alone or together, or through one or more
judicial person, has a controlling ownership interest or who exercises control through
other means.
Explanation:
a) “Controlling ownership interest” means ownership of or entitlement to more

than twenty-five per cent of shares or capital or profits of the company.
b) “Control” shall include the right to appoint majority of the directors or to

control the management or policy decisions including by virtue of their shareholding or
management rights or shareholding agreements or voting agreements;
2. In case of a partnership firm, the beneficial owner is the natural person(s) who,
whether acting alone or together, or through one or one or more juridical person: has
ownership of entitlement to more than fifteen percent of capital or profits of the
partnership;
3. In case of an unincorporated association or body of individuals, the beneficial

owner is the natural person(s), who, whether acting alone or together, or through one or
more juridical person, has ownership of or entitlement to more than fifteen percent of
the property or capital or profits of such association or body of individual;
4. Where no natural person is identified under (1) or (2) or (3) above, the
beneficial owner is the relevant natural person who holds the position of senior managing
official;
5. In case of a trust, the identification of beneficial owner(s) shall include

identification of the author of the trust, the trustee, the beneficiaries with fifteen percent
or more interest in the trust and any other natural person exercising ultimate effective
control over the trust through a chain of control or ownership.
(iv). An Agent is a person employed to do any act for another, or to represent another in
dealings with third person.
(v) The Selected Bidder shall not be allowed to sub-contract works to any contractor
from a country which shares a land border with India unless such contractor is registered
with the Competent Authority. The definition of “contractor from a country which shares
a land border with India” shall be as in Clause 2.2.1(d)(ii) above.
A certificate on the letterhead of the Bidder shall be required to be submitted by the

bidders certifying the following:
“I have read the clause regarding restrictions on procurement from a bidder of a country
which shares a land border with India and on sub-contracting to contractors from such
countries; I certify that this bidder is not from a country or, if from such a country, has
been registered with the Competent Authority as defined in Public Procurement Order
no. F.no.6/18/2019- PPD dated 23rd July 2020. I hereby certify that this bidder fulfils
all requirements in this regard and is eligible to be considered.”
It may be noted that in case the above certification is found to be false, this would be a
ground for immediate rejection of Bid/termination and further legal action in accordance
with law.
In respect of RFP, registration should be valid at the time of submission of bids and at
the time of acceptance of bids. If the Bidder was validly registered at the time of
acceptance, registration shall not be a relevant consideration during contract execution.
15. 2.2.2 (B) (financial In case of a Consortium, the combined technical capability and In case of a Consortium, the combined technical capability and net worth Modification made pursuant to
Capacity net worth of those Members, who have and shall continue to of those Members, who have and shall continue to have an equity share MoRTH circular no NH-
24020/14/2014-H (vol II) (E-
have an equity share of at least 26% (twenty six per cent) each of at least 26% (twenty six per cent) each in the SPV, should satisfy the
134863) dated 23.05.2022
in the SPV, should satisfy the above conditions of eligibility; above conditions of eligibility; provided that each such Member shall, for
provided that each such Member shall, for a period of 2 (two) a period of 1 (one) years from the date of commercial operation of the
years from the date of commercial operation of the Project, hold Project, hold equity share capital not less than: (i) 26% (twenty six per
equity share capital not less than: (i) 26% (twenty six per cent) cent) of the subscribed and paid up equity of the SPV; and (ii) 5% (five
of the subscribed and paid up equity of the SPV; and (ii) 5% per cent) of the Total Project Cost specified in the Concession
(five per cent) of the Total Project Cost specified in the Agreement£.
Provided further that each member of the Consortium shall

have a minimum Net Worth of 12.5% of Estimated Project Cost
in the immediately preceding financial year.
£
The Authority may, in its discretion, impose further obligations in the Concession Agreement, but such obligations should provide sufficient mobility for partial divestment of equity without compromising the
interests of the Project.
Provided further that each member of the Consortium shall have a

minimum Net Worth of 12.5% of Estimated Project Cost in the
immediately preceding financial year§€.
16. 2.7.1 New Point Added VII Certificate regarding Compliance with Restrictions under Rule 144 Modification has been made
(xi) of the General Financial Rules (GFRs) pursuant NHAI Policy circular
No.11.33/2021 dated 7.12.2021
17. 2.10.1 The Bidder shall provide all the information sought under this RFP. The The Bidder shall provide all the information sought under this RFP. The Authority will Modification has been made
Authority will evaluate only those Bids that are received online in the evaluate only those Bids that are received online in the required formats and complete pursuant to Circular no.
required formats and complete in all respects and Bid Security, proof of in all respects However, Bid Security, Power of Attorney for signing of Bid, Power 9.1.11/2019 Dated 06.06.2019
online payment of cost of bid document, POA and Joint Bidding Agreement of Attorney for lead member of Consortium, if any, Joint Bidding Agreement for issued by NHAI
etc. as specified in Clause 2.11.2 of the RFP are received in hard copies. Consortium, if any, Integrity Pact, and experience certificates apostile at foreign
shall be
origin, if any or any other document as specified in Clause 2.11.2 of RFP
submitted physically in original by the Highest Bidder (including all of
its Consortium Members) before issuance of Letter of Award (LOA) by
the Authority. Highest Bidder (including all of its Consortium
Members) failing to submit the original documents required as per
above shall be unconditionally debarred from bidding in NHAI
projects for a period of 5 years.
18. Clause 2.11.1 (j) of Copy of Proof of payment of Rs. ***** towards cost of Bid document. Proof of online payment of Rs. ***** towards cost of Bid document transmitted Modification has been made
RFP online to NHAI. pursuant to NHAI/Policy
No. 9.1.11/2019 Dated
19. Clause 2.11.1 (m) - Certificate regarding Compliance with Restrictions under Rule 144 (xi) of the Modification has been made
of RFP General Financial Rules (GFRs) as per format given in Appendix-VII shall be pursuant NHAI Policy circular
submitted by the Bidder with the RFP Bid duly signed by Authorised signatory & No.11.33/2021 dated 7.12.2021
shall be part of the Concession Agreement.
20. Para (n) of Clause -- Copy of Registration from the Competent Authority as defined in Public Modification has been made
2.11.1 of RFP Procurement Order No. F. No. 6/18/2019-PPD dated 23rd July 2020, if applicable pursuant NHAI Policy circular
(to be submitted by the “Bidder from a country which shares a land border with No.11.33/2021 dated 7.12.2021
India”).
21. 2.11.1 (m) Appendix-IB (Letter comprising the Financial Bid). (o) Appendix-IB (Letter comprising the Financial Bid) Modification has been made
No.11.33/2021 dated
7.12.2021
Self - Certification
Self- certification by the Bidder that its Bid meets the Local Content requirement
for ‘Class – I Local supplier’/ ‘Class – II Local supplier’, as the case may be. The
Self-certification shall also have details of the location(s) at which the local value
addition is made. In case, bidder do not submit the aforesaid Certification, the
bidder will be summarily treated as ‘Non Local Supplier’.
In case of procurement for a value in excess of Rs. 10 crores, the ‘Class – I Local
supplier’ / ‘Class – II Local supplier’ shall have to provide a Certificate from the
Statutory Auditor or Cost Auditor of the Company (in case of Companies) or from
a practicing Cost Accountant or practicing Chartered Accountant (in respect of
Suppliers other than Companies) giving the percentage of Local Content upon
Construction of the Project.
22. Clause 2.11.2 of The Bidder shall submit the following documents physically The Highest Bidder shall submit the following documents physically before issuance of Modification has been made
RFP Letter of Award (LOA) by the Authority pursuant to following
circulars:
Circular no. 9.1.11/2019

Dated 06.06.2019 issued by
NHAI
23. Clause 2.11.2 (f) of Copy of Proof of Payment of online payment of Cost of Tender Deleted. Modification has been made
RFP Document of Rs. ***. pursuant to 9.1.11/2019 Dated
24. Clause 2.11.2 (h) of Proof of payment of tender processing fee of [Rs. 1295/- (Rupees one Deleted
RFP thousand two hundred and ninety five only);
25. Clause 2.11.2 (k) of - Original of Experience certificates apostile at foreign origin, if any. Modification has been made
RFP pursuant to Circular no.
9.1.11/2019 Dated
26. Clause 2.11.2 (l) of - Certificate regarding Compliance with Restrictions under Rule 144 (xi) of the Modification has been made
the RFP General Financial Rules (GFRs) as per format given in Appendix-VII shall be pursuant NHAI Policy circular
submitted by the Bidder with the RFP Bid duly signed by Authorised signatory No.11.33/2021 dated 7.12.2021
& shall be part of the Concession Agreement.
27. Clause 2.11.1 (m) -- Copy of Registration from the Competent Authority as defined in Public Modification has been made
of RFP Procurement Order No. F. No. 6/18/2019-PPD dated 23rd July 2020, if pursuant to 11.33/2021 dated
applicable (to be submitted by the “Bidder from a country which shares a land 7.12.2021
border with India”).
28. 2.11.5 If the envelopes are not sealed and marked as instructed above, the If the envelopes are not sealed and marked as instructed above, the Authority assumes Modification has been made
Authority assumes no responsibility for the misplacement or premature no responsibility for the misplacement or premature opening of the contents of the Bid pursuant to Circular no.
opening of the contents of the Bid submitted and consequent losses, if any, submitted and consequent losses, if any, suffered by the Bidder. Highest Bidder 9.1.11/2019 Dated 06.06.2019
suffered by the Bidder. (including all of its Consortium Members) failing to submit the original documents issued by NHAI
required as per clause 2.11.2 above shall be unconditionally debarred from bidding
in NHAI projects for a period of 5 years.
29. 2.12 (Bid Due Date) Technical & Financial Bid comprising of the documents listed at clause Technical & Financial Bid comprising of the documents listed at clause 2.11.1 of the Modification has been made
2.11.1 of the RFP shall be submitted online through e-procurement portal RFP shall be submitted online through e-procurement portal https://etenders.gov.in on pursuant to Circular no.
[https://etenders.gov.in on or before *****hrs IST on ******Documents or before ***** hrs IST on *****. Documents listed at clause 2.11.2 of the RFP shall 9.1.11/2019
listed at clause 2.11.2 of the RFP shall be physically submitted on or before be physically by Lowest Bidder before issuance of Letter of Acceptance (LOA) by
****hours IST on *****at the address provided in Clause 2.11.4 in the the Authority, at the address provided in Clause 2.11.4 in the manner and form as Dated 06.06.2019 issued by
manner and form as detailed in this RFP.A receipt thereof should be detailed in this RFP.A receipt thereof should be obtained from the person specified at NHAI
obtained from the person specified at Clause 2.11.4. Clause 2.11.4. Highest Bidder (including all of its Consortium Members)
failing to submit the original documents required as per clause 2.11.2
above shall be unconditionally debarred from bidding in NHAI
projects for a period of 5 years.
30. 2.14.1.2 To participate in the bidding, it is mandatory for the Bidders to get registered To participate in the bidding, it is mandatory for the Bidders to get registered their firm Modification has been made
their firm / Consortium with e-procurement portal of the Authority / Consortium with e-procurement portal of the Authority http://etenders.gov.in to have pursuant to Circular no.
http://etenders.gov.in to have user ID & password for which the requisite user ID & password for which has to be obtained free of cost. Following may kindly 9.1.11/2019 Dated 06.06.2019
fee may be paid to the service provider, i.e., ******. Following may kindly be noted: issued by NHAI without
be noted: modification of clause
a) Registration with e-procurement portal of the Authority should be valid at least

a) Registration with e-procurement portal of the Authority should be up to the date of submission of Bid.
valid at least up to the date of submission of Bid.
b) Bids can be submitted only during the validity of registration.
b) Bids can be submitted only during the validity of registration.
31. 2.15.2 The Authority shall on-line open Technical Bids on ******at ****hours The Authority shall on-line open Technical Bids on ****** at **** hours IST, in the Modification has been made
IST, in the presence of the authorized representatives of the Bidders, who presence of the authorized representatives of the Bidders, who choose to attend. The pursuant to Circular no.
choose to attend. Technical Bid of only those Bidders shall be online opened NHAI will subsequently examine and evaluate the Bids in accordance with the 9.1.11/2019 Dated 06.06.2019
whose documents listed at clause 2.11.2 of the RFP have been physically provisions of Section 3 of RFP. issued by NHAI without
received. The MoRT&H/ NHAI will subsequently examine and evaluate the modification of clause.
Bids in accordance with the provisions of Section 3 of RFP.
32. 3.1.1 The Authority shall open the Technical Bids received physically & online The Authority shall open the Technical Bids received online at **** hours IST on Modification has been made
at **** hours IST on ******, at the place specified in Clause 2.11.4and in ******, at the place specified in Clause 2.11.4 and in the presence of the Bidders who pursuant to Circular no.
the presence of the Bidders who choose to attend. choose to attend. 9.1.11/2019 Dated 06.06.2019
issued by NHAI without
modification of clause.
33. Clause 3.2.1 (b) of Documents listed at clause 2.11.2 are received physically Deleted Modification has been made
the RFP pursuant to Circular no.
9.1.11/2019 Dated 06.06.2019
issued by NHAI
34. Clause 3.2.1 (i) of Technical Bid contains proof of online payment of Rs. ********/- Technical Bid contains proof of online payment of Rs. ***** (Rupees****) towards Modification has been made
RFP (Rupees****) towards cost of Bid document cost of Bid document transmitted online to NHAI. pursuant to Circular no.
9.1.11/2019 Dated 06.06.2019
35. Clause 3.4.1(b) of core sector would be deemed to power, telecom, ports, airports, core sector would be deemed to include civil construction cost of power sector, Modification has been made
RFP railways, metro rail, industrial parks/ estates, logistic parks, pipelines, commercial setups (SEZs etc.), telecom, ports, airports, railways, metro rail, pursuant to MoRTH circular
irrigation, water supply, sewerage and real estate development. industrial parks/ estates, logistic parks, pipelines, irrigation, water supply, stadium, no. NH-35014/25/2017-H
hospitals, hotel, smart city, warehouses/Silos, oil and gas, sewerage and real (pt.11) dated 28.10.2020 with
estate development. modified clause.
36. Clause 3.4.3 -foot New footnote The minimum size of the Eligible Project shall be 5% of the Estimate Project Cost Modification has been made
note pursuant to MoRTH circular
no. NH-35014/25/2017-H
(pt.11) dated 28.10.2020 with
modified clause.
37. Clause 3.4.4 -foot New footnote The minimum size of the Eligible Project shall be 5% of the Estimate Project Cost Modification has been made
note pursuant to MoRTH circular
no. NH-35014/25/2017-H
(pt.11) dated 28.10.2020 with
modified clause.
38. 3.8 New Clause Subject to the provisions of Clause 2.16.1, the Bidder whose Bid is adjudged as Modification has been made
responsive in terms of Clause 3.2 and who quotes highest percentage of revenue offered pursuant to Policy circular
as Premium to the Authority, and in the event that no Bidder offers a Premium, then the No.11.33/2021 dated 7.12.2021
Bidder quoting the lowest grant to be paid by the Authority in accordance with
Appendix-IB shall be declared as the selected Bidder (the “Selected Bidder”). In the
event that the Authority rejects or annuls all the Bids, it may, in its discretion, invite all
eligible Bidders to submit fresh Bid hereunder. the Bidder shall be declared as the
selected Bidder (the “Selected Bidder”) in pursuance to the procedure defined hereunder:
(i) Among all the responsive bidder, whose Bid quote is the Highest in terms of
Premium payable to the Authority will be termed as H1. If H1 is ‘Class -I Local
Supplier’, the contract will be awarded to H1, the Selected Bidder.
(ii) If H1 is not ‘Class – I local supplier’, the lowest bidder among the ‘Class – I local
supplier’, will be invited to match H1 price subject to Class – I local supplier’s quoted
price falling within the margin of purchase preference, and the contract will be awarded
to such ‘Class – I local supplier’ subject to matching the H1 price.
(iii) In case such lowest eligible ‘Class – I local supplier’ fails to match the H1 price,
the ‘Class – I local supplier’ with the next higher bid within the margin of purchase
preference shall be invited to match the H1 price and so on and contract shall be awarded
accordingly. In case none of the ‘Class – I local supplier’ within the margin of purchase
preference matches the H1 price, the contract shall be awarded to the H1 bidder.
‘Margin of purchase preference’ means the maximum extent to which the price quoted
by a ‘Class – I local supplier’ may be above the H1 for the purpose of purchase
preference. The margin of purchase preference shall be 20%.
39. 4.4 Bidder shall comply with the provisions of office Memorandum Bidder shall comply with the provisions of Policy Circular No. 5.8 dated 29th Modification has been made
No. 13030/09/2008-vig dated 28.01.2013 issued by NHAI i.e. December 2020 issued by NHAI i.e. Model Agreement for Integrity Pact (IP),(format pursuant to Circular no.5.8
given in Appendix VI) shall be submitted by the Bidder along with the Bid duly signed dated 29.12.2020
Model Agreement for Integrity Pact (IP),(format given in
by the Authorised signatory of the Bidder and shall be deemed to be a part of the
Appendix VI) shall be submitted by the Bidder along with the Concession Agreement.
Bid duly signed by the Authorised signatory of the Bidder and
shall be deemed to be a part of the Concession Agreement.
40. Point No 16 of I/We acknowledge and undertake that our Consortium is I/We acknowledge and undertake that our Consortium is qualified on the Modification made pursuant to
Appendix- IA qualified on the basis of Technical Capacity and Financial basis of Technical Capacity and Financial Capacity of those of its circular no NH-24020/ 14
/2014-H (vol II) (E-134863)
Capacity of those of its Members who shall, for the period of 2 Members who shall, for the period of 1 (one) years from the date of
dated 23.05.2022
(two) years from the date of commercial operation of the commercial operation of the Project, hold equity share capital not less
Project, hold equity share capital not less than: (i) 26% (twenty than: (i) 26% (twenty six percent) of the subscribed and paid up equity of
six percent) of the subscribed and paid up equity of the the Concessionaire; and (ii) 5% (five percent) of the Total Project Cost
Concessionaire; and (ii) 5% (five percent) of the Total Project specified in the Concession Agreement. We further agree and
Cost specified in the Concession Agreement. We further agree acknowledge that the aforesaid obligation shall be in addition to the
and acknowledge that the aforesaid obligation shall be in obligations contained in the Concession Agreement in respect of Change
addition to the obligations contained in the Concession in Ownership
Agreement in respect of Change in Ownership
41. Point 24 of The documents accompanying the Technical Bid, as specified in Clause The documents accompanying the Technical Bid, as specified in Clause 2.11.2 of Modification has been made
Appendix IA 2.11.2 of the RFP, have been submitted in a separate envelope and the RFP, shall be submitted in a separate envelope and marked as “Enclosures of pursuant to following circular:
marked as “Enclosures of the Bid” the Bid” Circular no. 9.1.11/ 2019 Dated
42. Annexure-1 6. A statement by the Bidder and each of the Members of its Consortium 6 (a) I/ We certify that in the last two years, we/ any of the JV partners or Modification has been made
(where applicable) or any of their Associates disclosing material non- Members of Consortium have neither failed to perform for the works of pursuant to NHAI/Policy
Details of Bidder performance or contractual non-compliance in past projects, contractual Guidelines/Non-Performer &
Expressways, National Highways, ISC & EI works, as evidenced by
disputes and litigation/ arbitration in the recent past is given below (Attach imposition of a penalty by an arbitral or judicial authority or a judicial Debarred/2021 Policy No.
extra sheets, if necessary): pronouncement or arbitral award against us, nor been expelled or 16.11/2021 dated 16.11.2021
terminated by Ministry of Road Transport & Highways or its
implementing agencies for breach on our part.
(b) I/ We certify that we/ any of the JV partners or Members of

Consortium do not fall in any of the categories of being a Non-
Performing entity given at Clause 2.1.23 of Instructions to Bidders in
the projects of Expressways, National Highways, ISC and EI works of
Ministry of Road Transport & Highways or its implementing agencies
and furnished the complete details.
7. (a) I/ We further certify that no investigation by a regulatory

authority is pending either against us/any member of Consortium or
our sister concern or against our CEO or any of our
directors/managers/employees.
(b) I/ We further certify that no investigation by any investigating

agency in India or outside is pending either against us/ any member
of Consortium or our sister concern or against our CEO or any of
our directors/managers/ employees.
A statement by the Bidder and each of the Members of its Consortium

(where applicable) or any of their Associates disclosing material non-
performance or contractual non-compliance in past projects, contractual
disputes and litigation/ arbitration in the recent past, as on bid due date is
given below (Attach extra sheets, if necessary) w.r.t. para 2.1.23:
Name of the Bidder /Member of Consortium:

__________________________
Sr. Categories of Non-Performer Name of

No. Project(s)
xxi Fails to set up institutional mechanism and
procedure as per contract.
xxii Fails to mobilize key construction equipment
within a period of 4 months from the Appointed
Date.
xxiii Fails to complete or has missed any milestone
and progress not commensurate with contiguous
unencumbered project length /ROW available
even after lapse of 6 months from respective
project milestone/Schedule Completion date,
unless Extension of Time has been granted due
to Authority's Default or Force Majeure.
xxiv Fails to achieve progress commensurate with
funds released from Escrow Account (Equity +
Debt + Grant) in BOT or HAM project and
variation is more than 25% in the last 365 days.
xxv Fails to achieve the target progress or complete
the project as per schedule agreed at the time of
sanctioning of funds under One Time Funds

Infusion (OTFI) or relaxations to contract
conditions to improve cash flow solely on
account of Concessionaire's/contractor’s
failure/default.
xxvi Fails to complete rectification (excluding minor
rectifications) as per time given in non-
conformity reports (NCR) in design/completed
works/maintenance or reported in Inspection
Reports issued by Quality Inspectors deployed
by the Authority or Officers of the Authority.
xxvii Fails to complete minor rectifications exceeding
3 instances in a project as per time given in non-
conformity reports (NCR) in design/completed
works/maintenance.
xxviii Fails to fulfill its obligations to maintain a
highway in a satisfactory condition in spite of
two rectification notices issued in this regard.
xxix Damages/ penalties recommended by
Independent/Authority's Engineer during O&M
Period and remedial works are still not taken up.
xxx Fails to complete Punch list items even after
lapse of time for completion of such items
excluding delays attributable to the Authority.
xxxi Occurrence of minor failure of

structures/highway due to construction defect
wherein no casualties are reported (casualties
include injuries to human being / animals).
xxxii Occurrence of major failure of
wherein no casualties are reported (casualties
include injuries to human being/ animals).
xxxiii Occurrence of major failure of
leading to loss of human lives besides loss of
reputation etc. of the authority.
xxxiv Fails to make premium payments excluding the
current instalment in one or more projects.
xxxv Fails to achieve financial closure in two or more
projects within the given or extended period
(which shall not be more than six months in any
case).
xxxvi Fails to submit the Performance Security within
the permissible time period in more than one
project.
xxxvii Rated as an unsatisfactory performing entity/
non- performing entity by an independent third-
party agency and so notified on the website of the
Authority.
xxxviii Failed to perform for the works of Expressways,

National Highways, ISC & EI works in the last
2(two) years, as evidenced by imposition of a
penalty by an arbitral or judicial authority or a
judicial pronouncement or arbitral award against
the Bidder, including individual or any of its
Joint Venture Member, as the case may be.
xxxix Expelled from the contract or the contract
terminated by the Ministry of Road Transport &
Highways or its implementing agencies for
breach by such Bidder, including individual or
any of its Joint Venture Member; Provided that
any such decision of expulsion or termination of
contract leading to debarring of the Bidder from
further participation in bids for the prescribed
period should have been ordered after affording
an opportunity of hearing to such party.
xl Fails to start the works or causes delay in
maintenance & repair/overlay of the project.
I/ We certify that the list is complete and covers all the projects of
Expressways, National Highways, ISC and El works of Ministry of Road
Transport & Highways or its implementing agencies and that we/ any of
the JV partners or Members of consortium do not fall in any of the above
categories of being a Non-Performing entity.
43. Appendix-II Bank The guarantor/Bank hereby confirms that it is on the SFMS (Structural Finance Modification has been made
Guarantee Messaging System) platform & shall invariably send an advice of this Bank Guarantee pursuant to change of mode of
to the designated bank of NHAI Details, the details of which is given are as under follow: payment from demand draft to
Point No 15
online payment on NIC portal
and circular no 3.1.22/2018
Name of Beneficiary National Highways Authority of India dated 23.01.2018
5.
7. Account No. 8598201005819
44. APPENDIX V The Parties undertake that a minimum of 26% (twenty six The Parties undertake that a minimum of 26% (twenty six per cent) of the Modification made pursuant to
per cent) of the subscribed and paid up equity share capital subscribed and paid up equity share capital of the SPV shall, at all times circular no NH-24020/14/2014-
Format for Joint H (vol II) (E-134863) dated
Bidding Agreement of the SPV shall, at all times till the second anniversary of till the first anniversary of the date of (commercial operation)283 of the
23.05.2022
for Consortium the date of commercial operation of the Project, be held by Project, be held by the Parties of the First, {Second and Third} Part whose
the Parties of the First, {Second and Third} Part whose experience and net worth have been reckoned for the purposes of
experience and net worth have been reckoned for the qualification of the Bidder for the Project in terms of the RFP.
purposes of qualification of the Bidder for the Project in
terms of the RFP.
45. APPENDIX V The Parties undertake that each of the Parties specified in The Parties undertake that each of the Parties specified in Clause 6.2 Modification made pursuant to
Clause 6.2 above shall, at all times between the commercial above shall, at all times between the [commercial operation date]284 of the circular no NH-24020/14/2014-
Bidding Agreement operation date of the Project and the second anniversary Project and the first anniversary thereof, hold subscribed and paid up
23.05.2022
for Consortium thereof, hold subscribed and paid up equity share capital of equity share capital of SPV equivalent to at least 5% (five per cent) of the
SPV equivalent to at least 5% (five per cent) of the Total Total Project Cost.
Project Cost.
283
For Capacity Augmentation [Sixing Laning] Projects - [Project Completion]
284
For Capacity Augmentation [Sixing Laning] Projects - [Project Completion date]
46. APPENDIX V The Parties undertake that they shall collectively hold at least The Parties undertake that they shall collectively hold at least 51% (fifty Modification made pursuant to
51% (fifty one per cent) of the subscribed and paid up equity one per cent) of the subscribed and paid up equity share capital of the SPV circular no NH-24020/14/2014-
Bidding Agreement share capital of the SPV at all times until the second at all times until the first anniversary of the [commercial operation
23.05.2022
for Consortium anniversary of the commercial operation date of the Project. date]285 of the Project.
47. Appendix-VI Draft Integrity Pact Format applicable for works having value of Rs. (To be executed on the plain paper and submitted along with Technical Bid/ Tender Modification has been made
(Integrity Pact) 100 Cr and above documents for tenders having a value of Rs. 5 crore or more. To be signed by the pursuant to NHAI/Policy
bidder and same signatory competent/ authorized to sign the relevant contract on Guidelines/Vigilance /2020
Article-8 Point No 1 policy Circular No.5.8 dated
behalf of the NHAI)
29.12.2020 with new Integrity
(Name of the Project on BOT (Hybrid Annuity) Mode (the “Project”) (__________________Division) Pact format and NHAl/Policy
through an public private partnership. Guidelines / Vigilance/2022
Tender No.________________ Policy Circular No. 5.10/2022
dated 25th April, 2022.
(_________Division)
This integrity Pact is made at . on this_____ day
of………...2022.
Tender No.________
BETWEEN
This Integrity Pact is made at ________ on this __________ day
of__________20142020
THE NATIONAL HIGHWAYS AUTHORITY OF INDIA (NHAI), a statutory
body constituted under the National Highways Authority of India Act, 1988, which
has been entrusted with the responsibility of development, maintenance and
Between
management of National Highways, having its office at G- 5 & 6, Sector-10,
Dwarka, New Delhi, hereinafter referred to as "The Principal", which expression
285
For Capacity Augmentation [Sixing Laning] Projects - [Project Completion Date]
[National Highways Authority of India (NHAI), a statutory body shall, unless repugnant to the meaning of contract thereof, include its successors and
constituted under the National Highways Authority of India Act, permitted assigns)
1988, which has been entrusted with the responsibility of
development, maintenance and management of National Highways,
having its office at G-5 & 6, Sector-10, Dwarka, New Delhi,
AND
hereinafter referred to as “The Principal”, which expression shall
unless repugnant to the meaning or contract thereof include its
successors and permitted assigns.]
…………………………………………………………. hereinafter referred to as
"The Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s)" and which
expression shall unless repugnant to be meaning or context thereof include its
and
successors and permitted assigns.
Preamble
_____________________________________________________.
hereinafter referred to as “The Bidder/ Contractor/ Concessionaire/
Consultant” and which expression shall unless repugnant to be Whereas, the Principal intends to award, under laid down organizational procedure,
meaning or context thereof include its successors and permitted contract/s for “………………”. The Principal values full compliance with all
assigns. relevant laws of the land, rules of land, regulations, economic use of resources and
of fairness/ transparency in its relations with its Bidder(s) and for Contractor(s)/
Concessionaire(s)/ Consultant(s).
Preamble
And whereas in order to achieve these goals, the Principal will appoint an
Whereas, the Principal intends to award, under laid Independent External Monitors (IEMs), who will monitor the tender process and the
down organizational procedures contract/s execution of the contract for compliance with the Principles mentioned above.
for……………………. The Principal values full compliance with all
relevant laws of the land, rules of land, regulations, economic use of
resources and of fairness/ transparency in its relations with its And whereas to meet the purpose aforesaid, both the parties have agreed to enter
Bidder(s) and for Contractor(s)/Concessionaire(s)/Consultant(s). into this Integrity Pact (hereafter referred to as "Integrity Pact") the terms and
conditions of which shall also be read as integral part and parcel of the Tender
documents and contract between the parties.
And whereas in order to achieve these goals, the Principal will appoint
an independent external Monitor (IEM), who will monitor the tender Now, therefore, in consideration of mutual covenants stipulated in this pact, the
process and the execution of the contract for compliance with the parties hereby agree as follows and this pact witnesses as under:
Principles mentioned above.
Article-1: Commitments of the Principal

And whereas to meet the purpose aforesaid, both the parties have
agreed to enter into this Integrity Pact (hereafter referred to as
Integrity Pact) the terms and conditions of which shall also be read as
(3) The Principal commits itself to take all measures necessary to prevent
integral part and parcel of the Tender documents and contract between
corruption and to observe the following principles:-
the parties. Now, therefore, in consideration of mutual covenants
stipulated in this pact, the parties hereby agree as follows and this pact
witnesseth as under:-
(a) No employee of the Principal, personally or through family members, will
in connection with the Tender for, or the execution of a Contract, demand, take a
promise for or accept, for self, or third person, any material or immaterial benefit
Article-1-Commitments of the Principal which the person is not legally entitled to.
(b) The Principal will, during the Tender process treat all Bidder(s) with equity
(1) The Principal commits itself to take all measures necessary
and reason. The Principal will in particular, before and during the Tender process,
to prevent corruption and to observe the following principle:-
provide to all Bidder(s) the same information and will not provide to any Bidder(s)
confidential/ additional information through which the Bidder(s) could obtain an
(a) No employee of the Principal, personally or through family
members, will in connection with the lender for, or the execution of a
contract, demand take a promise for or accept for self or third person (c) The Principal will exclude all known prejudiced persons from the process.
any material or immaterial benefit Which the person is not legally
entitled to.
(4) If the Principal obtains information on the conduct of any of its employees
which is a criminal offence under the IPC/PC Act or any other Statutory Acts or if
there be a substantive suspicion in this regard, the Principal will inform the Chief
Vigilance Officer and in addition can initiate disciplinary actions as per its internal
(b) The Principal will, during the tender process treat all laid down Rules/Regulations.
Bidder(s) with equity and reason. The Principal will in particular,
before and during the tender process, provide to all Bidder(s) the same
information and will not provide to any Bidder(s) confidential/ Article - 2: Commitments of the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
additional information through which the Bidder(s) could obtain an Consultant(s).
The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) commit himself to

(c) The Principal will exclude all known prejudiced persons take all measures necessary to prevent corruption. He commits himself to observe
from the process, whose conduct in the past has been of biased nature. the following principles during his participation in the tender process and during the
contract execution.
(2) If the Principal obtains information on the conduct of any of

its employees which is a criminal offence under the IPC/PC Act or (a) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not,
any other Statutory Acts or if there be a substantive suspicion in this directly or through any other person or firm, offer, promise or give to any of the
regard, the Principal will inform the Chief Vigilance Officer and in Principal's employees involved in the tender process or the execution of the contract
addition can initiate disciplinary actions as per its internal laid down or to any third person any material or other benefit which he/she is not legally entitled
Rules/ Regulations. to, in order to obtain in exchange any advantage of any kind whatsoever during the
tender process or during the execution of the contract.
Article-2 Commitments of the Bidder(s)/ Contractor(s)/

Concessionaire(s)/ Consultant(s)
(b) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not
enter with other Bidders into any undisclosed agreement or understanding, whether
formal or informal.
This applies in particular to prices, specifications, certifications, subsidiary contract,
The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) submission or non-submission or bids or any other actions to restrict competitiveness
commit himself to take all measures necessary to prevent corruption. or to introduce cartelization in the bidding process.
He commits himself to observe the following principles during his
participation in the tender process and during the contract execution.
(c) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not commit

any offence under the relevant IPC/PC Act and other Statutory Acts; further the
(a) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) will not use improperly,
Consultant(s) will not, directly or through any other person or firm,
for purposes of completion or personal gain, or pass on to others, any information
offer, promise or give to any of the Principals employees involved in
or document provided by the Principal as part of the business relationship,
the tender process or the execution of the contract or to any third
regarding plans, technical proposals and business details, including information
person any material or other benefit which he/she is not legally
contained or transmitted electronically.
entitled to, in order to obtain in exchange any advantage of any kind
whatsoever during the tender process or during the execution of the
contract. (d) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) of foreign origin
shall disclose the name and address of the Agents/ Representatives in India, if
any. Similarly, the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) of
(b) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Indian Nationality shall furnish the name and address of the foreign principals, if
Consultant(s) will not enter with other Bidders into any undisclosed any. Further, details as mentioned in the 'Guidelines on Indian Agents of Foreign
agreement or understanding, whether formal or informal. This applies Suppliers' shall be disclosed by the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
in particular to prices, specifications, certifications, subsidiary Consultant(s). Further, all the payments made to the Indian Agent /
contracts, submission or non-submission or bids or any other actions Representative have to be Indian Rupees only.
to restrict competitiveness or to introduce cartelization in the bidding
process.
(e) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will, when
presenting his bid, disclose any and all payments he has made, is committed to
or intends to make to agents, brokers or any other intermediaries in connection
(c) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ with the award of the contract. He shall also disclose the details of services agreed
Consultant(s) will not commit any offence under the relevant IPC / upon for such payments.
PC. Act and other Statutory Acts; further the Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s) will not use improperly for purposes
of completion or personal gain, or pass on to others, any information (f) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not instigate
or document provided by the Principal as part of the business third persons to commit offences outlined above or be an accessory to such
relationship, regarding plans, technical proposals and business offences.
details, including information contained or transmitted electronically.
(d) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ (g) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) will not bring any
Consultant(s) of foreign origin shall disclose the name and address of outside influence through any Govt. bodies/quarters directly or indirectly on the
the Agents/ representatives in India. If any similarly the Bidder(s)/ bidding process in furtherance of his bid.
Contractor(s)/ Concessionaire(s)/ Consultant(s) of Indian Nationality
shall furnish the name and address of the foreign principle, if any.
(h) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) who have
signed a Integrity pact shall not approach the court while representing the matter to
IEMs and shall wait for their decision in the matter.
(e) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
Consultant(s) will, when presenting his bid, disclose any and all
payments he has made, is committed to or intends to make to agents, Article - 3 Disqualification from tender process and exclusion from future
brokers or any other intermediaries in connection with the award of contracts.
the contract. He shall also disclose the details of services agreed upon
for such payments.
(8) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s), before

award or during execution has committed a transgression through a violation of any
(f) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
provision of Article2, above or in any other form such as to put his reliability or
Consultant(s) will not instigate third persons to commit offences
credibility in question, the Principal is entitled to disqualify the Bidder(s)/
outlined above or be an accessory to such offences.
Contractor(s)/ Concessionaire(s)/ Consultant(s) from the tender process.
(g) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ (1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) has
Consultant(s) will not bring any outside influence through any Govt. committed a transgression through a violation of Article-2 such as to put his
bodies/quarters directly or indirectly on the bidding process in reliability or credibility into question, the Principal shall be entitled to exclude
furtherance of his bid. including blacklist and put on holiday the Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s) for any future tenders/ contract award process. The
imposition and duration of the exclusion will be determined by the severity of the
transgression. The severity will be determined by the Principal taking into
Article 3 Disqualification from tender process and exclusion consideration the full facts and circumstances of each case particularly taking into
from future contracts account the number of transgressions, the position of the transgressors within the
company hierarchy of the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
(1) If the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ and the amount of the damage. The exclusion will be imposed for a minimum
Consultant(s) before award or during execution has committed a period of 6 months and maximum period of 2 years.
transgression through a violation of any provision of Article-2, above (2) A transgression is considered to have occurred if the Principal after due
or in any other from such as to put his reliability or credibility in consideration of the available evidence concludes that “On the basis of facts
question, the Principal is entitled to disqualify the Bidder(s)/ available there are no material doubts”.
Contractor(s)/ Concessionaire(s)/ Consultant(s) from the tender
process.
(3) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) with its free
consent and without any influence agrees and undertakes to respect and uphold the
Principal's absolute rights to resort to and impose such exclusion and further accepts
(2) If the Bidder/Contractor/Concessionaire/Consultant has
and undertakes not to challenge or question such exclusion on any ground, including
committed a transgression through a violation of Article-2 such as to
the lack of any hearing before the decision to resort to such exclusion is taken. This
put his reliability or credibility into question, the Principal shall be
undertaking is given freely and after obtaining independent legal advice.
entitled to exclude including blacklist and put on holiday the
Bidder/Contractor/Concessionaire/Consultant for any future
tenders/contract award process. The imposition and duration of the (4) The decision of the Principal to the effect that a breach of the provisions of
exclusion will be determined by the severity of the transgression. The this Integrity Pact has been committed by the Bidder(s)/ Contractor(s)/
severity will be determined by the Principal taking into consideration Concessionaire(s)/ Consultant(s) shall be final and binding on the Bidder(s)/
the full facts and circumstances of each case particularly taking into Contractor(s)/ Concessionaire(s)/ Consultant(s), however, the Bidder(s)/
account the number of transgressions, the position of the transgressors Contractor(s)/ Concessionaire(s)/ Consultant(s) can approach IEM(s) appointed for
within the company hierarchy or the the purpose of this Pact.
Bidder/Contractor/Concessionaire/Consultant and the amount of the
damage. The exclusion will be imposed for a minimum of 1 year.
(5) On occurrence of any sanctions/ disqualification etc. arising out from
violation of integrity pact, the Bidder(s)/ Contractor(s)/ Concessionaire(s)/
(3) A transgression is considered to have occurred if the Consultant(s) shall not be entitled for any compensation on this account.
Principal after due consideration of the available evidence concludes
that “On the basis of facts available there are no material doubts”.
(6) Subject to full satisfaction of the Principal, the exclusion of the Bidder(s)/
Contractor(s)/ Concessionaire(s)/ Consultant(s) could be revoked by the Principal if
the Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) can prove that he has
(4) The Bidder/ Contractor/Concessionaire /Consultant will its restored/ recouped the damage caused by him and has installed a suitable corruption
free consent and without any influence agrees and undertakes to prevention system in his organization.
respect and uphold the Principal’s absolute rights to resort to and

impose such exclusion and further accepts and undertakes not to
challenge or question such exclusion on any ground, including the Article-4: Compensation for Damages.
lack of any hearing before the decision to resort to such exclusion is
(3) If the Principal has disqualified the Bidder(s) from the tender process prior
taken. This undertaking is given freely and after obtaining
to the award according to Article-3, the Principal shall be entitled to suspend the
independent legal advice.
bidder for participation in the tendering process for the works of
MoRTH/NHAI/NHIDCL and works under other Centrally Sponsored Schemes for
a period of One Year from the bid due date of this work apart from any other legal
(5) The decision of the Principal to the effect that a breach of the right that may have accrued to the Principal.
provisions of this Integrity Pact has been committed by the Bidder/
Contractor/ Concessionaire/Consultant shall be final and binding on
the Bidder/ Contractor/Concessionaire/Consultant. (4) In addition to 1 above, the Principal shall be entitled to take recourse to the
relevant provisions of the contract related to Termination of Contract due to
Contractor/ Concessionaire/Consultant's Default. In such case, the Principal shall
be entitled to forfeit the Performance Bank Guarantee of the Contractor/
(6) On occurrence of any sanctions/ disqualification etc. arising
Concessionaire/ Consultant and/ or demand and recover liquidated and all damages
out from violation of integrity pact, Bidder/
as per the provisions of the contract/concession agreement against Termination.
Contractor/Concessionaire/Consultant shall not be entitled for any
compensation on this account.
Article - 5: Previous Transgressions
(7) Subject to full satisfaction of the Principal, the exclusion of

the Bidder/ Contractor/Concessionaire/Consultant could be revoked (3) The Bidder declares that no previous transgressions occurred in the last 3
by the Principal if the Bidder/ Contractor/Concessionaire/Consultant years immediately before signing of this Integrity Pact with any other Company in
can prove that he has restored/recouped the damage caused by him any country conforming to the anti corruption/ Transparency International (TI)
and has installed a suitable corruption prevention system in his approach or with any other Public Sector Enterprise/ Undertaking in India or any
organization. Government Department in India that could justify his exclusion from the tender
process.
Article 4 Compensation for Damages

(4) If the Bidder makes incorrect statement on this subject, he can be
disqualified from the tender process or action for his exclusion can be taken as
mentioned under Article-3 above for transgressions of Article-2 and shall be liable
for compensation for damages as per Article-4 above.
(1) If the Principal has disqualified the Bidder(s) from the tender
process prior to the award according to Article3, the Principal shall
be entitled to suspend the bidder for participation in the tendering Article - 6: Equal treatment of all Bidders/ Contractors/ Concessionaires/
process for the works of MoRTH/NHAI/NHIDCL and works under Consultants/ Subcontractors.
other Centrally Sponsored Schemes for a period of One Year from the
bid due date of this work forfeit the Earnest Money Deposit/Bid
Security or demand and recover the damages equivalent to Earnest
(4) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s)
Money Deposit/Bid Security apart from any other legal right that may
undertake(s) to demand from all sub-contractors a commitment in conformity with
have accrued to the Principal.
this Integrity Pact, and to submit it to the Principal before contract signing.
(2) In addition to above, the Principal shall be entitled to take (5) The Principal will enter into agreements with identical conditions as this
recourse to the relevant provisions of the contract related to one with all Bidders/ Contractors/ Concessionaires/ Consultants and subcontractors.
Termination of Contract due to
Contractor/Concessionaire/Consultant’s Default. In such case, the
Principal shall be entitled to forfeit the Performance Bank Guarantee (6) The Principal will disqualify from the tender process all Bidders who do
of the Contractor/Concessionaire/Consultant and/or demand and not sign this Pact or violate its provisions.
recover liquidated and all damages as per the provisions of the
contact/Concession agreement against Termination.
Article - 7: Criminal charges against violating Bidder(s)/ Contractor(s)/
Concessionaire(s)/ Consultant(s)/ Sub-contractor(s).
Article 5 Previous Transgression

If the Principal obtains knowledge of conduct of a Bidder/ Contractor/
(1) The Bidder declares that no previous transgression occurred representative or an associate of a Bidder/ Contractor/ Concessionaire/
in the last 3 years immediately before signing of this integrity pact Consultant or Subcontractor, which constitutes corruption, or if the
with any other Company in any country conforming to the Principal has substantive suspicion in this regard, the Principal will inform
anticorruption/Transparency International (TI) approach or with any the same to the Chief Vigilance Officer.
other Public Sector Enterprise/Undertaking in India or any
Government Department in India that could justify his exclusion from

the lender process.
Article- 8: Independent External Monitor (IEM)
(2) If the Bidder makes incorrect statement on this subject, he

can be disqualified from the tender process or action for his exclusion (10) The Principal has appointed Smt. Gauri Kumar, IAS (Retd.), Sh. Ashish
can be taken as mentioned under Article-3 above for transgression of Bhauguna, (IAS Retd.) and Sh. Animesh Chauhan (Ex-MD & CEO, Oriental Bank
of Commerce) for this Pact. The task of the Monitor is to review independently and
Article-2 and shall be liable for compensation for damages as per
objectively, whether and to what extent the parties comply with the obligations
Article-4 above. under this agreement.
(11) The Monitor is not subject to instructions by the representatives of the

Article 6 Equal treatment of all Bidders/ Contractors/
parties and performs his functions neutrally and independently. He reports to the
Concessionaires/ Consultants/ Subcontractors
Chairman, NHAI.
(1) The (12) The Bidder(s)/ Contractor(s)/ Concessionaire(s)/ Consultant(s) accepts that
Bidder(s)/Contractor(s)/Concessionaire(s)/Consultant(s) the Monitor has the right to access without restriction to all project documentation
undertake(s) to demand from all sub-contractors a commitment in of the Principal including that provided by the Bidder(s)/ Contractor(s)/
conformity with this integrity Pact, and to submit it to the Principal Concessionaire(s)/ Consultant(s). The Bidder(s)/ Contractor(s)/ Concessionaire(s)/
before contract signing. Consultant(s) will also grant the Monitor, upon his request and demonstration of a
valid interest, unrestricted and unconditional access to his project documentation.
The same is applicable to Subcontractors.
(2) The Principal will enter into agreements with identical
conditions as this one with all (13) The Monitor is under contractual obligation to treat the information and
Bidders/Contractors/Concessionaire/Consultant and Subcontractors. documents of the Bidder(s)/Contractor(s)/Subcontractor(s) with confidentiality. The
Monitor has also signed on ‘Non-disclosure of Confidential Information’ and of
‘Absence of Conflict of Interest’. In case of any conflict of interest arising at a later
(3) The Principal will disqualify from the lender process all date, the IEM shall inform Chairman, NHAI and recuse himself/ herself from that
Bidders who do not sign this Pact violate previsions. case.
Article 7 Criminal charges against violating Bidder(s)/ Contractor(s)/ (14) The Principal will provide to the Monitor sufficient information about all
Concessionaire(s)/Consultant(s)/ Sub-contractor(s) meetings among the parties related to the Project provided such meetings could have
an impact on the contractual relations between the Principal and the
Bidder/Contractor/ Concessionaire/ Consultant. The parties offer to the Monitor the
If the Principal obtains knowledge of conduct of a Bidder/Contractor/ option to participate in such meetings.
Concessionaire/Consultant or Subcontractor, or of an employee or a
representative or an associate of a
(15) As soon as the Monitor notices, or believes, to notice any transgression as
Bidder/Contractor/Concessionaire/Consultant or Subcontractor,
given in Article-2, he may request the Management of the Principal to take corrective
which constitutes corruption, or if the Principal has substantive
action, or to take relevant action. The monitor can in this regard submit non-binding
suspicion in this regard, the Principal will inform the same to the
recommendations. Beyond this, the Monitor has no right to demand from the parties
Chief Vigilance Officer.
that they act in a specific manner, refrain from action or tolerate action.
Article 8 Independent External Monitor (IEM) (16) The Monitor will submit a written report to the Chairman, NHAI within 8
to 10 weeks from the date of reference or intimation to him by the Principal and,
should the occasion arise, submit proposals for correcting problematic situations.
(1) The Principal appoints competent and credible Independent

External Monitor for this Pact. The task of the Monitor is to review (17) If the Monitor has reported to the Chairman, NHAI, a substantiated
independently and objectively, whether and to what extent the parties suspicion of an offence under relevant IPC/PC Act or any other Statutory Acts, and
comply with the obligations under this agreement. the Chairman, NHAI has not, within the reasonable time taken visible action to
proceed against such offence or reported it to the Chief Vigilance Officer, the
Monitor may also transmit this information directly to the Central Vigilance
(2) The Monitor is not subject to instructions by the Commissioner.
representatives of the parties and performs his functions neutrally and
independently. He reports to the Chairman, NHAI.
(3) The Bidder/Contractor/Concessionaire/Consultant accepts

that the Monitor has the right to access without restriction to all
Project documentation of the Principal including that provided by the
Bidder/ Contractor/ Concessionaire/ Consultant. The Bidder/ Article - 9 Pact Duration
Contractor/ Concessionaire/ Consultant will also grant the Monitor,
upon his request and demonstration of a valid interest, unrestricted
and unconditional access to the Project. The Monitor is under
This Pact begins when both parties have legally signed it (in case of EPC i.e. for
contractual obligation to treat the information and documents of the
projects funded by Principal and consultancy services). It expires for the Contractor/
Bidder/ Contractor/ Concessionaire/ Consultant/ subcontractors with
Consultant 12 months after his Defect Liability Period is over or 12 months after his
confidentiality.
last payment under the contract whichever is later and for all other unsuccessful
Bidders 6 months after this Contract has been awarded. (In case of BOT Projects) It
expires for the concessionaire 24 months after his concession period is over and for
(4) The Principal will provide to the Monitor sufficient all other unsuccessful Bidders 6 months after this Contract has been awarded. Any
information about all meetings among the parties related to the Project violation of the same would entail disqualification of the bidder and exclusion from
provided such meetings could have an impact on the future dealings.
contractual relations between the Principal and the Bidder/Contractor/
Concessionaire/Consultant. The parties offer to the Monitor the
option to participate in such meetings.
If any claim is made/ lodged during this time, the same shall be binding and
continue to be valid despite the lapse of this pact as specified above, unless it is
discharged/ determined by Chairman of NHAI.
(5) As soon as the Monitor notices, or believes to notice any
transgression as given in Article-2, he may request the Management
of the Principal to take corrective action, or to take relevant action.
Article - 10 Other Provisions
The monitor can in this regard submit non- binding recommendations.
Beyond this, the Monitor has no right to demand from the parties that
they act in a specific manner, refrain from action or tolerate action.
(9) This pact is subject to Indian Law. Place of performance and jurisdiction is
the Registered Office of the Principal, i.e. New Delhi.
(6) The Monitor will submit a written report to the Chairman,
NHAI within 8-10 weeks from the date of reference or intimation to
him by the Principal and, should the occasion arise, submit proposals (10) Changes and supplements as well as termination notices need to be made in
for correcting problematic situations. writing.
(11) If the Bidder/Contractor/Concessionaire/Consultant is in a partnership or a

(7) If the Monitor has reported to the Chairman, NHAI, a
Joint Venture partner, this pact must be signed by all partners or members.
substantiated suspicion of under relevant IPC/PC Act or any other
Statutory Acts, and the Chairman, NHAI has not, within the
reasonable time taken visible action to proceed against such offence (12) Should one or several provisions of this agreement turn out to be invalid,
or reported it the Chief Vigilance Officer, the Monitor may also the remainder of this agreement remains valid. In this case, the parties will strive
transmit this information directly to the Central Vigilance to come to an agreement to their original intentions.
Commissioner.
(13) Issue like warranty / Guarantee etc. shall be outside the purview of IEMs.
(14) In the event of any contradiction between the Integrity Pact and its
Annexure, the clause in integrity pact shall prevail.
Article 9 Pact Duration
(15) Any disputes/ differences arising between the parties with regard to term of
this pact, any action taken by the Principal in accordance with this Pact or
This Pact begins when both parties have signed (In case of EPC i.e.
interpretation thereof shall not be subject to any Arbitration.
for projects funded by Principal and consultancy services) It expires
for the Contractor/Consultant 12 months after his Defect Liability
Period is over or 12 months after his last payment under the contract (16) The actions stipulated in this Integrity Pact are without prejudice to any
whichever is later and for all other unsuccessful Bidders 6 months other legal action that may follow in accordance with the provision of the extent
after this Contract has been awarded (In case BOT projects) It expires law in force relating to any civil or criminal proceedings.
for the concessionaire 24 months after his concession period is over
and for all other unsuccessful Bidders 6 months after this Contract has
been awarded. In witness whereof the parties have signed and executed this Pact at the place and
date first done mentioned in the presence of following witness:-
If any claim is made/lodged during this time, the same shall be biding
and continue to be valid despite the lapse of this pact as specified
above, unless it is discharged determined by Chairman of NHAI. ……………………………………. ……………………………………..
For & on behalf of the Principal For & On behalf of
Article 10 Other Provisions Bidder/
(Office Seal) Contractor/ Concessionaire/

Consultant
(1) This pact is subject to Indian Law, Place of performance and
jurisdiction is the Registered Office of the Principal, i.e. New Delhi. Place……………
Date………….…
(2) Changes and supplements as well as termination notices need

to be made in writing.
Witness 1:
(Name & Address) _____________

(3) If the Bidder/Contractor/Concessionaire/Consultant is a
partnership or a Consortium, this pact must be signed by all partners
____________
or Consortium members.
_______
(4) Should one or several provisions of this agreement turn out

to be invalid, the reminder of this agreement remains valid, in this Witness 2:
case, the parties will strive to come to an agreement to their original
intentions. (Name & Address)
________________
_________
(5) Any dispute/differences arising between the parties with
regard to term of this Pact, any action taken by the Principal in ________
accordance with this Pact or interpretation thereof shall not be subject

to any Arbitration.
(6) He actions stipulated in the integrity Pact are without

prejudice to any other legal action that may follow in accordance with
the provisions to the extant law in force relating to any civil or
criminal proceedings.
In witness whereof he parties have signed and executed this pact at

the place and date first done mentioned in the presence of following
witnesses:-
______________________________
_______________________________
(For & On behalf of the (Principal) (For & On behalf of

Bidder/
Contractor/Concessionaire/Consultant
(Office Seal)
Place ________
Date ________
Witness 1:
(Name & Address)

___________________________________________________
___________________________________________________
___________________________________________________
Witness 2:
(Name & Address)

___________________________________________________
___________________________________________________
_____________________________
48. Appendix-VII (GFR (To be on the letter head of the Bidder/ Each Member of the Modification has been made
Rules) Consortium) pursuant to Policy circular
No.11.33 /2021 dated
Certificate regarding Compliance with Restrictions under Rule 144 7.12.2021
(xi) of the General Financial Rules (GFRs)
(Refer Clause 2.1.2)
The ***********
[National Highways Authority of India
G-5&6, Sector 10, Dwarka,
New Delhi - 110 075]
Sub: BID for **********
Dear Sir,
With reference to your RFP document dated *** **$, I/we, having
examined the Bidding Documents and understood their contents, hereby
undertake and confirm as follows:
I/We have read the clause regarding restrictions on procurement from

a bidder of a country which shares a land border with India and on
sub-contracting to contractors from such countries;
I certify that this Bidder is not from such a country or, if from such a
country, has been registered with the Competent Authority, as defined
in Public Procurement Order no. F.no.6/18/2019- PPD dated 23rd
July 2020 and will not sub-contract any work to a contractor from
such countries unless such contractor is registered with the said
Competent Authority.
I hereby certify that this bidder fulfils all requirements in this regard
and is eligible to be considered.
Yours faithfully,
Date:
Place:
Name and seal of Bidder/Lead Member of the Consortium
Notes:
{Where applicable, evidence of valid registration by the Competent

Authority shall be attached}
In case the above certification is found to be false, this would be a

ground for immediate rejection of Bid/termination and further legal
action in accordance with law.
(B) Model Concession Agreement (MCA) for BOT(Toll) Projects
Sl. No. Clause Existing Clause Modified Clause Remarks
1. Article-1 Any agreement, consent, approval, authorization, notice, communication, Any agreement, consent approval, authorization, notice, communication, information, Modification has been made
(Point T) information or report required under or pursuant to this Agreement from or by report or any other correspondence required under or pursuant to this Agreement, from pursuant to Policy circular no
any Party or the Independent Engineer shall be valid and effective only if it is or by any party or the Independent Engineer, shall be valid and effective only if it is 6.26/2020 dated 11.01.2021 with
in writing under the hand of a duly authorized representative of such Party or routed through NHAI Data Lake (unless the law requires to send such notice, modified clause
the Independent Engineer, as the case may be, in this behalf and not otherwise. communication, etc., through physical/any other specified mode only) under the
hand of a duly authorized representative of such Party or the Independent Engineer,
as the case may be, in this behalf and not otherwise
2. 5.3 Modification made pursuant to

The Concessionaire shall not undertake or permit any Change in circular no NH-24020/14/2014-
The Concessionaire shall not undertake or permit any Change in Ownership, except with the prior approval of the Authority and subject H (vol II) (E-134863) dated
Ownership, except with the prior approval of the Authority. 23.05.2022
to following conditions;
i) no objections from the Senior Lenders.
ii) The Eligibility condition for change of ownership request will be

issuance of COD/ issuance of completion certificate and
completion of punch list items.
iii) The concessionaire shall not be in default of

a. Paying premium to NHAI if applicable
b. O&M obligations
3. 5.9 New Clause Obligations relating to Local Content Modification has been made
The Contractor [Class I Local Supplier/ Class II Local Supplier/ Non Local Supplier] No.11.33/2021 dated 07.12.2021
undertakes to ensure minimum Local Content in the Project Highway of at least
[50%/20%] duly complying with the provisions of Department for Promotion of
Industry and Internal Trade, Ministry of Commerce and Industry, Government of India
Order No. P-45021/2/2017-PP (BE- II) dated September 16, 2020, as amended or
modified till Bid Due Date and the provisions under Rule 144(xi) of GFR, 2017.
4. 7.1 (k) It shall at no time undertake or permit any Change in Ownership except in It shall at no time undertake or permit any Change in Ownership except Modification made pursuant to
accordance with the provisions of Clause 5.3 and that the {selected bidder/ in accordance with the provisions of Clause 5.3 and that the {selected circular no NH-24020/14/2014-
Consortium Members}, together with {its/ their} Associates, hold not less than H (vol II) (E-134863) dated
bidder/ Consortium Members}, together with {its/ their} Associates,
51% (fifty-one percent) of its issued and paid up Equity as on the date of this 23.05.2022
Agreement; and that no member of the Consortium whose technical and hold not less than 51% (fifty-one percent) of its issued and paid up
financial capacity was evaluated for the purposes of pre-qualification and short- Equity as on the date of this Agreement; and that no member of the
listing in response to the Request for Proposal shall hold less than 26% (twenty Consortium whose technical and financial capacity was evaluated for
six per cent) of Equity during the Construction Period and two years thereafter. the purposes of pre-qualification and short-listing in response to the
The period of 2 year will be reckoned from date of completion of punch list.
Request for Proposal shall hold less than 26% (twenty six per cent) of
Equity during the Construction Period and one years thereafter. The
period of 1 year will be reckoned from date of completion of punch list.
5. 13.6 Video recording Video recording Modification has been made

pursuant to NHAI/Policy
During the Construction Period, the Concessionaire shall provide to the During the Construction Period, the Concessionaire shall provide to the Authority for Guidelines /Policy
Authority for every calendar quarter, a video recording, which will be compiled every calendar month, a video recording, which will be compiled into a 3 (three) hour Guidelines/2021
into a 3 (three) hour digital video disc or any substitute thereof, covering the digital video disc or any substitute thereof, covering the status and progress of
status and progress of Construction Works in that quarter. The first such video Construction Works in that month. The first such video recording shall be provided to Policy No.18.75/2021 dated
recording shall be provided to the Authority within 7 (seven) days of the the Authority within 7 (seven) days of the Appointed Date and thereafter, no later than 3.11.2021
Appointed Date and thereafter, no later than 15 (fifteen) days after the close of 15 (fifteen) days after the close of each month. Such video recording shall be carried
each quarter. Such video recording shall be carried out along with the out along with the authorized representative of the Authority. Recording of previous
authorized representative of the Authority. Notwithstanding anything to the videos and current running side by side shall be loaded on Data Lake
contrary contained in this document, the Concessionaire shall also develop a (https://datalakeg.nhai.gov.in/nhai) for easily capturing various developments during
Project specific website which shall be accessible to the public and upload the the month before submission of their invoice. Capturing Ortho-image for approx. 10%
time stamp pictures of the development of Project Highway each week. equivalent length of critical structures or any other specific area should be decided by
the Authority and be conveyed to the Drone Agency in the site-specific work order.
Independent Engineer shall ensure that the features and quality of drone video is
acceptable and video is not distorted/tampered with. Independent Engineer shall
analyse these drone videos and give their comments in its digital MPRs covering inter-
alia but not limited to the encumbrances/lands not available, sites of COS demands,
progress of project, mobilisation of plant & equipment, mobilisation of camp sites,

progress on rectification of NCRs etc. along with the proposed action plan. Authority
shall cross-check drone videos during the monthly physical inspections and notify the
discrepancies noticed, if any, between drone video, on Independent Engineer
comments and ground reality. The discrepancies shall be examined and addressed
through joint site inspections.
Authority should plan biannually drone based video recording during O&M period in
such a manner so that there is no overlap and digital data of O&M period is available
in regular intervals (monthly) through NSV and drone videography.

Concessionaire shall also develop a Project specific website which shall be accessible
to the public and upload the time stamp pictures of the development of Project
Highway each week regarding progress. The website must be accessible to the public.
In addition, Authority shall also undertake need based drone videography as and when
required. Authority shall ensure development of a project specific website by the
Concessionaire. In case of default on this account, the Authority shall withhold an
amount equivalent to Rs. 5 Lacs plus (drone rate X length of project X no. of defaulting
week) from the dues to the Concessionaire.
6. 47.15 Any notice or other communication to be given by any Party to the other Unless the law requires to follow the specified mode of communication only as Modification has been made
Party under or in connection with the matters contemplated by this prescribed therein, any notice or other communication to be given by one pursuant to Circular no. NHAI/
Agreement shall be in writing and shall: contracting Party to the other Party under or in connection with the matters Policy Guidelines /Project
contemplated by this Agreement shall be routed through NHAI Data Lake under Payment/2020 No. 6.26/2020
(a) in the case of the Concessionaire, be given by facsimile or e-mail the hand of the authorized representative and shall: dated 11.01.2021 with modified
and by letter delivered by hand to the address given and marked for clause
attention of the person set out below or to such other person as the (a) in the case of the Concessionaire, be given through NHAI Data Lake and
Concessionaire may from time to time designate by notice to the marked for attention of the person set out below or to such other person as
Authority; provided that notices or other communications to be
given to an address outside the Delhi may, if they are subsequently
confirmed by sending a copy thereof by registered acknowledgement the Concessionaire may from time to time designate by notice to the
due, air mail or by courier, be sent by facsimile or e-mail to the Authority;
number as the Concessionaire may from time to time designate by
notice to the Authority. {Attention:
Designation:
{Attention: Address:
Designation: Fax No:
Address: Email ;}
Fax No: (b) in the case of the Authority, be given through NHAI Data Lake and be
Email ;} addressed to the person named below with a copy delivered to the Authority
(b) in the case of the Authority, be given by facsimile or e-mail and by Representative or such other person as the Authority may from time to time
letter delivered by hand at the address given below and be addressed designate by notice to the Concessionaire;
to the person named below with a copy delivered to the Authority
Representative or such other person as the Authority may from time {Name:
Designation:
to time designate by notice to the Concessionaire; provided that if
Address:
the Concessionaire does not have an office in the Delhi it may send Fax No:
such notice by facsimile or e-mail and by registered Email :}; and
acknowledgement due, air mail or by courier.
(c) any notice or communication by one contracting Party to the other Party,
{Name: given in accordance herewith, shall be deemed to have been delivered when given
Designation: through or made on the NHAI Data Lake.
Address:
Fax No:
Email :}; 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 day following the date of its delivery.
7. Definitions Change in Ownership” means a transfer of the direct and/or Change in Ownership” means a transfer of the direct and/or indirect Modification made pursuant to
indirect legal or beneficial ownership of any shares, or securities legal or beneficial ownership of any shares, or securities convertible into circular no NH-24020/14/2014-
convertible into shares, that causes the aggregate holding of the shares, that causes the aggregate holding of the {selected
{selected bidder/Consortium Members}, together with {its/their} bidder/Consortium Members}, together with {its/their} Associates, in H (vol II) (E-134863) dated
Associates, in the total Equity to decline below 51% (fifty one per the total Equity to decline below 51% (fifty one per cent) thereof during 23.05.2022
cent) thereof during Construction Period and two years thereafter; Construction Period and one years thereafter; provided that any material
provided that any material variation (as compared to the variation (as compared to the representations made by the
representations made by the Concessionaire during the bidding Concessionaire during the bidding process for the purposes of meeting
process for the purposes of meeting the minimum conditions of the minimum conditions of eligibility or for evaluation of its application
eligibility or for evaluation of its application or Bid, as the case or Bid, as the case may be,) in the proportion of the equity holding of
may be,) in the proportion of the equity holding of {the selected {the selected bidder/any Consortium Member} to the total Equity, if it
bidder/any Consortium Member} to the total Equity, if it occurs occurs prior to completion of a period one years after COD, shall
prior to completion of a period two years after COD, shall constitute Change in Ownership;
constitute Change in Ownership;
8. Schedule-F New Points 12. This guarantee shall also be operatable at our ________________branch at New Modification has been made
Delhi, from whom, confirmation regarding the issue of this guarantee or extension/ pursuant to change of mode of
renewal thereof shall be made available on demand. In the contingency of this payment from demand draft to
guarantee being invoked and payment thereunder claimed, the said branch shall online payment on NIC portal
accept such invocation letter and make payment of amounts so demanded under and circular no 3.1.22/2018
the said invocation. dated 23.01.2018
13. The guarantor/bank hereby confirms that it is on the SFMS (Structural

Finance Messaging System) platform & shall invariably send an advice of
this Bank Guarantee to the designated bank of NHAI which are as follows:

15. Account No. 8598201005819
9. Schedule-J New Point It is certified that Rain Water Harvesting and Artificial Recharging arrangements have Modification has been made
been provided by the Concessionaire as per Schedule C of the Concession Agreement, pursuant to Circular No.
Completion and are functional. Details (with location chainage) are as given in Annex- ________. RW/NH-33044/14/2003-SfrR
Certificate. (R) dated 03.09.2019
10. Annexure-1 Other Project Facilities and Approach roads Other Project Facilities and Approach roads Modification has been made
pursuant to Circular No.
Schedule-K Damage or deterioration in Approach Roads, [pedestrian facilities, truck lay- Damage or deterioration in Approach Roads, [pedestrian facilities, truck lay-bys, bus- RW/NH-33044/14/2003-SfrR
bys, bus-bays, bus- shelters, cattle crossings, Traffic Aid Posts, Medical Aid bays, bus- shelters, cattle crossings, Traffic Aid Posts, Medical Aid Posts, Rain Water (R) dated 03.09.2019
Table-3
Posts and other works] Harvesting/Artificial Recharge Unit and other works]
(C) MCA BOT(Toll) for capacity augmentation of Projects
1. Article-1 (Point T) Any agreement, consent, approval, authorization, notice, communication, Any agreement, consent approval, authorization, notice, communication, information, Modification has been
information or report required under or pursuant to this Agreement from or report or any other correspondence required under or pursuant to this Agreement, from made pursuant to Policy
by any Party or the Independent Engineer shall be valid and effective only if or by any party or the Independent Engineer, shall be valid and effective only if it is circular no 6.26/2020 dated
it is in writing under the hand of a duly authorized representative of such routed through NHAI Data Lake (unless the law requires to send such notice, 11.01.2021 with modified
Party or the Independent Engineer, as the case may be, in this behalf and not communication, etc., through physical/any other specified mode only) under the clause
otherwise. hand of a duly authorized representative of such Party or the Independent Engineer,
as the case may be, in this behalf and not otherwise
2. 5.3 Modification made

The Concessionaire shall not undertake or permit any Change in pursuant to circular no NH-
The Concessionaire shall not undertake or permit any Change in Ownership, except with the prior approval of the Authority and subject to 24020/14/2014-H (vol II)
Ownership, except with the prior approval of the Authority. (E-134863) dated
following conditions;
23.05.2022
iv) no objections from the Senior Lenders.
v) The Eligibility condition for change of ownership request will be

issuance of completion certificate and completion of punch list items.
vi) The concessionaire shall not be in default of

a. Paying premium to NHAI if applicable
b. O&M obligations
3. 5.9 New Clause Obligations relating to Local Content Modification has been
made pursuant to Policy
The Contractor [Class I Local Supplier/ Class II Local Supplier/ Non Local Supplier] circular No.11.33/2021
undertakes to ensure minimum Local Content in the Project Highway of at least dated 07.12.2021
[50%/20%] duly complying with the provisions of Department for Promotion of Industry
and Internal Trade, Ministry of Commerce and Industry, Government of India Order No.
P-45021/2/2017-PP (BE- II) dated September 16, 2020, as amended or modified till Bid
Due Date and the provisions under Rule 144(xi) of GFR, 2017.
4. 7.1 (k) It shall at no time undertake or permit any Change in Ownership except in It shall at no time undertake or permit any Change in Ownership except in Modification made
accordance with the provisions of Clause 5.3 and that the {selected bidder/ accordance with the provisions of Clause 5.3 and that the {selected bidder/ pursuant to circular no NH-
Consortium Members}, together with {its/ their} Associates, hold not less 24020/14/2014-H (vol II)
Consortium Members}, together with {its/ their} Associates, hold not less
than 51% (fifty-one percent) of its issued and paid up Equity as on the date (E-134863) dated
of this Agreement; and that each Consortium Member whose technical and than 51% (fifty-one percent) of its issued and paid up Equity as on the date 23.05.2022
financial capacity was evaluated for the purposes of pre-qualification and of this Agreement; and that each Consortium Member whose technical and
short-listing in response to the Request for Proposal shall hold at least 26% financial capacity was evaluated for the purposes of pre-qualification and
(twenty six per cent) of Equity during the Construction Period and two short-listing in response to the Request for Proposal shall hold at least 26%
years thereafter. The period of 2 year will be reckoned from date of
(twenty six per cent) of Equity during the Construction Period and one
completion of punch list.
years thereafter. The period of 1 year will be reckoned from date of
completion of punch list.
5. 10.2.6 It is expressly agreed that trees on the Site are property of the Authority It is expressly agreed that trees on the Site are property of the Authority except that Modification has been
except that the Concessionaire shall be entitled to exercise usufructory the Concessionaire shall be entitled to exercise usufructuary rights thereon during made pursuant to
rights thereon during the Concession Period. the Concession Period. NHAI/Policy
Guidelines/Standard
Documents/2020 Policy
No. 11.22 Dated
02.12.2020
6. 13.6 Video recording Video recording Modification has been

made pursuant to
During the Construction Period, the Concessionaire shall provide to the During the Construction Period, the Concessionaire shall provide to the Authority for NHAI/Policy Guidelines
Authority for every calendar quarter, a video recording, which will be every calendar month, a video recording, which will be compiled into a 3 (three) hour /Policy Guidelines/2021
compiled into a 3 (three) hour digital video disc or any substitute thereof, digital video disc or any substitute thereof, covering the status and progress of
covering the status and progress of Construction Works in that quarter. The Construction Works in that month. The first such video recording shall be provided to the Policy No.18.75/2021 dated
first such video recording shall be provided to the Authority within 7 (seven) Authority within 7 (seven) days of the Appointed Date and thereafter, no later than 15 3.11.2021
days of the Appointed Date and thereafter, no later than 15 (fifteen) days (fifteen) days after the close of each month. Such video recording shall be carried out
after the close of each quarter. Such video recording shall be carried out along along with the authorized representative of the Authority. Recording of previous videos
with the authorized representative of the Authority. Notwithstanding and current running side by side shall be loaded on Data Lake
anything to the contrary contained in this document, the Concessionaire shall (https://datalakeg.nhai.gov.in/nhai) for easily capturing various developments during the
also develop a Project specific website which shall be accessible to the public month before submission of their invoice. Capturing Ortho-image for approx. 10%
equivalent length of critical structures or any other specific area should be decided by the
and upload the time stamp pictures of the development of Project Highway Authority and be conveyed to the Drone Agency in the site-specific work order.
each week. Independent Engineer shall ensure that the features and quality of drone video is
acceptable and video is not distorted/tampered with. Independent Engineer shall analyse
these drone videos and give their comments in its digital MPRs covering inter-alia but
not limited to the encumbrances/lands not available, sites of COS demands, progress of
project, mobilisation of plant & equipment, mobilisation of camp sites, progress on
rectification of NCRs etc. along with the proposed action plan. Authority shall cross-
check drone videos during the monthly physical inspections and notify the discrepancies
noticed, if any, between drone video, on Independent Engineer comments and ground
reality. The discrepancies shall be examined and addressed through joint site inspections.
Authority should plan biannually drone based video recording during O&M period in
such a manner so that there is no overlap and digital data of O&M period is available in
regular intervals (monthly) through NSV and drone videography.
Notwithstanding anything to the contrary contained in this document, the Concessionaire

shall also develop a Project specific website which shall be accessible to the public and
upload the time stamp pictures of the development of Project Highway each week
regarding progress. The website must be accessible to the public. In addition, Authority
shall also undertake need based drone videography as and when required. Authority shall
ensure development of a project specific website by the Concessionaire. In case of default
on this account, the Authority shall withhold an amount equivalent to Rs. 5 Lacs plus
(drone rate X length of project X no. of defaulting week) from the dues to the
Concessionaire.
7. 47.15 Any notice or other communication to be given by any Party to the other Unless the law requires to follow the specified mode of communication only as Modification has been
Party under or in connection with the matters contemplated by this prescribed therein, any notice or other communication to be given by one contracting made pursuant to Circular
Agreement shall be in writing and shall: Party to the other Party under or in connection with the matters contemplated by this no. NHAI/ Policy
Agreement shall be routed through NHAI Data Lake under the hand of the authorized Guidelines /Project
(a) in the case of the Concessionaire, be given by facsimile or e-mail representative and shall: Payment/2020 No.
and by letter delivered by hand to the address given and marked
for attention of the person set out below or to such other person as (a) in the case of the Concessionaire, be given through NHAI Data Lake and 6.26/2020 dated 11.01.2021
the Concessionaire may from time to time designate by notice to marked for attention of the person set out below or to such other person as the with modified clause
the Authority; provided that notices or other communications to Concessionaire may from time to time designate by notice to the Authority;
be given to an address outside the Delhi may, if they are
subsequently confirmed by sending a copy thereof by registered {Attention:
Designation:
acknowledgement due, air mail or by courier, be sent by facsimile
Address:
or e-mail to the number as the Concessionaire may from time to Fax No:
time designate by notice to the Authority. Email ;}
(b) in the case of the Authority, be given through NHAI Data Lake and be
{Attention: addressed to the person named below with a copy delivered to the Authority
Designation:
Representative or such other person as the Authority may from time to time
Address:
Fax No: designate by notice to the Concessionaire;
Email ;}
(b) in the case of the Authority, be given by facsimile or e-mail and {Name:
Designation:
by letter delivered by hand at the address given below and be
Address:
addressed to the person named below with a copy delivered to the Fax No:
Authority Representative or such other person as the Authority Email :}; and
may from time to time designate by notice to the Concessionaire;
provided that if the Concessionaire does not have an office in the (c) any notice or communication by one contracting Party to the other Party,
Delhi it may send such notice by facsimile or e-mail and by given in accordance herewith, shall be deemed to have been delivered when given
registered acknowledgement due, air mail or by courier. through or made on the NHAI Data Lake.
{Name:
Designation:
Address:
Fax No:
Email :}; 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 day following the date
of its delivery.
8. Definitions “Change in Ownership” means a transfer of the direct and/or “Change in Ownership” means a transfer of the direct and/or indirect legal Modification made
indirect legal or beneficial ownership of any shares, or securities or beneficial ownership of any shares, or securities convertible into shares, pursuant to circular no NH-
24020/14/2014-H (vol II)
convertible into shares, that causes the aggregate holding of the that causes the aggregate holding of the {selected bidder/ Consortium
(E-134863) dated
{selected bidder/ Consortium Members}, together with Members}, together with {its/their} Associates, in the total Equity to 23.05.2022
{its/their} Associates, in the total Equity to decline below 51% decline below 51% (fifty one per cent) thereof during Construction Period
(fifty one per cent) thereof during Construction Period and two and one year thereafter; provided that any material variation (as compared
years thereafter; provided that any material variation (as to the representations made by the Concessionaire during the bidding
compared to the representations made by the Concessionaire process for the purposes of meeting the minimum conditions of eligibility
during the bidding process for the purposes of meeting the or for evaluation of its application or bid, as the case may be,) in the
minimum conditions of eligibility or for evaluation of its proportion of the equity holding of {the selected bidder/ any Consortium
application or bid, as the case may be,) in the proportion of the Member} to the total Equity, if it occurs prior to completion of a period
equity holding of {the selected bidder/ any Consortium one year from the date the project achieves / is granted completion
Member} to the total Equity, if it occurs prior to completion of certificate, shall constitute Change in Ownership;
a period two years from the date the project achieves / is granted
completion certificate, shall constitute Change in Ownership;
9. Schedule-F New Points 12. This guarantee shall also be operatable at our ________________branch at New Modification has been
Delhi, from whom, confirmation regarding the issue of this guarantee or extension/ made pursuant to change of
renewal thereof shall be made available on demand. In the contingency of this guarantee mode of payment from
being invoked and payment thereunder claimed, the said branch shall accept such demand draft to online
invocation letter and make payment of amounts so demanded under the said payment on NIC portal and
invocation. circular no 3.1.22/2018
dated 23.01.2018
13. The guarantor/bank hereby confirms that it is on the SFMS (Structural Finance
Messaging System) platform & shall invariably send an advice of this Bank
Guarantee to the designated bank of NHAI which are as follows:
20. Account No. 8598201005819
10. Schedule-J New Point It is certified that Rain Water Harvesting and Artificial Recharging arrangements have Modification has been
been provided by the Concessionaire as per Schedule C of the Concession Agreement, made pursuant to Circular
Completion and are functional. Details (with location chainage) are as given in Annex- ________. No. RW/NH-
Certificate. 33044/14/2003-SfrR (R)
dated 03.09.2019
11. Annexure-1 Other Project Facilities and Approach roads Other Project Facilities and Approach roads Modification has been
made pursuant to Circular
Schedule-K Damage or deterioration in Approach Roads, [pedestrian facilities, truck lay- No. RW/NH-
bys, bus-bays, bus- shelters, cattle crossings, Traffic Aid Posts, Medical Aid 33044/14/2003-SfrR (R)
Table-3
Posts and other works] dated 03.09.2019
Chapter: 12. Road Safety Cell
Sub Subject
Section
I. Guidelines on rectification of blackspots and

accident prone locations
II. Empanelment/Appointment of Safety & Proof

Consultants: Standard RFP Document
III. Arrangement for Traffic and Safety during

construction
IV. List of Policy circulars in force (Annex-1)
V. List of Policy circulars repealed (Annex-2)
VI. Glossary
I: Guidelines on rectification of blackspots and accident prone locations
1.1 Guidelines for rectification of blackspots and delegation of powers.
1.1.1 Introduction:
(i) Precious lives of several road users are lost due to road accidents in India. Road
accidents impose a huge social and economic cost in terms of untimely deaths, injuries,
disabilities and loss of potential income. The costs of road accidents are borne not only
by the victims and their families, but by society and the economy also.
(ii) To reduce the road accidents, Ministry/ NHAI earlier issued several guidelines/
circulars, as mentioned in above references, for rectification of blackspots. The revised
comprehensive guidelines, in supersession of above circulars/ guidelines, have now
been issued for strict compliance by all concerned.
(iii) The definition of road accident blackspot on National Highway as given in Ministry’s OM
No. RW/NH-15017/109/2015-P&M(RSCE) dated 28.10.2015 is as under:
“Road Accident Blackspot is a stretch of National Highway of about 500m in length in

which either 5 road accidents (in all three years put together involving fatalities/ grievous
injuries) took place during the last 3 calendar years or 10 fatalities (in all three years put
together) took place during the last 3 calendar years.”
(iv) Reporting of Accident Data: Based on the above definition of blackspot, the
Transport Research Wing, MoRTH compiles and analyses road accident data on NHs
for a particular calendar year and furnishes the blackspots details along with accidents
and fatalities data to MoRTH/ NHAI.
1.1.2 Inspection and Framing of Proposals:

1.1.2.1 The Regional Officers (ROs) alongwith their Road Safety Officer (RSO), Road Safety
Consultant, Road Safety Expert of IE/AE, etc. have to inspect each blackspot on National
Highways under their jurisdictions, analyze the reasons of accidents with respect to geometry
and other features of Highways, the cross roads and other reasons. Local enquiry and
discussion with local authorities including Police Authorities may also be duly considered in
identifying the reasons/ remedial measures for repeated accidents/ fatalities.
1.1.2.2 Depending upon the site condition/ requirement, the corrective measures could be
short- term (Ref. Annexure-A) and/or long-term (Ref. Annexure-B). Based on site inspection,
preliminary survey, etc. the type of interventions required may be identified and accordingly the
action for taking corrective measures, i.e., short-term measures and long-term measures may be
initiated at Regional Office level. In case, it is concluded that the accidents are not due to
engineering deficiencies, a certificate in this regard may be issued by the Regional Officer.
1.1.2.3 Where services of Road Safety Consultants/Road Safety Expert of IE/AE are not
available for developing proposal for long-term measures, a consultants may be engaged (if so
required) for detailed survey, investigation, preparation of DPR, RFP document, etc. by obtaining
sealed offers from the Consultants working nearby (minimum three) with notice period of 07 days
for consultancy works. RO may award work for consultancy upto an amount of Rs 10 lacs. In case
the cost of consultancy is exceeding Rs.10 lacs, the consultancy may be awarded with the approval
of Member concerned.
1.1.3 Sanction of Scheme

1.1.3.1 Short-term measures: Project Directors (PDs) are delegated powers to approve
rectification of MoRTH notified blackspots through short-term measures upto an amount of Rs. 25
Lakhs per blackspot under Change of Scope (CoS) or Standalone basis. PDs shall devise mitigation
measures following provisions of Para-1.1.2 above. For short-term rectification measures costing
more than Rs 25 lacs for a blackspot, case may be referred to concerned Member in HQ through
RO for approval.
II.1.3.2 Long-term measures:

(i) Regional Officers shall devise mitigation measures following provisions of Para-1.1.2
above. ROs are delegated powers to approve estimate for rectification of MoRTH notified
blackspots through long-term measures upto an amount of Rs 50 crore per blackspot
(including the cost of land acquisition), carry out necessary procurement and execute the
works including all centages, on COS or Standalone basis, under intimation to the
concerned Technical Division and Road Safety Cell at HQ.
(ii) All MoRTH notified blackspots mitigation works costing more than Rs.50 crores shall be
submitted to the concerned Technical Division for approval by the concerned Member
with the concurrence of Member (F).
1.1.4 Priority to execute blackspots works:
1.1.4.1 For awarded projects, ROs/ PDs should give priority to execute mitigation works
at blackspot stretches.
1.1.4.2 Cases other than covered in Para -1.1.4.1 above, blackspot rectification
measures may be taken up on stand-alone basis.
1.1.5 Implementation of remedial measures:

The execution of the remedial measures after the sanction/ approval may be carried out
through a contract to be awarded through bidding as mentioned above. Execution through COS
can also be examined. A view in this regard is to be taken by the RO depending upon state of
execution of work, performance of the contractor, nature of work, etc. In addition, while taking
up such works, ROs/ PDs must take judicious decision to go for COS or Standalone basis, duly
considering all pros & cons. ROs/PDs shall also ensure that the cited mitigation measures
under COS/Standalone for the respective blackspot ID are uploaded to datalake portal
simultaneously.
1.1.6 Monitoring the effectiveness of remedial measures taken

1.1.6.1 Efficacy of the Road Safety Engineering measures is ensured only when road
accidents/ fatalities related to road and road environment are eliminated as reflected in
feedback on accidents/ fatalities at the improved location for at least 3 years. Therefore,
PDs shall collect accident/ fatality data at the improved locations from the police
authorities and upload the accident/fatality data at the improved location(s) on datalake
portal regularly.
1.1.6.2 In view of the highest importance for road safety works, it is requested that all
concerned should take the actions as mentioned above in a strictly time-bound manner.
1.1.7 Annual Road Safety Work Plan:
ROs/PDs are directed to analyze the entire NH network under construction and O&M
in their jurisdiction based on safety audits/ inspections and authentic accident data for last 2-3
years and submit a consolidated report in the beginning of the year in the month of April, latest
by 30th April, on additional measures/works required on each project section to make the entire
road network safe for commuters. Member concerned may examine & approve these reports
and finalize a safety work plan for each Financial Year with a copy to Road Safety Cell. This
exercise be undertaken in April every year.
II.2 Tentative Guidelines for Transverse Bar Marking at Accident Prone Spots on
National Highways
1.2.1 In order to address the engineering related issue for road safety at accident prone spots on
National Highways, MoRT&H vide their letter No. RW/NH-33044/13/2012-S&R dated 04.05.2012
has issued guidelines for transverse bar marking (ref Annexure C). Accordingly, it has been
decided to provide transverse bar marking at identified accident prone spots where the need for
alerting the drivers/reduction in the speed is desired. The transverse bar marking shall be in
addition to other standard markings/signages as per existing guidelines/circulars.
1.2.2 In addition to transverse bar markings additional traffic calming measures should be
taken to to avoid accidents/fatalities at identified accident prone spots. In this regard provisions
contained in IRC-99:2018 “Guidelines for Traffic Calming Measures” may be referred for
identifying appropriate measures.
1.3 Provision of safe road crossing facilities and Delegation of powers to Regional
Officers.
1.3.1 Lack of safe crossing facilities on the NHs has always posed safety hazard to the
road users for which powers have been delegated to the ROs earlier vide technical policy no.
201/2016 for construction of Foot Over Bridges (FOBs). However, in order to provide for
alternative crossing facilities viz. Pedestrian Under Passes (PUPs) & Pedestrian Sub Ways
(PSWs) and other safety measures expeditiously, need has been felt to delegate additional
powers to the ROs.
1.3.2 Considering the urgency of providing safety measures at busy intersections and
improvement of black spots, etc. the Regional Officers have been authorized to decide on the
following proposals:-
The Regional Officers shall finalize the crossing facility and other safety measures in
consultation with the Road Safety Expertise available under the Regional Offices i.e. Road
Safety Experts of Independent Engineers/ Authority Engineers/ Road Safety Consultants/
Road Safety Officers/ Project Directors and local authorities, prepare design & estimate,
procure implementation agencies (Priority to be given to execute such works through Change
of Scope in ongoing works in construction/O&M) and complete such works, which should be
followed by a campaign to popularise its use by the road users.
1.3.3 For this purpose, the following powers are being delegated to the Regional Officers:
a) Foot Over Bridge (FOB):

Across 4-lane NH (Rs. in Cr.) Across 6-lane NH (Rs. in Cr.)
With With Ramp & With With Ramp & Lifts

Ramps Lifts Ramps
2.00 2.25 2.50 2.75
These costs does not cover O&M expenses.
For FOBs costing more than above, case may be referred to

concerned Member for approval.
b) Pedestrian Under Pass (PUP)/ Pedestrian Sub Way (PSW):-

(i) The Regional Officers, depending upon requirement, will decide the size of the
facility. However, it should not be less than 12x4m.
(ii) To cater to increased size of the facility, the cost ceiling for PUP/ PSW under this
delegation is upto Rs. 25 crores.
c) Cautionary/Informative Sign Boards/Road markings and other safety measures
including solar lighting:- Within the Powers already given to ROs for road maintenance
works.
1.3.4 Accordingly, the Regional Officers are directed to take early action to provide safe
road crossing facilities on all the NHs under their jurisdiction and submit an action taken report
on quarterly basis to the concerned technical division and the Road safety cell at NHAI HQ.
II. Empanelment/Appointment of Safety & Proof Consultants: Standard RFP

Document
2.1 Policy for appointment of safety consultants on highway projects
2.1.1 As per Model Concession Agreement (MCA) for PPP projects on DBFOT basis and
as per MCA for OMT projects, appointment of Safety Consultants is mandatory for safety audit
during various phases i.e. development, construction and operation & maintenance phases of
the projects (as per Schedule 'L’& Schedule ‘H’ of respective MCAs, clause 18.1.1). The Safety
Consultant is a third party independent auditor having no conflict of interest with the
concessionaire, independent engineer and the DPR consultant of the Concessionaire and
lending institutions also. The Safety Consultant has to review the drawing/ designs submitted
by the Concessionaire, do safety audit during construction phase, before issue of COD and
during operation and maintenance phase.
2.1.2 In the Schedule ‘L’ of MCA it has been mentioned that, no later than 90 days from
the date of the agreement the Authority shall appoint a Safety Consultant for carrying out safety
audit at the design stage of the project. Further to it, it has been stated in Schedule-L, a Safety
Consultant shall be appointed by the Authority no later than 04 months (four) prior to the
expected project completion date for carrying out a Safety Audit of the completed construction
work.
2.1.3 For appointment of Safety Consultant during operation and maintenance of
highways, it has been mentioned in Schedule ‘H’ of MCA for OMT that, for carrying out safety
audit of the project highway under and in accordance with Schedule ‘H’, the Authority shall
appoint from time to time one or more qualified firm or organization as its Consultants.
2.1.4 For detailed elaboration Schedule ‘L’ & ‘H’ of respective MCA may be referred.
2.1.5 All ROs are hereby advised for timely appointment of Safety Consultant in order to
ensure that the safety of the road user is not hampered during design stage, construction stage
and operation and maintenance stage.
2.2 Empanelment of safety Consultants and RFP document for appointment of Safety
Consultants for all highway projects under NHAI.
2.2.1 Safety Consultants shall be engaged for all projects as per RFP issued vide Policy
No.12.21 dated 19.06.2020 amended vide Policy Circular No. 12.23 dated 31.12.2020 and
thereafter additional list of empaneled Safety Consultants vide Policy Circular No. 12.24 dated
13.01.2022.
2.2.2 Further, empanelment of safety consultants has been carried out by Road Safety
Cell and 53 eligible firms have been shortlisted as Safety Consultants by NHAI as per details in
Annexure D. This list shall be appended/amended as and when empanelment of safety
consultants is carried out by NHAI in future. This empanelment shall remain valid for five years
or till such time the listed firms continue to satisfy the terms & conditions of the empanelment
and there is no material change from their respective empanelment proposal, whichever is
earlier.
2.2.3 As per extant policy, ROs are assigned to carry out timely procurement of safety
consultant keeping in view the status of each project. As per the RFP, the procurement shall be
done online (without hard copy submission) through the e-tender portal
i.e. https://etenders.gov.in. The financial bids shall be invited from the list of empanelled safety
consultants as circulated herewith.
2.2.4 It is further informed that each team of two key personnel (Sr. Road Safety Auditor-
cum Team Leader and Traffic Planner) shall not be eligible for award of more than four NHAI
contract packages at any point of time and a firm shall also not be allowed to propose more
than one team for the same NHAI contract package. Further, an empanelled firm shall be eligible
to be appointed in Zone it has chosen at the time of empanelment. The Regional Officers shall
forward a copy of LOA issued to the safety consultant to Road Safety Cell and respective
technical division at NHAI HQ for reference and record.
2.2.5 RO may decide to create one such contract package by clubbing the individual
projects in the RFP. The man-months for the contract package created after clubbing shall be
in accordance with clause 6.2 of ToR of RFP for appointment of safety consultants. A contract
package may include a number of individual projects subject to the following parameters/
conditions:
(i) The total length is not more than 350 Km;

(ii) No of projects clubbed are not more than four;
(iii) The projects are in the close proximity or in continuity; and
(iv) The projects are broadly at similar stage.
2.2.6 It is reiterated that as per the provisions of this RFP, a firm will not be allowed to
change the key personnel other than proposed at the time of empanelment; bids of those firms
which propose change of Key Personnel during negotiation shall be liable to be cancelled and
the negotiation will be carried out with the next ranked applicant.
2.2.7 The performance appraisal of the safety consultant shall be carried out by the Road
Safety Cell based on the report of the concerned Regional Officer / Project Director of NHAI. In
the event of defaults attributable to the firm for non-timely completion/ poor performance of
services, the empanelment of firms shall be liable for cancellation/ debarment, for a period of
two years.
2.3 Appointment of Safety Consultant and Proof Consultant by the Contractor in EPC
Projects – Reg.
2.3.1 It is stipulated as per Article 10 of EPC Contract that the Contractor is required to
appoint the Safety Consultant along with its Key Personnel from a panel of 3 firms out of which
Authority has to choose one firm.
2.3.2 In this regard, it is decided that for appointment of Safety Consultant (along with its
key personnel) by the Contractor as per Article-10 of EPC Agreement, the concerned Regional
Officer is hereby delegated the power to act on behalf of the Authority for according necessary
consent following the stipulations of the contract agreement.
2.4 Execution and payment of safety consultants for road safety audit works
2.4.1 All the Project Director are hereby directed that all the Contract Agreement of safety
consultants shall be operated by the respective PDs and dealt by concerned ROs. Consultant will
interact with PDs, RO, and concerned GM at Head Quarter if required. Payments of the
consultancy shall be released by the respective PDs/PIU as per provisions of Contract Agreement
entered with respective Consultant. Road Safety Cell may inspect the work of safety audit and advice
from time to time.
2.4.2 Project Director will coordinate with Independent Engineer and concessionaire and
closely interact with safety consultant for carrying out the safety audit. The recommendation made by
the safety consultant during development and construction phase shall be implemented urgently be
the PDs through concessionaire. If safety work needs to be carrying out in not in the scope of
concessionaire then same shall be implemented through variation to be approved by variation
Committee at HQ.
2.4.3 A monthly/ quarterly/ half yearly (as per audit cycle) project report shall be uploaded on
datalake by respective PDs and information shall be sent to the Road Safety Cell at HQ.
*****
Annexure D (1/4)
Annexure D (2/4)
Annexure D (3/4)
Annexure D (4/4)
III. Arrangement for Traffic and Safety during construction

3.1 Road safety is one of the biggest causalities during project implementation. The cautionary signs
put up by the contractors, particularly at the places where diversions are provided, are an apology for
signs. They neither conform to any standard nor meet the functional requirement of providing sufficient
information to the road users. Notwithstanding the fact that there are standards for road signs in
general and in construction zones in particular, no one at site seems to be aware of this. In the existing
contracts, road signs, including those to be erected during construction are incidental to the main item
of work. The casual approach of the Authority’s/Independent Engineer/ Supervision Consultants in
enforcing proper signage in most projects is surprising and regrettable. Wherever the diversion meets
the existing/improved main road the transition is invariably bumpy and rough. Where the work is being
carried out in high embankment, no safety rails nor any either precautionary measure are being taken
by the contractors resulting in vehicles falling off the road.
3.2. It needs no emphasis that during construction period the safety of the construction workers and
the moving traffic is of vital importance and needs to be ensured. Your attention is drawn to para 112
of MoRTH specifications relating to arrangement of safety during construction (Annexure E). MoRTH
specifications are part of contract documents and these also specify the level of safety precautions
that need to be ensured during the construction. Detailed guidelines on Safety in road construction
Zones are given is IRC SP:55 which shall be followed the Construction sites.
3.3 The diversions on the routes under construction should be rationally planned so that it does not
become a problem for user of the road. lt is therefore, desired that at all future diversions are provided
wherever required with proper sign boards, lighting arrangement etc. and the consultant will have a
proper traffic management plan prepared for such purposes.
3.4 All Project Directors are again directed to ensure that all contractual provisions and requirements
for road safety during construction are complied with and the consultant should be advised to
enforce such provisions meticulously. A separate section should be included in the monthly progress
report indicating the action taken regarding safety measures during construction including the
lapses noticed and corrective action taken.
3.5 Further, all Project Directors will maintain a record of performance of the contractor and the
consultant who are not implementing contractual requirements for safety during construction and send
a half-yearly performance report of each contractor and consultant to the concerned Technical Division
at HQ so that performance of defaulting contractors/consultants can be reviewed periodically.
3.6 It is decided, therefore, that full stage payment should not be made to the contractor if he does not
ensure these aspects. AE/IE/ Supervision Consultants have to satisfy themselves as well as NHAI about
compliance of the safety and maintenance requirements. In case of non-compliance the Contactor or
the Supervision consultant certain amount to start with say 2%, should be withheld from each IPC
payment to monthly invoice of the Consultants, as the case may be, to be released only after the
measures as per contract provisions are taken.
3.7 Road Safety issues in the ongoing projects: The Executive Committee in its 116th meeting
held on 29.08.2012 has decided the following regarding road safety issues in the ongoing
projects:
"The issue regarding missing road safety features in the on going projects was deliberated. It
was decided to issue letters to the Regional Officer to ensure implementation of road safety
features covered under the Concession Agreement during the execution of the project.
Similarly, there are certain road safety items which are required to be taken up under the
change of scope of work, such items after due justification should be put up to the concerned
technical division on case to basis for approval from concerned competent authority.
To avoid and minimize such lapses in future in the TOR of feasibility consultants it is to be
specifically mentioned that "the consultant will certify that to the extent possible all safety
feature required in the project has been taken care of in the project formulation and nothing
substantial has been left".
****
Annex-1
List of Policy Circulars in force
Sl.no Policy No. Subject Date
.
1. 12.25/2022 Rectification of Accident Blackspots- Guidelines on 12.04.2022
preparation of proposals, granting sanctions, execution of
works etc.
2. 105/2012 Tentative Guidelines for Transverse Bar Marking at Accident 11.06.2012

Prone Spots on National Highways
3. 174/2015 Appointment of safety consultants 12.02.2015
4. 12.21/2020 Empanelment of Safety Consultants and revised RFP 19.06.2020

document for appointment of safety consultants for all
highway projects under NHAI
5. 12.23/2020 Addendum to standard RFP document for engagement of 31.12.2020

safety consultants for all highway projects under NHAI
6. 12.24/2022 Empanelment of Safety Consultant for all highway projects 13.01.2022

under NHAI- Additional list of empanelled safety
7. 200/2016 Proposal for appointment of safety consultants and proof 02.03.2016

consultant by the contractor in EPC projects.
8. NHAI/RSC/ Appointment of Safety Consultants: Execution and payment 06.01.2011

2010/ASC/T of safety audit work
ender-
III/707
9. 1.1.27 Provision of safe road crossing measures by construction of 20.03.2018
Foot over bridges (FOBs), pedestrian under passes (PUPs),
10. 1.1.33/2022 Pedestrian sub ways, Cautionary/ informative road sign 25.04.2022
boards/ road markings and other safety measures including
solar lighting in places of large public movements e.g.
Educational institutes, religious places, hospitals and local
haat/ bazaars located on/near the national highways-
Delegation of power to Regional Officers
11. 112/2012 Road Safety Issues in the ongoing projects 13.09.2012
Annex-2
List of Policy circulars repealed
Sl.no. Circular no. Subject Dated

1. NHAI/Policy Providing Foot Over Bridges (FoB) at 15.11.2017
Guidelines/Providing Foot accident prone site on NHAI stretches
Over Brides (FoB)at accident
prone site on NHAI
stretches/2017
No. 12.18/2017
2. NHAI/RSC/RFP-Safety Appointments of Safety Consultants for 21.10.2016
Consultants/2016/4227 highway projects clarifications to RFP.
3. 11041/218/2007-Admn. Approval RFP document for appointment 12.05.2016
of Safety Consultants for all highway
projects (BOT/HAM/OMT/EPC) under
NHAI
4. 11041/218/2007-Admn. Empanelment of Safety Consultants for 19.04.2016
all highways projects under NHAI.
5. 11041/218/2007-Admn. Providing Foot Over Bridges (FoB) at 03.03.2016
accident prone site on NHAI stretches.
6. 11041/218/2007-Admn. Appointment of Safety Consultants – 12.02.2015
reg.
7. 11041/218/2007-Admn. Funding of Safety Audit for PPP 30.04.2012
Projects on DBFO Basis and Operation
& Maintenance of Highways – Reg.
8. NHAI/RSC/2010/ASC/Tender- Appointment of Safety Consultants for 11.07.2011
iii/Fund/1299 PPP Projects on DBFO basis : Payment
to the Safety Consultant and their
reimbursement from the respective
Concessionaire as per Article 18 of MCA
Reg.
9. 1.1.29/2019 Delegation of Powers to ROs for 05.08.2019
finalization of technical scope and
approval of the detailed estimates for
works of permanent rectification of
Ministry identified blackspots reg.
10. 1.1.25/2017 Delegation of power to ROs for technical 21.12.2017
finalization and approval of the detailed
estimates for works of permanent
rectification of Ministry identified black
spots reg.
11. 1.1.31/2019 Rectification of accident blackspots- 19.12.2019
Guidelines on preparation of proposals,
granting sanctions, execution of works
etc.
Glossary
Acronym Full form
AE Authority’s Engineer
COS Change of Scope
COD Commercial Operation Date
DA Dearness Allowance
DBFOT Design, Build, Finance, Operate & Transfer
DPR Detailed Project Report
EPC Engineering, Procurement and Construction
FOB Foot Over Bridge
HQ Head Quarter
IE Independent Engineer
IRC Indian Roads Congress
LOA Letter of Award
MoRTH Ministry of Road Transport & Highways
MCA Model Concession Agreement
NHAI National Highways Authority of India
OMT Operate, Maintain and Transfer
O&M Operation & Maintenance
PSW Pedestrian Subway
PUP Pedestrians Underpass
PD Project Director
PIU Project Implementation Unit
PPP Public-Private Partnership
RO Regional Officer
RFP Request for Proposal
RSC Road Safety Cell
RSE Road Safety Expert
RSO Road Safety Officer
ToR Terms of Reference
TA Travelling Allowance
Chapter: 13. Technology Induction Cell
Sub Subject
section
I. Use of New Material/Technology.
II. Plant and Machinery.
III. Use of bitumen.
IV. Use of Steel and Corrosion Prevention.
V. Use of Waste Plastic in Roads.
VI. Simplifying the process of product approvals
VII. Miscellaneous
I. ‘Use of New Material/technology’
1. Use of New Material/Technology Accredited on Trial Basis by IRC:
1.1 The Committee for Accreditation of New Materials and Techniques formed under the
aegis of Highway Research Board of Indian Roads Congress to accredit patented or new
materials/techniques, developed in India/aboard and evaluated as per recognized National
International Specification and accredit new materials/techniques for a period of 2 years for
being used on trial basis:
It has been decided to encourage the use of new materials/technologies in NHAI works.
Following procedure for use of New Materials/techniques Accredited by IRC will be adopted
by NHAI.
1.2 On Request from Manufacturers/Suppliers:

On receipt of request from Manufacturers/Suppliers: of accredited material, after evaluation in
NHAI, trial of their product at ongoing construction projects can be permitted in consultation
with the supervision consultant and the contractor.
The Manufacturers/Suppliers shall bear cost of trial and all extra cost of performance
evaluation through reputed research institute. Half yearly feedback on performance of
sections shall be intimated to NHAI.
NHAI shall however, have the overriding authority to take its own decisions at any stage of
the field trials, if in its opinion such field trials in any project reach is likely to adversely affect
the progress/completion/COD/operation /toll collection, or adversely impact the concession /
contract agreement of the project in any way.
1.3 On Request from Concessionaire of PPP Project:

Since IRC SP-84 for works on PPP permits the concessionaire to adopt international
practices, alternative specifications, materials and standards to bring innovation in the design
and construction provided they are better or comparable with the prescribed standards. These
new materials/technologies may also be permitted for use provided they are better or
comparable with the prescribed standards.
For use of these material/technologies in PPP projects:
 The proposal is required to be made by the concessionaire.

 Independent Engineer shall examine the proposal and forward it to NHAI with his
comments
 NHAI shall examine the proposal and permit the use of these material subject to:
Adverse consequences, if any, arising from such use shall be treated as
concessionaires Default.
Arrangements for concessionaire and all costs to such evaluation will be borne by the
concessionaire.
Half yearly feedback on performance shall be intimated to NHAI.
1.4 FOR EPC PROJECTS:
 The proposal is made by the DPR consultant.

 Expert Committee of NHAI shall examine the proposal and make its recommendations
for use of new Material/Technology on case to case basis.
 On acceptance of the recommendation of Expert Committee use of these
materials/technologies shall be included in the works contract.
 Provision for performance evaluation through reputed research institute will be made in
the civil works contract.
 Half yearly feedback on performance shall be intimated to NHAI
2. Encouraging the use of Slag Aggregate in Granular Sub-Base (GSB).
2.1 The Steel Plants in the country generate large amount of slag which remains unutilized.
References have been received from various steel plants such as Bokaro Steel Plant to
use slag aggregates in road projects as an environmental friendly measure. Specification
for Road and Bridge works issued by Ministry of Road Transport and Highways also allow
the use of crushed slag for Granular Sub-Base (GSB).
2.2 It has been therefore, decided to use steel furnace/blast furnace/copper slag aggregates
in Granular Sub-Base provided that the same satisfies the physical
requirements/gradings etc. as stipulated in the specifications. The
Contractors/Concessionaires shall use slag aggregates in GSB especially in the projects
lying in the regions of these types of slag production.
3. Use of interlocking Concrete Blocks on National Highways
3.1 Interlocking Concrete Block pavements are being extensively used on the urban roads,
footpath. , parking areas, lay byes etc. as a new approach in the construction of
pavement. The Indian Roads Congress (IRC) have already published the Code, IRC: SP:
63 for the design and construction of such pavements.
3.2 Considering the advantages and limitations of interlocking concrete block pavements, as
brought out in IRC: SP: 63, the interlocking concrete blocks may be considered for use
along the National Highway stretches in built-up areas. If required, these may be adopted
for use in the kerbs and footpaths also.
3.3 The contents of this Circular may be brought to the notice of all concerned in your
Organization. Feedback on these guidelines is solicited.
4. Use of New/alternative Material and Technology in construction of Highways

4.1 It is felt necessary to consolidate various instructions of MoRTH, codal provisions and
guidelines regarding cost effective new/alternative Material and Technology in highway
construction to reduce construction cost.
4.2 IRC guidelines are available for use of Cement Treated Base (CTB), Cement Treated
Sub-base (CTSB), Waste Plastic, Geo-Synthetics, Recycling, Fly-ash, modified Bitumen
(CRMB, Polymer modified, Natural Rubber), Soil stabilization, etc. in highway
construction. It is necessary to promote these materials/technologies in construction and
maintenance of National Highways for harnessing potential time and cost savings.
4.3 The details of these material/technology and relevant IRC Guidelines/MoRTH circulars
are summarized in Annexure - 1.
4.4 IRC has also accredited new materials/techniques/equipment/products. These may also
be used as per the above Code/Guidelines/Circulars. The details of accredited
material/technology are available on IRC website.
4.5 The standard EPC document issued by Ministry on 05.03.2019 specify Defect Liability
Period ranging from 3 to 10 years for development and maintenance work, depending on
the type of pavement, standalone bridge/tunnel, new/alternate material/technology u sed
etc. Ministry’s circular No. RW/NH-33044/10/2002/S&R (P6B) dated 21.08.2018 had also
specified Defects Liability Period of 10 years for the stretches where new
technology/material has been used/ is proposed to be used.
4.6 As per Article 10.2 of the model document for EPC contract agreement, it is the
responsibility of Authority’s Engineer to review and approve the design and drawing
prepared and submitted by contractor.
4.7 All ROs of Ministry/NHAI/NHIDCL & CEs of BRO are requested to use (i) new/ alternative
Material and Technology and (ii) locally available materials which are suitable and
cheaply available in the area in Highway construction for better quality of construction,
sustainability and cost and time savings.
4.8 DPR consultant shall furnish life cycle project cost comparison amongst the options using
conventional material/ technologies & with the use of new/alternative Material and
Technology based on rate analysis as per Standard Data Book of the Ministry/ market
rate. DPR approving authority should ensure that such comparison has been done by
the DPR Consultant and the new/alternative Material and Technology proposed by the
DPR consultant is cost effective as well as environment friendly.
4.2.1 Bidding of the project will be taken up considering the cost determined by
DPR consultant based on conventional material/ technologies or
new/alternative Material and Technology which is most economical to the
Authority. It will not bar the contractor/concessionaire to use other
new/alternate material/technology. The decision of use of appropriate
material/technology will rest with the contractor/concessionaire subject to
satisfactory compliance to the provisions of this circular.
4.2.2 In case use of such new/alternate material/technology by the

contractor/concessionaire brings down the cost of

construction/maintenance, provided it meets all other design/construction
provisions as envisaged in the contract and stipulated in the Codes,
Standards, Specifications, Guidelines etc. specified under schedule D, the
Authority shall not revise the contract price nor ask the contractor to transfer
the cost reduction benefit to the Authority.
4.2.3 It is clarified that any new/ alternate material/ technology that has been
accredited by IRC, and falling under IRC:SP-89 (Part II), will not require
further accredition, and will henceforth fall under approved, alternate,
material and technologies. For such approved, alternate, material and
technologies, the Defect Liability Period shall be at par with
conventional /flexible pavement.
4.3 “It is clarified that the material/ technology for which Codes, Standards, Specifications,
Guidelines etc. of IRC, MoRTH, AASHTO, ASTM, Euro Code and British Codes are
available shall not be treated as new/ alternate material/technology and, as such, Defects
Liability Period (DLP) of projects using such material/technology shall not fall into the
category corresponding to new material/technology. Hence the defect liability period will
be at par with conventional/flexible pavement. The stretches where new material/
technology is used, for which Codes, Standards, Specifications, Guidelines etc. of IRC,
MoRTH, AASHTO, ASTM, Euro Code and British Codes, FHWA guidelines are not
available, the project may be taken up on pilot basis and the Defects Liability Period of
such projects shall be 10 years.”
4.4 No separate approval from the Authority is required for using new/ alternate Material/
technology within the contract provisions. The Authority’s Engineer/ Independent
Engineer shall also approve the design and drawing of all the new/ alternate Materials
proposed by contractor/ concessionaire for which international standards such as
AASHTO, ASTM, Euro Code and British Codes, FHWA guidelines are available.
4.5 If the use of alternative material/technology is not specifically covered in the Indian or
International Standards as mentioned in para 9 above, contractor/ concessionaire would
be permitted its use on certification by owners of similar projects regarding the continued
successful performance of such materials, technologies, methods, procedures or
processes for design life of the project as per Para 1.9 of Manual of two laning/ four
laning/ six laning of IRC. In this regard, it is hereby clarified that usage in Indian condition
shall not be insisted by the Authority’s Engineer/ Independent Engineer for the Material/
Technology if certification by owners of similar projects regarding the continued
successful performance of such materials are confirmed. The contractor/concessionaire
will however be required to submit all quality assurance and quality control documents
and demonstrate to the satisfaction of Authority’s Engineer/ Independent Engineer
satisfactory performance of the pavement or structure using such material or technology.
Authority may seek performance of the use of such material and technology through
appropriate diplomatic channels. However, Defects Liability Period of such projects shall
be 3 to 10 years(Varying subject to specific technologies) and approval shall be accorded
at the level of Regional Officers or equivalent officers on recommendation of Authority’s
Engineer/ Independent Engineer.
4.6 IRC:SP:112-2017 “Manual for Quality Control in Road and Bridge works” and various
IRC Codes/MoRTH guidelines prescribe specifications and standards for design and
construction of various proprietary items such as Geosynthetics.
Contractor/concessionaire will ensure that the design parameters, warranty and other
requirements are fulfilled by manufacturer(s) of such proprietary items as specified in
applicable standards/guidelines. In addition, the contractor/ concessionaire has to
comply the documentation requirements from manufacturer/ self, test on proprietary
items as specified in IRC:SP:112-2017 “Manual for Quality Control in Road and Bridge
works” and applicable standards/guidelines.
4.7 ROs/EDs of Ministry/NHAI/NHIDCL & CEs of BRO (Kerala, Karnataka, Tamil Nadu,
Puducherry, Andhra Pradesh) shall implement projects involving coir technology and
ROs of Ministry/NHAI/NHIDCL & CEs of BRO (West Bengal, Odisha) shall invariably
consider using jute technology wherever appropriate. A monthly report shall be submitted
by all this ROs/EDs.
4.8 All ROs of Ministry/NHAI/NHIDCL & CEs of BRO are requested to submit quarterly
reports indicating the number of projects and quantity of New/Alternative material used
by them to the Ministry.
II. ‘Plant and Machinery
1. Use of Double Barrel Drum Mix Plant
1.1 Manual for construction and supervision of bituminous works issued by Ministry of Road
Transport & Highways specifies the various advantages of double barrel drum mix plants.
1.2 The double barrel drum mix plants have two coaxial drums. The aggregate is dried and
heated in the inner drum and thereafter material comes out to the outer surface of the
inner drum which has paddles and acts as pug mill for mixing of the bitumen and hot
aggregate, thus mixing them in outer drum. The entire process of such drum mix plants
gives a very homogeneous mix.
1.3 Double Barrel Drum Mix Plants are also suitable in case of using Recycled Asphalt
Pavement (RAP) and are cost and energy efficient systems. These plants are
environment friendly due to low emission of carbon gases.
1.4 Annexure A of IRC: 27-2009 specifies the essential features of Hot Mix Plants. Double
barrel drum mix plants which are satisfying the requirements as per IRC: 27 may be used
in NHAI Projects with the caution to have greater control and frequent check at production
site for ensuring proper gradation in the bituminous mix and thoroughness of the mix.
III. ‘Use of bitumen
1 Deletion of Tack Coat on Primed Granular Surface
1.1 Though the utility of applying Tack Coat on bituminous surfaces is well known and its
technical necessity is unquestionable, the application of tack coat on primed granular
surface such as Wet Mix Macadam (WMM) has been under debate for some time. Many
developed countries also do not specify tack coat on primed granular surface.
1.2 The issue was discussed in the meeting with professionals from the industry and
academicians from IIT on 21st February, 2017 at NHAI HQ and it emerged that tack coat
is not required on primed granular surface such as WMM except where the bituminous
surfacing required to be laid on it is less than 40mm. The proposal to dispense with the
tack coat on primed granular surface was re- affirmed by Executive Committee (EC) in
its 309th Meeting on 14.06.2017.
1.3 It has, therefore, been decided that the provision of tack coat on already primed granular
surface be dispensed with except where the thickness of bituminous layer required to be
laid on it is less than 40mm. However, the prime coat shall be applied on all granular
surfaces such as Wet Mix Macadam (WMM) as specified.
1.4 It is further clarified that the tack coat will be provided on a bituminous surface viz. Dense
Bituminous Macadam (DBM) before laying the next bituminous layer such as BC on it.
1.5 The cases for deletion of Tack Coat on Primed Granular Surface in on-going projects
may be processed on case-to-case basis depending on the stage of construction of the
work i.e. where the construction has not reached the stage upto tack coat. The change
of scope in such works may be regularized as per conditions of the concession/contract
agreements.
IV. ‘Use of Steel and Corrosion Prevention’

1. Guidelines for corrosion prevention, monitoring and remedial measures forconcrete bridge
structures
1.1 The Ministry of Road Transport & Highways vide letter No. RW/NH/34061/3/2004-
S&R(B) dated 23rd January, 2012 has conveyed that there are large number of bridges
involving Reinforced Concrete Components in marine environment on National Highways
running parallel and near to seashore in the country. Keeping in view the large investment
requirement for constructing these bridges as well as high cost involved in its
maintenance subsequent to corrosion related distress, it is advisable that the possibility
of corrosion may be reduced, therefore, the implementing agencies shall adopt IRC-SP-
80-2008 and subsequent revisions on guidelines for corrosion prevention, monitoring and
remedial measures for concrete bridge structures for bridges located in environment
susceptible to severe corrosion at design, construction and maintenance stages.
1.2 This is in supersession of Ministry's Circular No. RW/NH/34041/44/91-S&R dated 14th March
2000 regarding use of Fusion Bonded Epoxy Coated (FBEC) reinforcement in bridges
on National Highways and other Centrally Sponsored Projects.
V. ‘Use of Waste Plastic for Roads’
1. In continuation of CGM(HO), NHAI, HQ letter dated 28.08.2019 to all ROs of NHAI (copy at Annex-
2) containing instructions on collection and use of waste plastic in view of Letter dated 27.08.2019
of MoRTH (copy at Annex-3), the attention of ROs is drawn to the following:
(i) IRC vide IRC:SP:98-2013 issued guidelines for use of waste plastic in hot
bituminous mixes (Dry Process) in wearing courses
(ii) MoRTH issued directions for use of plastic waste in bituminous mixes in construction of NHs
vide Letter dated 09.11.2015 and 27.12,2016 (copies enclosed at Annex-4 & 5). MoRTH
decided that bituminous mix with waste plastic should be the default mode for periodic
renewal with hot mixes within 50 Km. periphery of urban area having population more
than 5 lakh. MoRTH further directed that in each state/ UT, bituminous mixes with waste
plastic may be used as per IRC: SP: 98-2013 in at least a stretch of 10 Km as pilot project.
(iii) MoRTH further decided vide letter dated 27.08.2019 that in 2019-20 Swachhata Hi Seva
Campaign (SHS) would focus on Plastic Waste Management as main theme and the
instructions had already been issued vide letter dated 28.08.2019 of CGM(HO).
1.2. In compliance of the directions of MoRTH vide letter dated 27.08,2019, the following further
instructions are issued to the Regional Officers in continuation of CGM(HO), NHAI, HQ
letter dated 28.08.2019
(i) ROs will facilitate use of waste plastic in Hot Bituminous Mixes by the
Contractors/ Concessionaires in their regions, as per the directions of
MoRTH cited above and in accordance with IRC:SP:98-2019. ROs shall
identify the cities and nearby NH stretches to incorporate use of waste
plastic in hot bituminous mixes (dry process) in wearing courses in terms
of IRC:SP:98-2019 and further clarified by MoRTH letter dated
26.11.2019 (copy enclosed Annexure-6). Such NH stretches could be
the stretches of
periodic renewals or pilot stretches to be identified specifically by ROs
considering the waste plastic likely to be generated in the identified cities
nearby. However, Bituminous Mix in the plastic waste will be the default
mode of construction in wearing course of all service roads to be
constructed by NHAI in all future projects.
(ii) The list of agencies, institutes and transaction advisers empanelled by

Ministry of Urban Development for providing support to the cities/ towns
for solid waste management are placed as "Annex-7". In addition, list of
PROs/Agencies empanelled by Central Pollution Control Board for
Plastic Waste Management are also attached as "Annex-8". Some
other identified private vendors, who are actively involved in plastic
waste management in the country are as under:
(a) K K Plastic Waste Management Ltd.; Bangalore (Mob:
9886505811, 9880045811)
(b) B G Trade Infra, Indore (Mob: 9109050000)
(c) Sarthak Waste Plastic, Bhopal (Mob: 8109228464)
The above list is only indicative. ROs may contact the other Vendors/
Suppliers, who are locally available & supply the usable plastic waste
conforming to IRC:SP:98-2013. The list of such vendors may be
suggested to the contractors/ concessionaires of identified stretches at

Para-1.2(i) above.
(iii) The plastic waste shall be used in the identified stretches without any
financial effect, i.e., the contractors/ concessionaires shall meet the
cost of Vendor/ Supplier, who supply the usable plastic waste
conforming to IRC:SP:98-2013 from the savings in bitumen content on
account of use of such plastic waste. However, the risk of performance
of wearing course in the identified stretches would be taken by NHAI for
which post construction performance monitoring of the identified
stretches would be undertaken by ROs through IE/AE/Supervision
Consultants with the help of equipment (NSV) based monitoring on bi-
annual basis [Network Survey Vehicle (NSV) is mandatory as per the
provisions in the new contracts for IE/AE/Supervision Consultants].
Wherever required, ROs may take the support of IlTs/NITs as per the
list attached in "Annex-9" for post-construction performance monitoring.
(iv) ROs will inform the local bodies/ authorities about the names of the
Vendors/ Suppliers engaged by the contractors/ concessionaires who
would receive the plastic waste collected at various centres. The
collection of plastic waste, cleaning & shredding of waste plastic so
collected, mixing with aggregate/ bitumen, etc. would be the
responsibility of the Vendors/ Suppliers and the Contractors/
Concessionaires.
1.3. In view of the above, the roles and responsibilities of various agencies are summarized
as under:
(i) The supplier/vendor shall be responsible for collection, cleaning,

shredding and supplying the required grade of plastic waste conforming
to IRC:SP:98-2013 at the mixing plant of the Contractor/ Concessionaire
of stretches identified by NHAI's RO. The supplier/vendor shall also
provide required staff for supervision of the mixing of shredded plastic
waste, aggregate and bitumen in Central Mixing Plant including laying
thereof, as required by the Contractor/ Concessionaire.
(ii) The Concessionaire/Contractor shall make the payment to the
supplier/vendor for the services at 1.3 (i) above by meeting the cost from
the savings in bitumen content on account of use of plastic waste. The
performance risk shall however be borne by NHAI as mentioned above.
(iii) NHAI's ROs shall be responsible for overall coordination of use of plastic
waste in their region. ROs shall be the Nodal Officers for their respective
jurisdictions.
1.4. All ROs are directed to identify and inform the stretches where plastic waste can be used
in bituminous mixes (in PR works or on pilot basis in wearing course of pavement),
discuss the details and modalities of execution of work including identification of vendor/
supplier of plastic waste with respective concessionaires/contractors and furnish
the details along with action plan to NHAI HQ.
1.5 This practice shall come into force immediately with effect from the date of issuance
of circular.
VI. ‘Simplifying the process of product approvals’
1. In order to avoid repetitive testing of same materials for source approval by different IEs/AEs
in different projects, a Committee of Senior Quality – Cum – Material Experts of few
Consulting firms has been constituted with objective to finalize the list of various products
repeatedly used on NH projects and recommend source of such products for one-time
approvals by competent Authority in NHAI.
The review meeting of the committee to be held quarterly.

The office memorandum dated 05.01.22 placed as Annexure-10
VII. ‘Miscellaneous’
1. Use of city compost in medians, turfing on side slopes of embankment and plantation of trees in right
of way along National Highways.
1.1 Consequent upon acceptance of the recommendations of Inter- Ministerial Task Force
by Hon'ble Supreme Court of India with regard to the subject cited above, it has been
decided with the approval of Competent Authority to utilize the city compost in medians,
turfing on side slopes of embankment and plantation of trees in right of way along
National Highways.
1.2 For implementation of the above, all PIU/CMU are directed to make necessary
amendment in BOQ for plantation activities in all BOT and O&M contracts.
List of Annexures/Enclosures for Master Circular of TIC -
S No. Sub category of TIC Master Annexure/Enclosure Page no. (From-to)

circular No.
1. A.4.3. ‘Use of New/alternative 13 - 16

IRC Guidelines/MoRTH
Material and Technology in
circulars are
construction of Highways’
summarized in
Annexure - 1.
2. E E.1. ‘Use of Waste Plastic for NHAI HQ letter dated 17 - 18

Roads’ 28.08.2019 to all ROs of
NHAI (copy at Annex-2)
Letter dated 27.08.2019 19 - 20

of MoRTH (copy at
Annex-3)
NHs vide Letter dated 21 - 24

09.11.2015 and
27.12,2016 (copies
enclosed at Annex-4 & 5)
Providing support to the 25 - 37

cities/ towns for solid
waste management are
placed as "Annex-6"
List of PROs/Agencies 38 - 40
empanelled by Central
Pollution Control Board
for Plastic Waste
Management are also
attached as "Annex-7"
ROs may take the support 41 - 51

of IlTs/NITs as per the list
attached in "Annex-8"
MoRTH letter dated 52 - 53

26.11.2019 (copy
enclosed Annexure-9)
3.F. F.1. ‘Simplifying the process of The office memorandum 54 - 55

product approvals’ dated 05.01.22 placed as
Annexure-10
Annexure-1 of Master circular A.4.3. Sub category Use of New material & Technology
S. No. Material/ Applications IRC MoRT&H Circular

Technology
Code/Guidelines/
IS Code
1. Waste Plastic Wearing Coat IRC:SP-98 i. Circular No

RW/NH-
‘Guidelines for the use 33044/24/2015-S&R
of Waste Plastic in Hot (R) Dated 26.11.2019
Bituminous fixes (Dry “Use of Waste Plastic
Process) in Wearing in hot bituminous
Courses”. mixes in wearing
courses (dry process)
for construction of
National Highways”;
ii. Circular No.
RW/NH-
33044/24/2015-S&R
(R)dated 27.08.2019
“Collection and Re-
use of Waste
Plastics: Swachhata
hi Seva Campaign”;
iii. Circular No. RW-
NH- 33044/24/201 5-
S&R (R) dated
27.12.2016 and
09.11.2015 “Use of
Plastic Waste in
bituminous mixes in
construction of
National Highways”.
2. Cement In Base (CTB); IRC:37 “Guidelines -
Treated In Sub- base for the Design of
Granular (CTSB) Flexible Pavements”.
Layer
3. Geo- Synthetics i. Reinforcemen i. IRC:SP: 59 Circular No.
t in pavement Guidelines for Use of 33044/64/2018-S&R
ii. Slope- Geo- synthetics in (P&B) dated
Protection Road Pavements and 16.07.2018 “Geo-
iii. Separation, Associated Works”; Synthetics and their
ii. IRC:113 use in road
Filtration,
“Guidelines for the construction”.
Drainage and
erosion control Design and
Construction of Geo-
iv. Impermeabl
synthetic Reinforced
e barrier/capillary
Embankments on Soft
cut off in
Sub- soils”.
waterlogged areas
iii. IRC:SP:48 “Hill
v. Stress
Road Manual”
relieving
iv. IRC:56
membranes and
“Recommended Practices
crack retarding
for Treatment of
layer.
Embankment and
Roadside Slopes for
Erosion control”
v. IRC:SP:106
“Engineering Guidelines on
Landslide Mitigation for
Indian Roads"
4. Recycling i. Wearing IRC:120 i. Circular No.

Coat “Recommended RW/NH-
ii. Crust Practice for Recycling 33044/10/2002/ S&R
building of Bituminous (R) dated 11.01.2018
Pavements”. “Guidelines
implementation of Hot
in place Recycling
technology for
Periodic Renewal (PR)
works;
ii. Circular No. RW-
22012/01/2012-
Mechdated 18.12.2012
“Use of Recycling
technology for PR
(Periodic Renewal)
works on National
Highways”.
5. Fly-ash i. Embankmen i. IRC:SP:58 i. Circular No.
t “Guidelines for Use of RW/NH-
ii. Cement Fly Ash in Road 33044/01/2019-S&R
Concrete Embankments”; (P&B)dated
ii. IRC:44 23.10.2020 “Use of
iii. Stabilization
“Guidelines for Fly-ash in
Cement Concrete Mix road/flyover
Design for embankment
Pavements”; construction on NH
iii. IRC:SP:89 works”;
“Guidelines for Soil ii. Circular No.
and Granular Material RW/NH-
Stabilization Using 35014/20/2017-H
Cement, Lime and Fly dated 07.01.2019
Ash”. “MoU for off- take of
Fly-ash from private
power stations”;
iii. Circular No.
24028/14/2018-H
dated 27.08.2018
“Use of Fly-ash in
road/ flyover
embankments
construction”
6. Modified Wearing Coat i. IRC:SP: 53 i.Circular No. RW/NH-
Bitumen (CRMB, “Guidelines 35072/05/2018-S&R
Polymer on Use of Modified (P&B) dated
modified, Bitumen in Road 24.08.2018 “Use of
Natural Construction”; Bitumen & Modified
Rubber) ii. IRC:SP:107 Bitumen in the
“Guidelines construction of
for Gap Graded flexible pavements
Wearing and their source of
Course with their procurement for
Rubberised National Highways
Bitumen-(Bitumen Work”;
Rubber)”. ii. Circular No.
RW/NH
33044/05/2016/S&R
(R) dated 05.09.2016
and 28.03.2016
“Use of polymer/
rubber modified
bitumen on NHs and
other centrally
sponsored schemes”;
iii. Circular No.
RW/NH-
33044/49/2015/S&R
(R)dated 18.02.2016
“Use of polymer/rubber
modified bitumen on
NHs and other centrally
sponsored schemes”;
iv. Circular No.
RW/NH- 33041/ 3/2001 -
S&R(R)dated 30.01.2012
“Use of bitumen/
modified bitumen for
National Highway
Works”;
v. Circular No. 33041
/3/2001- S&R (R)dated
19.07.2011 “Use of
Modif1ed Bitumen in
BM/DBM layers for
National Highway
Works”.
7. Soil Chemical IRC:SP-89 (Part II)
stabilization Stabilization ’Guidelines for the
Design of Stabilized
Pavements (Part-II)
8. Jute Slope Stabilization IRC: 56 “Recommended -
Practices for Treatment
of Embankment of
Roadside slopes for
Erosion Control”
9. Coir Slope Stabilization IRC: 56 “Recommended -
Practices for Treatment
of Embankment of
Roadside slopes for
Erosion Control”
10. Construction & i. Embankment IRC:121 “Guidelines for -
Demolition ii.Granular Layer in Use of Construction and
Waste flexible pavement Demolition Waste in
iii.Concrete Road Sector
Pavement
11. Recycled i.Concrete IS:383 “Coarse and Fine Circular No. RW/NH-
Aggregate/ Slag ii. Granular Layer Aggregate for Concrete 34066/09/2017- S&R
Aggregate/ Specifications” (B) dated 21.07.2020
Bottom Fly Ash “Use of Manufactured
Aggregates in National
Highways Works”.
12. Stone Matrix Wearing Coat IRC:SP:79 “Tentative Circular No.
Asphalt Specifications for Stone RW/NH- 35072/ 05/2018
Matrix Asphalt” S&R(R)dated
24.08.2018 “Use of
bitumen/ modified
bitumen in the
construction of flexible
pavements and source
of their procurement for
National Highway
Works”;
13. Fibre Reinforced Road Crust IRC:SP:46 “Guidelines -

concrete for Design and
pavement Construction of Fibre
Reinforced Concrete
Pavements”
14. Cold Mix Wearing Coat IRC:SP-100 “ Use of -
Technologies Cold Mix Technology in
Construction and
maintenance of roads
Using Bitumen
Emulsion”
15. Open Graded Wearing Coat IRC-129 -

Friction Courses rainfall areas
’Specifications for
for high Open-Graded Friction
Course”
16. Thin White Wearing Coat IRC:SP: 76 -

topping
‘Guidelines for
Conventional and thin
White-topping”
17. Precast Pre- Bridges IRC:SP:71 ‘Guidelines -

tensioned for Design and
girders bridges, construction of precast
Integral bridges Pre- tensioned Girders
for Bridges.
Annexure – 9
Annexure-10 of Master Circular F.1.sub category ‘Simplifying the process of product

approvals’
Sub: List of Policy Circulars issued up to date and available in library website under
Category of Master Circular Under category ‘Technology Induction Cell’.
The details of previous policy guidelines issued up to date are given below:
Sr. Policy Circular No subject details with date of issuance

No
1. Policy Maters Technical (56/2005)
-Incorporation of technical specification of modified bitumen in standard bidding
documents-reg.
- (Decision taken on Vigilance Division’s note No. NHAI/13013/79/2003-veg.
-Dated 04.08.2005
* (Weeded out)
-Quality Assurance Manual
-( Decision taken on EA to Chairman’s note)
-Dated 11.11.2005
* (Included in Quality Assurance category)
-Use of city compost in medians, turfing on side slopes of embankment and plantation
of trees in right of way along National Highways.
-(Decision taken on note)
-Date 20.08.2008 of Manager (Hort.)
(Under sub category Miscellaneous)
-Use of Viscosity grade bitumen as per IS 73:2006 in Highway Projects.
-(Decision taken on PQ division’s file no. 11018/10/2006/PQ)
-Dated 12.11.2008
* (Weeded out)
-Use of Automatic Traffic Counter and Classifiers (ATCC) for NHAI Roads.
(Decision taken on TIC Division File no. NHAI/Tech/TIC/Gent/2009)
Dated 22.10.2009
* (Weeded out)
-Use of Laser Profilometer in NHAI Works
Dated 03.11.2009
* (Weeded out)
7. Policy Maters Technical. (38/2009)

Use of Stone Matrix Asphalt (SMA) against asphalt concrete as wearing course.
-Dated 14.12.2009.
* (Weeded out)
Encouraging the use of Slag Aggregate in Granular Sub-Base (GSB).
Dated 08.01.2010.
(Under sub category New Material/ Technology)
9. Policy Maters Technical (5O/ 2010)
Specifications for Traffic Signs having Retro- Reflective Sheeting.
Dated 03.03.2010.
(* (Weeded out)
Use of Double Barrel Drum Mix Plant
Dated 03.03.2010.
(Under sub category New Plant and Machinery)
11. Policy Maters Technical (51/ 2010)
Specifications for Reflective Pavement Markers (Road Studs)
Dated 03.03.2010.
* (Weeded out)
12. Policy Maters Technical (57/ 2010)
Specification for Variable Message Signs (VMS)
Dated 06.04.2010
* (Weeded out)
13. Policy Maters Technical (59 /2010)
Identification of stretches for construction of cement concrete roads
Dated 13.05.2010.
* (Weeded out)
14 Policy Maters Technical (62/2010)
Use of New Material/Technology Accredited on Trial Basis by IRC
Dated 21.06.2010.
(Under sub category New Material / Technology)
15. Policy Maters Technical (66 /2010)
- Use of steel
-Dated 18.08.2010.
* ( *(Weeded out)
Use of Reclaimed Asphalt Pavement (RAP) Materials.
Dated 04.05.2012.
*(Weeded out)
G guidelines for corrosion prevention, monitoring and remedial measures for concrete
bridge structures.
Dated 09.05.02012.
(Under sub category of Use of Steel and Corrosion Control)
New Materials accredited by IRC for a period of two years for use on trial basis.
Dated 30.05.2012
*(Weeded out)
Mandatory Use of Fly Ash in NHAI Projects.
Dated 13.12.2012.
*(Weeded out)
Steel of original producer in NHAI projects.
Dated 12.08.2013.
*(Weeded out)
21. MoRTH Circular No. 33044/2014/S&R(R)
Use of interlocking Concrete Blocks on National Highways
Dated 20.02.2014.
*(Under sub category of New Material/ Technology
22. NHAI/Policy Guidelines/Tack Coat/2017

No.13.22/2017,
Deletion of Tack Coat on Primed Granular Surface
Dated 13.07.2017
(Under sub category Use of Bitumen)
23 MoRTH Circular No. RW/NH-33044/18/2020-S&R (P&B)
Use of New/alternative Material and Technology in construction of Highways
Dated 14.12.2020
*(Under sub category of New Material/ Technology
24 Miscellaneous Guidelines (18.36 / 2019)
- Use of Waste Plastic obtained through Dry Process outlined in IRC:SP:98-2013 in Hot
Bituminous Mixes
-Dated 28.07.2017.
(Included under sub category of use of waste plastic in roads)
25 Miscellaneous Guidelines (18.40 / 2020)
-Amendment to policy Guidelines no.18.36 / 2019 dated 12.09.2019 on use of Waste Plastic
obtained through Dry Process outlined in IRC:SP:98-2013 in Hot Bituminous Mixes
-Dated 21.04.2020.
(Merged with SNo.24 under sub category of Use of waste plastic in roads)
 Sl. No. 1,4,5,6,7,9,11,12,13,15,16,18,19,20 (14Nos.) have been weeded out.

 Sl. No.2 has been included in category of Quality assurance.
 S No. 24, 25 included and merged to this category of TIC from earlier category of
‘Miscellaneous’.
 Remaining Sl. No. 3,8,10, 14, 17, 21 22 and 23 (8 Nos.) are included in this master circular.
 All the above circulars issued so for shall be retained and available in the archive in the
NHAI library for reference.
Chapter: 14. Access Permission

Sub: The guidelines/norms for Grant of Access Permission:
(i) to Fuel Stations, Wayside Amenities, connecting roads, Other Properties, Rest Area
Complexes & such other facilities
(ii) for Construction of Flyover/Underpass/Foot over Bridge/Canal Crossing proposed

by State Govt. Agencies across National Highways
The guidelines/norms for Grant of permission for construction of access to Fuel Stations, Wayside
Amenities, connecting roads, Other Properties, Rest Area Complexes& such other facilities for
access permission issued vide MoRTH circular dated 26.06.2020 are to be followed (Annexure-1)
subject to relaxations granted by MoRTH letter dated 28.01.2021 (Annexure-2) to the extent as
below:
a. For the applications of access permissions submitted on online portal of MoRTH for the
retail outlets allotted by Petroleum companies, plots acquired by applicants in urban
areas as per earlier guidelines (prior to 26.06.2020) i.e. of 20mx20m, the NOCs may
be granted as per revised guidelines dated 26.06.2020 with relaxation for plot size of
20mx20m (instead of desired plot size of 30mx30m).
b. Processing fee may be waived off and access permission allowed for the cases where
due to change in National Highways configuration (widening, alignment change etc.),
the existing retail outlet locations have to be closed as the location becomes in
noncompliance with the access permission norms and the retail outlet owner/operator
is seeking permission for an alternate location complying with revised access
permission norms dated 26.06.2020.
c. In case of any conflict on ground needing any relaxation in MoRTH revised guidelines
dated 26.06.2020, the relaxation may be granted with the approval of Minister (RT&H).
2. Further as per letter dated 25.02.2020 from HO Division (Annexure-3), the physically
transferred applications from MoRTH for access permission may be allowed to be physically
disposed of by NHAI RO Offices with the condition that the cases requiring public comments should
mandatorily be put up on the online portal under the section “PUBLIC COMMENTS”. However, the
applications submitted post 06.01.2020 must be compulsorily processed through the online
application portal only.
3. The guidelines for Grant of permission for Construction of Flyover/Underpass/Foot over

Bridge/Canal Crossing proposed by State Govt. Agencies across National Highways as per policy
circular dated 04.01.2011 (Annexure-4) are to be followed subject to the relaxation granted as per
policy circular no. 14.12./2020 dated 03.11.2011 (Annexure-5) to the following extent:
‘The charges for Way Leave facilities/ easement rights for crossing of NH by SH/State roads shall
be waived off on reciprocal basis with State Government / State Government agency.’
4. The above guidelines are to be followed without any deviations.

Annexure-1
Guidelines for granting access permission for Fuel Stations, Wayside Amenities,
connecting roads, Other Properties, Rest Area Complexes & such other facilities
The Ministry had issued guidelines regarding Grant of permissions for construction of access to
various establishments situated along the National Highways e.g. Fuel Stations, Private Properties,
Rest Area Complexes and such other facilities vide circular No. RW /NH- 33023/ 19/ 99/ -DO-III
dated 24.07.2013 and its subsequent amendments from time to time with focus on enabling smooth
flow of traffic, minimum interference from vehicles entering the Right of Way of a National Highway,
safety of road users etc.
2. Considering the difficulties faced and the experience gained over the years, the above
mentioned Guidelines/ Norms have been revised, the details of which are separately enclosed
under (Grant of permissions for construction of access to Fuel Stations, Wayside amenities, Private
Properties, Rest Area Complexes, connecting roads & such other facilities).
3. These guidelines shall be followed without any deviations subject to relaxation granted as
per Annexure-2 & Annexure-3.
1. Reasons necessitating revision of the existing guidelines:-
i. Unlike developed countries, India has witnessed development of various kinds of

establishments just abutting the ROW of a National Highway, most often gaining access to
the Highways even before a National Highway is formally commissioned and opened to
traffic.
ii. Broadly speaking, there are two categories of establishments:-
a. Which already exist at such location at the time a road is notified as a National
Highway;
b. Those which come up subsequent to the notification of such road as a National
Highway and its development and commissioning/ its opening to the traffic.
Hence,the Ministry is constrained to treat the two sets of cases in different ways.
iii. 111. The Ministry of Road Transport & Highways has decided to take up development of all
new National Highways of the configuration of divided 4-lane carriageways and above as
access- controlled highways, wherever feasible, and all the green-field 4-Lane NH projects,
with facility of closed tolling where access to and exit from a National Highway is allowed
only at pre -determined points so as to ensure seamless movement of traffic, road safety
and that a road user pays toll only for the stretch used. Hence, it is important that the State
Governments/ other Infrastructure development agencies make provisions for Service
Roads connecting the two points at their own expense outside the Right Of Way (RoW) of
any such access controlled facility.
iv. There are certain Highways passing through built-up/ inhabited areas where it may or may
not be feasible to make provision for Service Roads along the NHs passing through
inhabited areas or open stretches depending upon the availability of RoW.
v. While it is the duty of the NH development authority to ensure that it duly provides for
features/ structures to seamlessly assimilate and decelerate the traffic of all connect
points at the time of development of the highway, the authority would find it difficult to
keep meeting such incremental requirements of any future growth unless any such access
to the highway is effectively regulated and controlled.
vi. Once the Highway is opened to traffic, it largely witnesses unrestricted ribbon development,
including instances of encroachments overthe Right of Way. As a result, these places
emerge as accident spots, also known as Black spots, compromising road safety. Typically,
the establishments coming up along the NHs can be broadly listed in the following
categories:
Sr. No. Nature/ Type of Establishment seeking Remarks on the Impact of any such establishment on the
access to National Highways Road Safety
a. A new urban or rural road/connectivity Any new road, be it a rural road or an urban
to the Highway connectivity,accounts for huge traffic both ways and
necessitates provisions for merging or diverging of such
traffic with the highway traffic, failing which it is bound to
emerge as a Black Spot. Quiet often, it may require
provision for a service road or an overpass or underpass
or a fly over or a junction or inter-change for smooth
movementand merger or demerger of the traffic generated
from such connecting artery. Since this is a development
after the development of the Highway, the agency (for
which such a connectivity is required to be provided) is
obliged to make provision for the same at its own
cost.
b. Urban Townships/ Colonies/ Industrial Account for generation of High Volume of traffic
Townships/Parks/ Estates emanating from and to such townships and covered
under (a) above.
C. Educational The nature of these establishments, with huge footfalls,
Institutions/Hospitals/Shopping is bound to generate a lot of traffic, especially of
Malls/ Commercial Establishments vulnerable groups (e.g. young students/ patients) gaining
set-up by the Public Or Private access to andfrom the National Highway creating
Sector situations identical to the one mentioned under Sr. No.(a)
above
d. Way-side amenities, Fuel Retail Involves generation of High traffic Volumes for entry and
Outlets -Petrol/Diesel/Gas/Charging exit.
Stations for EVs/ Hotels/Restaurants
etc.
e. Individual/Stand-alone Industrial Generate moderate traffic depending upon the nature of
Establishments Industry
f. Small Retailshops/Individual Generally generate very moderate to low traffic.
Houses/Residences/ Agri-farms etc.
Revised Guidelines:
2.1 Given the above background and context, it became necessary to review the existing
guidelines on the subject and issue revised guidelines. Accordingly, in exercise of the
powers vested in the Central Government under Sections 28 and 29 of The Control of
National Highways {Land and Traffic) Act, 2002 and the Highway Administration Rules,
2004 and its amendments notified thereunder from time to time, the Central Government
hereby notifies the revised guidelines on the subject in supersession of the guidelines in
forcehereinbefore.
2.2 The power to Grant of permissions for construction of access to the National Highways rest
with the Highway Administration as per The Control of National Highways (Land and Traffic)
Act, 2002. The establishment of Highway Administration is being notified separately. The
same, as amended from time to time, shall be followed for the purpose of these guidelines.
All such access permissions to the National Highways are to be granted under sections 28
and 29 (Chapter IV) and section 38 (Chapter VI) of The Control of National Highways (land
& Traffic) Act, 2002 by the concerned Highways Administration/ Administrators notified by
the Central Government as per the Guidelines and instructions issued by the Central
Government under sub-section (2) of Section 28 of The Control of National Highways (Land
& Traffic) Act, 2002.
2.3 The persons or entities requiring and applying for access to a National Highway, shall
submit a self-certified proposal for obtaining access permission to the concerned Authority,
to whom such Highway is entrusted, (i.e. The project Director of the National Highways
Authority of India/General manager or Deputy General Manager of the National Highway
Infrastructural Development Corporation Limited / Executive Engineer of the National
Highway Wing of the State Public Work Departments) and shall be responsible for
preparation of drawings/ layouts of the proposed locations/ nearby details and other features
of the establishment (i.e. Fuel Stations/ Private Properties Rest Area Complexes and such
other facilities) in conformity with the norms prescribed under these guidelines . The term
"Fuel Station" shall include Petroleum & Diesel Retail Outlets, CNG/ Gas Retail Outlets,
Electrical Vehicle (EV) Charging Stations, bio fuel pumps etc. The Oil/ Gas Companies/
Applicants/ Property Owners may, if so required by them, engage any consultant/ architect
for preparation oflayout drawings. The authorized representative of the Oil/ Gas company/
applicant/ owner of the property shall remain responsible at all times for correctness of the
documents submitted with the proposal and execution of the work as per the approved
drawings, including its video recordings (before & after completion of the construction work).
In case the execution of the access is not carried out as per the prescribed norms, the fuel
station shall be de- energized and access of fuel station/ property shall also be
disconnected.
2.4 On breach of any of the conditions imposed by the Highway Administration, the officer
authorized by such Administration on its behalf may terminate the lease or license, as the
case may be. However, before any such action is taken, a notice shall be issued to the
concerned person describing the specific violation/ non-compliance of such condition(s),
giving him an opportunity to rectify the same within a reasonable time, not exceeding 60
days from the date of issue of such notice. In cases where the rectification entails a longer
time, permission for the period exceeding 60 days may be granted by the next higher
authority. However, the access shall remain suspended during the period exceeding 60
days. In cases where the person/ entity concerned does not respond to the notice issued
by or on behalf of the Highway Administration, the access permission may be withdrawn on
completion of 60 days without any further notice and the access disconnected by whatever
means deemed appropriate by the concerned Highway Administrator. Further the district
authority shall also be requested to withdrawn the permission granted by them for operation
of such retail outlets. Re-grant of access permission in such cases shall entail payment of
the applicable License fee and the processing fee.
2.5.1 After payment of the fee prescribed for processing the application and the fee for
Provisional permission, the application will be processed in the 'online' system
only, subject to submission of complete set of documents to the proposing
Authority, to whom such Highway is entrusted (i.e. The project Director of the
National Highways Authority of India/General manager or Deputy General
Manager of the National Highway Infrastructural Development Corporation
Limited/ Executive Engineer of the National Highway Wing of the State Public
Work Departments) . List of documents to be submitted for getting approval for
installation of new Fuel Station/ Way-side Amenity/ Establishment along National
Highways is at Ann ex-I to Appendix-I & List of documents to be submitted for
permission for new access to property along National Highways is at Annex-II to
Appendix-II. On receipt of application in the on-line mode, the proposing authority
examine/check the application/proposal thoroughly and if at first hand any further
documents/clarification is required same shall be sought from the applicant within
30 days time after receiving the application.
2.5.2 The officer concerned of the proposing Authority, shall examine the documents
either inspect the site himself or cause the same to be inspected by any of his
subordinate officers, assess the suitability of the proposal, take the photographs,
prepare his recommendations and forward the same on-line to the Highway
Administration (i.e Regional Officer of the Ministry of Road Transport & Highways
and the Regional Officer of the National Highways Authority of India and
Executive Director of the National Highway Infrastructural Development
Corporation Limited) within a maximum period of 30 days. The Highway
Administration may seek comments of Proposing Authority within 15 days of
receipt of proposal/ recommendation of the online application and the time-line
for submission of comments by Proposing Authority shall be 15 days from the
date of receipt of the communication from the Highway Administration. The
Highway Administration shall issue provisional permission or reject the
application within 15 days after the receipt of comments of the Field Officers. The
entire process shall be 'Online' only and it shall be completed excluding timeline
for submission of clarification in response to the Authority's comments, within 45
days in any case. This provisional permission for access should not be used for
any other purpose including for changing the land use pattern. The Fuel Station
shall not be energized during this intervening period of provisional permission and
the grant of regular access permission. For the purpose of Access permission the
proposing authority and Competent Authority shall be as under:
Regional Officer of the

Project Director of the NHAI/ General Manageror
Ministry/ NHAI
Section Functionsand Deputy GM of the NHIDCU Executive
/Executive Director of
of the Act Responsibilities Engineer of The National Highway Wing of the
NHICL , as per the
State PWD in respect of the irrespective
irrespective territorial
territorial jurisdictions
jurisdictions
Grant of Right to Access
28 to the Highway Proposing Authority Competent Authority
2.5.3 For defence infrastructure etc. or other important critical and strategic
infrastructure, their permission shall be granted by DG (RD) &SS/MD
(NHIDCL)/Chairman (NHAI) as the case may be.
2.6 The Oil/ Gas Company/ Owner of the property may construct or develop the Fuel Station/
Private Property along with its access as per approved drawings at their own cost within
12 months from the date of issue of Provisional permission for access. After construction/
development of the retail outlet/ private establishment as per approved drawings, the
applicant may apply on-line for issue of the final permission for access. The Highway
Administration may within 7 days of receipt of the application, seek the comments of
Proposing Authority about the completion/ construction of the retail outlet/ private property
as per approved drawings and the Fie l d Officers shall forward their comments to Highway
Administration within 30 days from the date of receipt of such communication. The final
approval shall be granted by the authorised Highway Administration within 15 days of
the receipt of comments from the Proposing Authority confirming the satisfactory completion
of construction of the retail outlet/ private property as per approved drawings and
License Deed may be signed by the Competent Authority (i.e. Highway Administration) .
Regional Officer of the Ministry/ NHAI/ HIDCL may grant 1 Year time extension to the validity
of provisional permission for access based on justifications for delay submitted by applicant.
2.7 The Highway Administration reserves the right to carry out inspection at all times for
checking any deviations from the prescribed/approved norms after signing of the License
Dee d. Wherever any default/ deviation is observed during inspection of the Highway or
otherwise by the field level, such officer shall point out such default/ deviation to the
concerned party, advising/ instructing him to rectify such deviation/ default within a period
of 60 days. Failure to rectify the identified deficiencies within the prescribed time would lead
to de-energization of the fuel station by the concerned Oil Company and access of such
fuel station/ property to the Highway shall be cut-off. The access would be restored only
upon complete rectification at the cost of the defaulting party and on the authorization
by the authorised Highway Administration. In such cases, appropriate action shall also be
taken against the Proposing Authority who certified the completion of access as per
approved drawings.
2.8 The Highway Administration will maintain a register of Fuel Stations, Private Properties,
Rest Area Complexes and such other facilities , for which access permissions have been
granted. This will also be regularly updated on the website by the Highway Administrator
concerned.
2.9 In the case of existing fuel stations/ private properties, for which approval was earlier
obtained from the District administration/ State Government and the retail outlet/ private
property was constructed on the road before its declaration as NH, renewal of the access
permission may be obtained from the concerned Highway Administrator by simply
depositing the processing fee only, subject to the condition that to ensure road safety for
the users, applicant will construct acceleration lane and Deacceleration lane (only in rural
area) for getting access to the proposed outlet depending on the availability of ROW.
2.10 In case there is a proposal under consideration/ implementation for capacity augmentation
(i.e. widening to 4 or more lanes etc.) of a newly declared National Highway, the applicant
shall be required to submit a fresh proposal meeting the requirements keeping in view the
proposed improvement.
2.11 License Fee, Processing Fee and Penalties
The details of the license fee/ processing fee/ penalty for unauthorized access or abuse of
the permission granted for different types/ categories of access permissions shall be as
under:
Sr.No. Subject Amount Remarks/Conditions

A. Way-side amenities, Fuel Retail Outlets• Petrol/ Diesel/ Gas/ Charging Stations for EVs/
Biofuel Pumps etc.
i. Non-refundable Processing Rs. 10, 000/-
Fee per
Application (to be deposited

along with the Application)
ii. Grant of provisional Rs. 20,000/- The provisional approval shall be valid for a
approval permission period of one year, which may further be
subject to the application being extendable by one more year. However, the
found in order/ conforming to owner/ promoter o1 such facility shall not put
the prescribed specifications. it to commercial operations and release
(non refundable) traffic on the NH until the provisional
approval is converted intofinal access
permission.
iii. Bank Guarantee towards Rs. Valid for a period of three years. The BG
successful completion of 2,50,000/- shall be released by the Highway
access as per the prescribed Administrator within 30 days of the grant of
norms/ specifications before regular access permission. In case the
final approval is obtained. access construction is not completed even
within the extended period, the Highway
Administration mayencashthe Bank

Guarantee.
iv. One-time License fee for Rs. Access permission would be renewable
Access permission for a Fuel 2,50,000/- after 15 years on payment of processing fee
Station/ Way- side Amenity only.
(with or without Rest
areas)
V. Penalty for operating energized Rs. The access permission shall be granted
fuel stations/ commercial 2,50,000/- only upon payment of the License Fee,
operations of a Way-side Processing Fee and the Penalty Amount.
amenity, which fulfil the
prescribed norms, without
obtaining prior permission for
grant of access
from the Highway

Administrator.
vi. In case the Fuel Station/ Way- Rs. 10,000/- i. Requisite permission documents
side amenity is existing on a shall be submitted and only the processing
road developed earlier but Processing fee of Rs. 10,000/- shall be charged subject
which has been newly Fee to the condition that it fulfils the prescribed
notifiedas a National Highway access conditions;
and approval for access to ii. However, if the existing access
such road was earlier obtained facility is found deficient, the owner will
from the competent Authority have to modify/ make the access facility
in the State/ UT conform to the prescribed Standards within
12 months subject to availabilityof land.
vii. In case the Fuel Station/ Way- Rs. 10,000/- The owner of the facility shall have to apply
side amenity/ property is for access permission as if it is a fresh case
existing on a road developed towards and conform to the access standards as
earlier but which has been processing prescribed. Further, the owner shall have to
newly notified as a National fee and take the requisite action (i.e. apply for
Highway without any access access permission) within a period of one
permission from the competent Rs 20,000/- year of the Notification of such road as a
authority of the State/ UT for NH, failing which the access shall be
concerned. provisional disconnected.
approval and
Rs.
2,50,000/- as
License fee
+Rs.
2,50,000/-
as penalty.
viii. Renewal of Access Permission Rs. 10,000/- Only the Processing fees will be paid.
for a Retail Outlet/ Way-side However, any violations made during the
Amenity intervening period since grant of access
earlier granted will have to be necessarily
rectified.
B. PrivateProperties/OtherEstablishments(other thanFuelStation)
i. Individual Residential -Nil- Subject to the condition that any such
properties/small individual shops/ establishment shall access any divided
agricultural farms in Open carriage way of 4-lane or higher configuration
Stretches in Rural or theUrban only through a service/ slip road. In case of two
areas lane, access would be through acceleration
and de –acceleration lane. Wherever such
access is without a service road, accelerationI
de-accelerationlane, the same will be
disconnected.
ii. Bank Guarantee towards Rs.2,50,000/- Valid for a period of three years. The BG shall be
successful completion of access released by the Highway Administrator within
as per the prescribed norms/ 30 days of the grant of regular access
specifications before final permission. Incase the access construction is
approval is obtained. not completed even within the extended period,
the Highway
Administration may encash the Bank

Guarantee.
iii. A residential Rs.10,000/- i. The Accessto a National Highway of
Colony/Sector/Multi- divided carriageway of 4-lane or higher
Storeyed Apartments developed Towards configuration shall be only through a
by Service/ Slip Road. In case of two lane,
Government/Society/Private processing fee access would be through acceleration and
developers. And de-acceleration lane. In case the available
RoW is available for construction of the
iv. Institutions/ establishments such Rs20,000/- for
Service Road, the Project executing agency
as Hospitals, Educational provisional
shall construct the service road for the
Institutions, Hotels, Restaurants approval and
purpose as a deposit work (including any
etc. developed By any
variation and revision of cost till the
Society/ Private developers or Rs. 2,50,000/-as
completion of work). Incase the RoWis not
promoters
available for provision/ development of a
/ government or License fee
Service Road, the applicant shall have to
Government agency.
make provision for such service road from
V. Individual Industrial Units/ out of its own land and construct such
Establishments
service road for safe connectivity to the

Highway as per the prescribed standards.
ii. In cases where Highway stands
Developed and the establishments requiring

access to the Highway come up after the
CoD of such Highway, and the traffic
generated from these establishments
necessitates provision for a vehicular
underpass/Flyover/Junction/ interchange/in the
interest of road safety, the applicant will have
to bear the cost of development of such
facility including the cost of land
required/acquired for the purpose.
iii. Wherever such a facility

(VUP/Flyover/Junction/ Interchange/)
is liable to be used by more than one
establishments, present or in future ,
the applicant seeking access to the
NH shall have to bear the expenditure
equally incurred in development of
such afacility.
vi. Industrial Parks/Estates/ Logistics Rs.10,000/- The Applicant will have to bear 100%of the
cost of development of the facility of a
VUP/Flyover
Centres/Marketing Yards towards /Junction / Inter-change/on the Highway. The
developed by the State/para- decision as
statal agencies or processing fee
and to the kind/nature of facility required
Private promoters, which
necessitates provision of a facility Rs20,000/-for At such connecting point shall rest with the
of
VUP/ Flyover/ Junction/ Provisiona Highway Project Authority.
Interchange on the National l approval
Highway. and
Rs. 2,50,000/- as
License fee
vii. A new road connecting to the Rs.10,000/- The Authority, government or private,
Highway which necessitates developing such a connecting road will have to
provision of a facility of towardsproc bear 100%of the cost of development of facility
Interchange/VUP or flyover on the essing fee of aVUP/flyover/junction / interchanges. The
NH whether developed by the and decision as to the kind/ nature of facility
State/UT or aprivateentity required at such connecting point shall rest
Rs 20,000/-for with the Highway Project Authority.
provisional
approval and
Rs.2,50,000/-as
License fee
Notes i. The License fee and penalties as mentioned above shall be applicable for the Calendar Year
2020 as the Base Year. The same shall be increased @ 5% every subsequent Calendar year.
ii. Construction of a Service Road, wherever required to be developed by the applicant within
the ROW of a NH, can be either done as a Deposit work through the Project Development
Authority or by the applicantagency in accordance with the design and standards prescribed by
the Authorityin this behalf. No Departmental charges will be levied by the Project Authority
for the purpose however the supervision charge as applicable shall be levied.
iii. Similarly, development of a facility of VUP/ Flyover/ Junction/ Interchange, wherever
required, canbe taken up by the Applicant himself as per the prescribed standards and
drawings or got donethrough the Project Development Authority as a Deposit work. No
Departmental charges will belevied by the Project Authority for the purpose however the
supervision charge as applicable shall be levied.
2.12 The owner/management of fuel stations/ other properties is not bound to get the acceleration/
deceleration lanes, including other ancillary appurtenances, constructed through the
Highway Authority (viz . NHAI, NH IDCL, concerned State PWD/ RCD as the case may be)
or the contractor/ concessionaire for the project in the particular stretch of National
Highways. It shall be the prerogative of the owner/ management of fuel stations/ other
properties to construct the acceleration/ deceleration lanes, including other ancillary
appurtenances, either through the Highway Authority/ concerned concessionaire/ contractor
in the project section at the cost of the owner/management of fuel stations/ other properties
or by himself/ by themselves through any other agency, subject to the same conforming to
the standards prescribed by the Authority.
2.13 The access roads including acceleration/ deceleration lanes shall be constructed within
available ROW of the National Highways. However, in case of non -availability of adequate
ROW for construction of these facilities, owner/ management of fuel stations/ other
properties shall acquire the required additional land at their cost for construction of such
facilities. Similarly, access for/ egress to the facility (primarily for cluster, etc.) may be
provided from the Service road which has been developed already; however , service road
of required length shall have to be constructed by the owner/ management of fuel stations/
other properties at their cost in case the same has not been constructed but is required for
providing access to such properties; additional land acquisition required for construction of
service road beyond available ROW of Hin such cases shall have to be done by the owner/
management of fuel stations/ other properties at their cost
2.14 Proposals in stretches under BOT/ HAM/ TOT Concessions: -
(i) In case of access permissions/ approvals on stretches of National Highway, which are under
any BOT/ HAM/ OMT/ TOT concession agreement, the concerned proposal Processing Authority
(i.e. Proposing Authority) shall invariably consult the concerned Concessionaire before
recommending the proposal to the Competent Authority.
(ii ). On receipt of on1ine application from the highway administration, the proposal Processing
officer shall forward copies of such application (preferably the soft copies) to the concerned
Concessionaire and the IE to submit their comments within 15 days of receipt of such applications.
2.15 In case of Expressway and access controlled Highways above guidelines of access
permission will not be applicable. In such cases no access permission shall be given and
access shall only be given at pre decided location as provided in the design of Expressway
and access controlled Highways with proper access/service road.
2.16. Norms as stipulated in Appendix-I shall be applicable for retail outlets and those stipulated
in Appendix-II shall be applicable for all other private properties/ establishments.
APPENDIX- I
Norms for Location, Layout and Access to Fuel Stations along National Highways
1.1 The term "Fuel Station" shall include Petroleum Retail Outlets, C G/ Gas Retail Outlets,
Electrical Vehicle (EV) Charging Stations, bio fuel pumps, wayside amenities etc.
1.2 When the cross slope of the country is more than 25%, the terrain shall be classified as hilly
or mountainous terrain. Where National Highway passes through a town of population of
20,000 and more (census 2011 will apply), the stretch shall be categorized as urban
stretches.
2.1 Norms on Existing Service Road/ Slip road
Irrespective of the terrain, no norm shall be applicable if the retail outlet is proposed on the existing
service roads/ slip road. However, permission for retail outlet proposed on the existing service
roads/ slip roads needs to be obtained from Highway Administration to regulate other requirements
such as drainage facilities, plot size, drinking water, toilet facilities, signs, markings etc.
However, no access permission shall be granted for establishment of a retail outlet on the entry/
exit ramp of service/ slip road.
2.2 Location Norms on Rural stretches of National Highways
Sr.No. Items Normsapplicable

1. Acceleration/Deceleration lane Need to construct 100m acceleration lane and
70m deceleration lane
2. Distance of any Intersection with any category 300m
of road and median gap
3. Anybarrier including that of Toll Plaza and 1000m
Railway Level Crossing
4. Distance from the Start of approach road of 200 m
Road Over Bridge (ROB)
5. Start of approach road of Grade 300m
Separator/flyover
6. Distance between two fuel stations Undivided carriage way- 300m
•DividedCarriageway-100Om•
*including deceleration and acceleration
lanes
However, this restriction shall not apply in
case access/ egress for all such fuel stations
are provided through common service road
o17.0m width and not directly to NH.
Further, access for fuel stations at closer
proximity than above distance may be
allowed provided entry/ exit for both the
Fuel Stations are provided through service
road of 7.0m width having sufficient length;
further, additional length of such service road
shall be constructed at the cost of the latter
fuel station owner/ company seeking grant of
permission for access for the facility.
2.3 Location Norms for Urban/ Mountainous stretches of National Highways
Sr.No. Items Norms applicable

1. Acceleration/ Deceleration lane The deceleration and acceleration lanes may be dispensed
with for the fuel station located along urban roads and roads
in hilly and mountainous terrain.
2. Intersection with any category of road 100m

and median Gap
3. Any barrier including that of Toll Plaza 1000m
and Railway Level Crossinq
4. Start of approach road of Road Over 200m
bridqe(ROB)
5. Start of approach road of Grade 300m
Separator/flvover
6. Distance between two fuel stations 300m*-For both divided and undivided carriageway
*(including deceleration and acceleration lanes).
However, this restriction shall not apply in case access/
egress forall such fuel stations are provided through
common service road o7.Om width and not directly to NH.
Further, access for fuel stationsat closer proximity than
300m may be allowed provided entry/ exit for both the Fuel
Stations are provided through service road of 7.Om width
having sufficient length; further, additional length of
such service road shall be constructed at the cost of the
latter fuel station owner/company seeking grant of
permission for access for the
facility.
Notes: a. All the dimensions are to be measured from the boundary of the Fuel Station
b. In case of distance from intersection with any category of road,the roads means paved
carriageway (Bituminous/ concrete/ Interlocking Concrete block) of 3.0m width and having
length of Minimum 300m and above irrespective of the category of road.
C.The minimum distance between two fuel stations on both sides of the highway is applicable
for undivided carriageway. In case of divided carriageway, with no gap in medians, the
distance restriction is for same side and is not applicable on the opposite side of the fuel
Station. However,access for fuel stations at closer proximity may be allowed provided entry/
exit for both the Fuel Stations are provided through service road of sufficient length; further,
additional length of such service road shallbe constructed at the cost of the latter fuel station
owner/company seeking gran1 of permission for access for the facility.
d. Distance between the Fuel Station and the structural barrier (i.e. toll plaza, railway level
crossing, check barrier etc.) shall not apply if such barriers are located on serviceroad only
and are separated from the main carriageway.
e. The gap in the Central Median shall be treated as Intersection.
3.0 General Conditions of Siting
(i) Rest areas should have various amenities for users e.g. fuel stations , places for parking,
toilets, restaurants , rest room, kiosks for selling sundry items, bathing facilities, repair
facilities, creche etc. These aspects should be incorporated while planning for
improvement and up-gradation of highways and/or planning for new fuel stations along
the highways. The rest area complex may be planned subject to their commercial
viability.
(ii) It should be ensured that the location of the proposed fuel station does not interfere with
future improvements of the highway and the nearby intersections/ junctions.
(iii) The fuel stations would be located where the highway alignment and profile are
favourable,
i.e. where the grounds are practically level, there are no sharp curves not less than
those specified for minimum design speed or steep grades (more than 5%) and where
sight distances would be adequate for safe traffic operations. The location should not
interfere with the placement and proper functioning of highways signs, signals, lighting
or other devices that may affect traffic operation.
(iv) If two or more fuel stations are to be sited in close proximity for some reasons these
would be grouped together to have a common access through a service road of 7.0m
width and connected to the highway through acceleration, deceleration lanes. Any
objection from the existing fuel station owner against granting of access permission from
NH for the proposed new fuel station are to be over ruled and access to all fuel stations
in case of clustering, shall invariably be from the service road only. Wherever longer
service road exists, which may itself act as deceleration/ acceleration lane, no separate
deceleration/ acceleration lane is required. New entrant would be responsible for
construction and maintenance of the common service road, deceleration & acceleration
lanes, drainage and traffic control device. Wherever available ROW is inadequate to
accommodate such service roads, deceleration/ acceleration lanes etc., the additional
land by the side of ROW to accommodate such service roads shall be acquired by the
new entrant Oil Company.
4.0 Plot size for Fuel Station:
(i) The minimum size and shape of the plot for fuel station should primarily be laid down by the
Company/ Establishment concerned, for which they would need to consider suitable
accommodation of all the facilities e.g. fuel pumps, offices, stories, compressor room, air pump and
kiosks etc. The Highway Administration steps in primarily keeping in view that no hindrance is
caused to the movement of vehicles of expected maximum dimensions, within the fuel station and
in the access area. Sufficient space would need to be available to accommodate the number of fuel
pumps to cater to the expected number of vehicles in peak time at this location so that the vehicles
do not spill over to the access area. The air pump and kiosks for pollution control measurements
be installed at some distance from the fuel pumps so that the vehicles requiring these services do
not cause hindrance to the free movement of vehicles entering or exiting the fuel station.
(ii) Keeping the above considerations in view , the minimum size of the plot for a fuel station along
National Highways shall be as follows:-
Frontag Depth
Sr.No. e (In
(In Metre}
Metre}
(i) On Rural stretches in plain and rolling 35 35
terrain
(i) On Urban stretches in plain and rolling 30 30
terrain
(iii) In hilly and mountainous 20 20
terrain
Note: The proposedplot of new fuel stations should be such that the minimum frontage is achieved
within the minimum total area as stipulated above.
(iii) For fuel station being part of the rest area complex, the area required for other facilities such as
parking, restaurant, rest rooms, toilets, kiosks for selling sundry items, bathing facilities, repair
facilities, shops etc. would be extra but there would be a single access/ egress.
5.0 Access for new fuel station along divided/ undivided carriageway sections
(i) The access to fuel station along divided/ un-divided carriageway for rural stretch of National
Highways shall be through acceleration and deceleration lane. The acceleration anddeceleration
lane may be dispensed with for urban/ hilly and mountainous roads.
(ii) The deceleration lane would take-off from the edge of the paved shoulder taken up to the edge
of the Right of Way (ROW) of National Highway, beyond which, the boundary of fuel station shall
start. Its minimum length would be 70 m measured along the travel direction of highway. Its width
would be minimum 5.Sm. The shoulder of 2.25 m would be provided towards the outer side of the
access/ egress (i.e. on the side farthest from the carriageway) for this deceleration lane.
(iii)The acceleration lane would take -off from the edge of the fuel station on exit side having
minimum length of 100 m. Its width would be minimum 5.5m. Its starting stretch of 70 m length
would be with a curvature of minimum radius of 650m and the remaining 30m length would be
tapered so as to facilitate vehicles coming out of fuel station, merging with fast moving through
traffic on main carriageway, in a safe and efficient manner. Wherever, available ROW is inadequate
to accommodate the service roads and/ or deceleration / acceleration lanes in plain and rolling
terrain of non-urban stretches, the additional marginal land by the side of ROW to accommodate
the deceleration/ acceleration lanes shall be acquired by the owner of the fuel station. In cases of
widening to 4/6 lanes in near future, the matter shall be dealt on case-to -case basis.
(iv) A separator island would be provided in front of the fuel station. The length of this separator
island would be determined on the basis of the intersecting points of the edge line of the separator
island with the line drawn along the edge of chevron marking, as indicated in Figures 1 and 2 for
undivided carriageway and Figure 3 and 4 for divided carriageway, of these norms . Its shape for
isolated fuel station would be as shown in Figure 1/ Figure 3 and that for the cluster of fuel stations
with common service roads, as shown in Figure 2/ Figure4 It would have minimum width of 3m. The
width of approaches connecting deceleration and acceleration lanes, along the separator island
should be 5.5m.
(v) There would be buffer strip from the edge of the ROW and would extend minimum 3m inside
the fuel station plot. Its minimum length would be 12 m. In Urban/ hilly or mountainous areas,
minimum length of buffer strip may be reduced to Sm keeping minimum width of opening at entry
and exit to 7.5 m. No structure or hoarding except the approved standard identification sign on pole,
would be permitted inside the buffer strip. The buffer strip as well as the separator island should be
provided with kerb of minimum 275 mm height to prevent vehicles from crossing it or using it for
parking purposes. The buffer strip in the approach zone should be suitably shaped or cover extra
area in the approach zone after provision of acceleration, deceleration lane and connecting
approaches and should be properly turfed for aesthetic landscaping.
(vi) The radius for turning curves would be 13 m and that for non-turning curves should be from1.5
to 3 m, so as to check over speeding while entering or exiting the fuel station. Wherever, available
ROW is inadequate, the additional marginal land by the side of ROW shall be acquired by the owner
of fuel station to provide prescribed turning radius.
(vii)The pavement of the access roads including deceleration, acceleration lanes and connecting
approaches would have sufficient design strength for the expected service lane traffic. It would have
minimum pavement composition of 150 mm thick Granular Sub Base (GSB) overlaid by three layers
of Water Bound Macadam (WBM) (other than WBM-Grading No. 1), each of 75 mm thickness,
topped by 50 mm thick Bituminous Macadam (BM) and 30 mm thick Bituminous Carpet (BC).
Interlocking Concrete Blocks as per lRC:SP:63 can also be considered.
(viii) The typical access layout for the new fuel station with relevant details for deceleration/
acceleration lanes connecting approaches, separator Island buffer strip, drainage, signs and
marking on carriageway sections of National Highways would be as shown in Figure 1/Figure 3 of
these norms.
(ix) The typical access layout for cluster of fuel stations, with details for deceleration lane, service
road and acceleration lane etc. would be as shown in Figure 2/ Figure 4 of these Norms.
(x) The typical layout for fuel stations and signs and markings along National Highways in
Hilly/Mountainous/Urban stretches is given in Figure 5.
6.0 Drainage
There shall be adequate drainage system on the access to the fuel station and inside its area so as
to ensure that surface water does not flow over the highway or any water logging takes place. For
this purpose, the fuel station and access area would be at least 300 mm below the level at the edge
of the shoulder on the highway. The surface water from fuel station/ facility and access road would
need to be collected in a suitable underground drainage system (e.g. slab culvert with iron grating
of adequate strength constructed in the approaches or any other method as per satisfaction of
Highway Administration so as to ensure that surface water from fuel station/ facility does not flow
on the highway) and led away to a natural course/ outfall sewer through culvert or led away to a
water-recharging system specifically constructed by the owner/ management of the fuel station/
facility in case lined drains of sufficient length upto a natural course/ outfall sewer are not available.
The applicant has to prepare separate detailed drawings indicating the drainage arrangements and
to be submitted along with the application for permission.
7.0 Enforcement of Right of Way and Building Line
While planning the layout for various facilities inside the fuel stations/ establishments, it has to be
ensured that fuel pumps are located beyond the building lines as prescribed in IRC:73, 'Geometric
Design Standard for Rural ( on-Urban) Highways' or (as notified by the State Government
concerned) or 1Orn away from ROW boundary whichever is less. The fuel station office building
etc. shall be located at a safe distance as prescribed by the Fire Department or other authorities.
The buffer strip would extend minimum 3m inside the fuel station plot, beyond the available ROW.
The future widening of the Highway shall also be kept in view while setting up and preparing the
layout plan of the proposed fuel station. The owner of the fuel station shall acquire additional land,
if required, to accommodate access/ egress roads for fuel station, service roads, acceleration/
deceleration lanes, etc.
8.0 System for Signages and Markings
i. An adequate system for signs and marking would be provided at the locations of fuel stations
for the guidance of the highway users. The pavement markings would be in the form of
chevron at entry and exit locations, give way for the exit from the fuel station. Information
signs for fuel station would be provided at 1km ahead, S00m ahead and at the entry point
within the NH ROW.
ii. On undivided carriageway, additional signs for the regulation of entry and exit of the
vehicular trafficshould be provided on the separator island. Also, an informatory sign should
be installed showing the distance of the nearest Fuel station located in the direction of travel
in order to avoid any need for right turnings for accessing the Fuel Station located on the
opposite side. This sign should be installed at a location of about 200 m ahead of the
opposite side fuel station within the NH ROW.
iii. The pavement markings shallconform to lRC:35, 'Code of Practice for Road Markings' and
the Road Sign to IRC:67, 'Code of Practice for Road Sign's and IRC:SP:55, 'Guidelines on
Safety in Road Construction Zones'.
iv. These should be as per Section 801 and 803 of Ministry's Specifications for Road and Bridge
Works, as updated from time to time.
v. The system for signs and markings with their type and locations would be as shown in Figure
1,2,3,4 & 5 for the chosen access layout.
9.0 License Deed
i. A License Deed would be required to be signed between the Oil Company wanting to install
the Fuel Station (Licensee) and Government of India through their designated officers
(Highway Administration). The specimen copy of the license deed is enclosed at Annexure-
111 to Appendix-I.
ii. The license deed would bedrawn on a non-judicial stamp paper and all expenses in this
regard be borne by the licensee.
iii. The validity of the license for the use of National Highway land for access to fuel station
would be for a period of fifteen years and on the expiry of lease after which the same would
be required to be renewed which could be for a similar period. During this validity period,
the owner shall maintain in good condition the deceleration / acceleration lanes, service
roads (free from any potholes/patches), toilet & drinking water facilities, drainage
arrangement (clean conditions to allow full discharge of storm water), signs and markings
(existing at identified location with clear required visibility).
10.0 Payment
The payment of fee etc. would be payable by the licensee to the Highway Administration in
consideration of this Agreement forthe access for which the license is issued. There would be no
need to register the license deed. This fee would be paid on-line in favor of the concerned Pay
& Accounts Officer of the Minis try of Road Transport and Highways and would be credited to the
Major Head 1054 (Revenue Receipt Head). The license deed shall be executed only after the online
payment has been remitted in the concerned P&AO office and successfully realized in the
Consolidated Fund of India.
11.0 Responsibilities of Oil Companies/Owners
i. The Ministry of Petroleum and Natural Gas/ Oil/ Gas companies, while entertaining any
application for the installation of a Fuel Station, would supply a copy of these norms to the
applicant so that he may assess his position to fulfil the requirements of these Norms.
Ministry of Petroleum and Natural Gas/ Oil & Gas Companies would ensure that the plot
identified by the applicant conforms to the requirements of these norms in terms of its
location, access layout and signs and markings. It shall also be the responsibility of the
applicant/ owner of Fuel Station to provide the prescribed lay out for access as given in
Fig.1/2/3/4/5, as the case may be, while preparing the layout.
ii. After obtaining provisional permission for access, Oil Companies/ Owners shall be
responsible for the construction and maintenance of deceleration/ acceleration lanes,
service roads, channelizers, drainage arrangement, drinking water and toilet facilities, signs
and markings in accordance with the approved layout and specifications conforming to these
norms, at his own cost. The drinking water and toilet facilities shall be accessible to the
public round the clock. In order to inform the publicabout these, adisplay board showing
availability of such facilities shall be installed before the entry to the fuel station. On
completion of the construction in accordance with checklist and conforming to the approvals,
a Completion Certificate would be issued by the field unit of NHAI/ PWD/ BRO/ NHIDCL or
any other agency (as the case may be) for getting approval of Highway Administration. The
concerned Oil Company would be allowed to energize the fuel station only after the final
approval i.e License Deed signed by the Highway Administration.
iii. Inspections for determining the deviations from prescribed Norms shall be done at any time,
even after signing of the License Deed, by the Highway Administration. In cases of defaults/
deviations found during inspections by Highway Administration, each deficiency shall be
immediately rectified, which in no case should exceed 60 days from the date of inspection
and notification of such deficiencies to the owner. The failure to rectify the identified
deficiencies within the prescribed time would lead to de-energizing the fuel station by the
concerned Oil Company. The re-energizing would be done only on complete rectification
and on the authorization by Highway Administration. The action against the oil companies
shall also be taken if the rectification of the identified deficiencies has not been done within
the prescribed timeline even after reminders to the oil companies.
iv. Access permission allowed to owner/ management of fuel stations may in some cases lead
to substantial vehicular/ pedestrian traffic movements on the highway/ access so
constructed/allowed. In such cases there may arise a need to construct a cross -over facility
such as Underpass/ Overpass/ FOB/ Service lane etc. for ensuring road safety. The cost of
such cross-over facility etc. shall be borne by the owner/ management of fuel stations.
v. The owner/ management of fuel stations is not bound to get the acceleration/ deceleration
lanes including other ancillary appurtenances constructed through the highway authority or
the contractor/ concessionaire for the project in the particular stretch of National highways.
It shall be the prerogative of the owner/management of fuel stations to construct the
acceleration/ deceleration lanes including other ancillary appurtenances wither through the
concerned concessionaire/ contractor in the project section at the cost of the
owner/management of fuel stations or by themselves through any other agency.
vi. The access roads including acceleration/ deceleration lanes shall be constructed within the
available ROW of the National Highways. However, in case of non-availability of adequate
ROW for construction of these facilities, the owner/ management of fuel stations shall
acquire the required additional land at their cost for construction of such facilities.
vii. The toilet facility is to be provided as per the standard layout at figure 6 demarking separately
gents and ladies and duly equipped with lighting, water and requisite cleaning accessories
etc. The necessary alterations in the case of exist in g retail outlets may be done as felt
necessary in accordance with the standard layout. A separate access to all road users of
the National Highways with traffic signages of the availability of toilet facility along National
Highways may be provided and the toilets are kept open round the clock.
ANNEX-I
(To Appendix-I)
List of documents to be submitted for getting approval for installation of new Fuel Station/
Way-side Amenity/ Establishment along National Highways
1. Signed copy of license deed. The draft is at Annex III.

2. Certified copy of location plan of the Fuel Station along the National Highway showing
details of Right of Way (ROW) of National Highway, existing intersections and the
intersecting roads, including existing public roads and other developments, falling within a
reach of 1.1 km in each side of the Fuel St at ion and carriageway
3. Certified copy of plan of the proposed Fuel Station showing details of deceleration,
acceleration lanes, service road (if provided), buffer strip, fuel pump, office, kiosk,
lubritorium, air and water supply, toilet & drinking water facilities, drainage details, sign ages
and markings conforming to applicable figures enclosed with these norms.
4. Certified copy of sectional view showing elevation of Fuel Station with respect to National
Highway and slopes to be provided for adequate drainage and preventing water logging on
the National Highway.
5. Drainage plan of the Fuel Station.
6. Detail of the material for pavement composition for deceleration lane, service road and
acceleration lane.
7. Undertaking from the oil company that the oil company would pay necessary fee for the use
of the National Highway land whenever the fee is demanded by the Highway Authorities in
future.
8. Undertaking from Oil Company that necessary alteration including complete removal/
shifting of the approach roads at its own cost if so required by Ministry, for the development
of National Highway or in the interest of safety in this section.
9. Undertaking from Oil Company that they shall take all the action as prescribed in Appendix
- I to ensure conformity of these Norms.
10. Undertaking from the Oil Company that the fuel station is neither in operation nor energized
and that construction of the fuel station has not been commenced.
11. Documentary evidence of additional Land Acquisition details (if required) beyond
the available ROW (to accommodate service roads, deceleration / acceleration lanes,
turning radius etc.) done by the owner of the fuel station. [NOTE---It needs to be specifically
mentioned if the same is not applicable /required.]
ANNEX-II
(To Appendix-I)
CHECKLIST
Check list for getting approval for installation of new Fuel Stations
along National Highways General Information:
I. National Highway Number
II. District and State
III. Location
IV. (Chainage in Km)
V. Side of NH (Left or right side of NH towards:

Increasing Chainage / km/
direction]
VI. Name of Highway Authority (NHAI/ State
PWD/ NHIDCL)
VII. Highway Administration address
VIII. Name of the Oil Company (as applicable}
IX. Whether the Fuel Station is part of a Rest-

area complex
Stipulated Norms for Fuel Stations on National Highways
A. For Retail Outlet on existing service road/slip road
Sr. Item MORTH Measuremen Whether

No. Norms tatsite complying
With
MORTHNor
ms.,.
1 Whether there tail outlet is on service road/slip YES Yes/No

road(and not on entry/exit ramp of service
road/slip road)
2 Size of plot
Rural stretch 35mx35m Yes/No
Urban area stretch 30mx30m
Hilly/Mountainous 20mx20m Yes/No
3 Whether the retailoutlet satisfy the general YES Yes/No
condition of sitting, access condition,
drainage ,building line,sign boards
etc.depending upon
the availability of land.
B. Retail Outlet in Rural Stretches

Sr. Item Measurment MORTHNorms Whether conforming

No. at site to MORTH Norms**
1 Acceleration lane Minimum100m Yes/No
2 Deceleration Lane Minimum70m Yes/No
3 Distance from intersection:
Intersection with any category of Minimum 300m Yes/No
road/Median Gap
4 Distance from Check Minimum 1000m Yes/No
barrier/TollPlaza/Railwaylevelcr
ossing
5 Distance from start of approach Minimum 200m Yes/No
road of Road Over Bridge
6 Distance from start of Grade Minimum 300m Yes/No
Separator/ Flyover
7 Distance from nearest Fuel Station 300m-Undivided carriageway Yes/No
Undivided carriageway(for both 1000m-Divided carriageway
side of carriageway),or However, this restriction
shall not apply in case
Divided carriageway (with no gap
access/egress for all such
in median at this location}
fuelstations are provided
through common
Service road of 7.0m width
and not directly to NH.
Further, access for fuel
stations at closer proximity
than 300m/1OOOm may be
allowed provided entry/ exit
for both the Fuel Stations are
provided through service
road of 7.Om width having
sufficient length; further,
additional length of such
service road shall be
constructed at the cost of the
latter fuel station owner/
company seeking grant of
permission for access for the
facility.
8 Provision of service/ connecting Necessary at clustering of Yes/No
road retail outlet/ intersection with
any category of road less
than 300m/1000m
i. Length of the service road [Mention the lengths in m]
including deceleration and
acceleration lanes
ii. Whether additional Land Yes/No

acquisition is required (for
service road/ turning
radius)
iii. If Yes, mention the extent [MentionArea(sq.m.)]
of additional L.A. required
iv. Whether additional Yes/No/N

Land Acquisition as otApplicable
above has been done
by oil company
V. If Yes, whether the Yes/No/N

documentary otApplicable
evidence of the L.A.
details are attached
9 Gradient of Highway section Maximum 5% Yes/No
10 Slope of Fuel Station Minimum 2% Yes/No

Premises/ServiceArea for
drainage purpose
11 Width of Frontage of Plot Minimum 35m Yes/No
12 Depth of Plot Minimum 35m Yes/No
13 Length of Buffer Strip Minimum 12m Yes/No
14 Width of Buffer Strip extending Minimum3m Yes/No

inside ROW
15 Height of kerb for buffer strip Minimum275mm Yes/No
16 Radius of Turning Curve Minimum 13m Yes/No
17 Radius of Non-turning curve Minimum1.5mMaximum3m Yes/No
i. Whether additional Land Yes/No
acquisition is required by the
side of ROW (to provide
prescribed turning radius) by
the owner of the fuel station.
ii. If Yes, mention the [Mention Area(sq.m.)]

additional L.A. required to
be done by the owner of
the fuel station.
iii. Whether additional Yes/No/Not
LandAcquisition as above Applicable
is required by the side of
ROW (to provide
prescribed turning radius)
has been done by the
owner of the fuel station.
iv. If Yes, whether the Yes/No/Not
documentary evidence of Applicable
the L.A.details are
attached
18 Minimum downward slope of Minimum 2% Yes/No

access roads towards the fuel
station.
19 Difference in level between the Minimum 300mm Yes/No
highway and the fuel station
andaccess area measured at the
edge of the shoulder on the
highway.
20 Provision of Culvert, designed for Slab culvert with iron grating Yes/No
drainage according to IRC:SP-13 of adequate strength
constructed in the
approaches or any other
method asper satisfaction of
HighwayAdministration so as
to ensure that surface water
from fuelstation/facility does
not flow on the highway and
led way to a
natural course/ out fall sewer
through culvert or
led away to a water-

recharging system
specifically constructed by the
owner/ management of the
fuel station/ facility in case
lined drains of sufficient
length
upto a natural course/
outfall sewerare not
available.
21 i. Provision of drinking Drawing showing these Yes/No
water and toilet arrangements as
facilities persatisfaction of
ii. Provision of proper highway authorities to be
drainage arrangement submitted
for fuel station
premises
22 Provision of adequate Minimum requirement as Yes/No
signs,display board and shown in the Drawing
markings as per the drawings
23 Whetherthe oil company has Yes/No
certified that the fuelstation is --
neither in operation nor energized
and that construction of the
fuelstation has not been
commenced.
C. RetailOutletonUrban/Hilly/MountainousStretches
Sr. Item Measureme MORTH Whether

No. ntatsite Norms complying
With MORTH
Norms"
1 Distance form intersection:
Intersection with any category 100m Yes/No
of road/Median Gap
2 Distance from Check Minimum1000 Yes/No
barrier/Toll Plaza/ Railway m
level crossing
3 Distance from start of approach Minimum200m Yes/No
road of Road OverBridge
4 Distance from start of Grade Minimum Yes/No
Separator/ Flyover 300m
5 Distance from nearest Fuel 300m. Yes/No
Station
However,this restriction
Undivided carriageway (for both
side of carriageway)and Shall not apply in case
Divided carriageway (with no access/egress for all such
gap in median at this fuel stations are provided
location) through common service
road of 7.Om width and not
directly to NH.Further,
access for fuelstations at
closer proximity than 300m
may be allowed provided
entry/exit for both
The Fuel Stations are
provided
Through service road of
7.Omwidth having
sufficient length; further,
additional length of such
service road shall be
constructed at the cost of
the latter fuel station
owner/company seeking
grant of permission for
access for the
facility.
6 Provision of service Necessary at clustering of Yes/No
/connecting road retail outlet/ intersection with
any category of road less
than
300 mtr
i. Length of the [Mention the lengths in
service road including m]
deceleration and
acceleration lanes
ii. Whether additional Land Yes/No
acquisition is required
(for serviceroad/ turning
radius)
iii. If Yes, mention the [Mention Area(sq. m.)]
extent of additional L.A.
required
IV. Whether additional Yes/No/Not

Land Acquisition as Applicable
above has been done
by oil company
V. If Yes, whether the Yes/No/Not

documentary evidence Applicable
of the L.A.details are
attached
7 Gradient of Highway section Maximum 5% Yes/No
8 Slope of Fuel Station Minimum 2% Yes/No
Premises/ServiceArea for
drainaqe purpose
9 Width of Frontage of Plot Minimum 30 m for Urban Yes/No
area, 20m for Hilly/
Mountainous
Area
10 Depth of Plot Minimum 30m for Urban Yes/No
area, 20m for Hilly/
Mountainous area
11 Length of Buffer Strip Minimum 5m Yes/No
12 Width of Buffer Strip Minimum 3m Yes/No
extending inside ROW
13 Height of kerb for buffer strip Minimum 275mm Yes/No
14 Radius of Turning Curve Minimum 13m Yes/No
15 Radius of Non-turninq curve Minimum1.Sm Yes/No
Maximum3m
i. Whether Yes/No
additional Land acquisition
ROW(to provide prescribed
turning radius) by the owner
of the fuel station.
ii. If Yes, mention the [Mention Area(sq.m.)]

additional L.A. required to be
done by the owner of the
fuelstation.
iii. Whether additional Yes/No/N

Land Acquisition as above ot Applicable
ROW (to provide
prescribed turning radius)
has been done by the
owner of the fuelstation.
iv. If Yes, whether the Yes/No/N

documentary evidence of the otApplicable
L.A.details are attached
16 Minimum downward slope of Minimum 2% Yes/No

access roads towards the
fuel
station.
17 Difference in level between Minimum 300mm Yes/No
the highway and the
fuelstation and access area
measured at the
Edge of the shoulder on the
hiqhwav.
18 Provision of Culvert, Slab culvert with iron grating Yes/No

designed for drainage of adequate strength
according toIRC:SP-13 constructed in the
approaches or any other
method as per satisfaction
of HighwayAdministration
so as to ensure that surface
water from fuelstation/
facility does not flow on the
highway and led away
To a naturalcourse/
outfall
sewer through culvert or led
away to a water-recharging
system specifically
constructed by the owner/
management of the fuel
station/ facility in case lined
drains of sufficient length
upto a natural course/
outfall sewer
are not available.
19 i. Provision of Drawing showing these Yes/No
drinkingwater and arrangement as per
toilet facilities satisfaction of highway
ii. Provision of proper authorities to be
drainage arrangement submitted
for fuelstation
premises
20 Provision of adequate signs, Minimum requirement Yes/No
display board and markings as shown in the
as per the drawings Drawing
21 Whether the oil company has Yes/No
certified that the fuelstation is --
neither in operation nor
energized and that
construction
of the fuel station has not
been commenced.
It is certified that the fuel station is neither in operation nor energized and that construction
of the fuel station has not been commenced. Further, we bear full responsibility for
genuineness of the site particulars mentioned above and for adherence to the stipulated
norms .
[Name, Designation and

Signature Of the authorized
representative of the
Concerned Oil Company]
Note: - If norms are not satisfied, detailed explanation needs to be give n, otherwise the
application will not be considered. In all cases supporting documents as per Annex-I have
to be submitted, otherwise the case will be summarily re je cted .
The Right Of Way (ROW) of the National Highway available at the proposed location from
the centre line of the nearest carriageway is [_ ] m.
The above particulars along with the drawings and documents have been verified and are
certified as correct as per the prevailing site conditions.
[Name, Designation and Signature of the concerned field authority of
NHAI/State PWD/BRO]
ANNEX-Ill
(To Appendix-I)
LICENSE FOR THE USE OF NATIONAL HIGHWAY LAND
AGREEMENT TO construct an approach/access road with necessary provisions for drainage,

signage and markings, to______________located on plot no._________, Survey No.
_____________ of the village/town_ _ _ _ in the Taluka of_ _ _ _ in the District -- abutting on
NH_______in kilometre_________.
AN AGREEMENT made this _ _ _ _ _ _ day of _ _ _ _ _ _ Year Two thousand _ _ _ between

the President of India (hereinafter called the Government which expression shall, unless excluded
by or repugnant to the context, include his successors in Office and assigns) of the First part and
(name and address of Oil Company) hereinafter called "the Licensee"/"the Licensees" (which
expression shall, unless excluded by or repugnant to the context, include the said licensee's
successor/Licensees successors, heirs, executors, administrators and assigns) of the Second part.
2. WHEREAS THE Licensee has/licensees have applied to the Government for permission to
construct on the Government land an approach road with necessary provisions for drainage, signs
and markings to his/their Retail Outlet located in plot no._ _ Survey o._ _ in the village_ _ _ _ _
, Taluka _ _ _ _ and District abutting on the boundary of NH ____ in
Kilometer_______, more particularly described in the Schedule annexed hereto and shown in
the drawing attached hereto (herein after referred to as "the Retail Outlet " ).
3. AND WHEREAS THE GOVERNMENT has agreed to grant such permission on the terms
and conditions hereinafter mentioned.
4. Now, this Agreement witness that, in consideration of the terms and conditions hereinafter
contained and on the part of the licensee/licensees to be observed and performed, the Government
hereby grants to the licensee/licensees permission to construct an access/approach road with
necessary provisions for drinking water and toilet facilities, drainage works, signs and markings
to the said Retail Outlet as per approved drawings attached, subject to the following terms and
conditions, namely:-
i. That the licensee/ licensees shall within twelve months from date of receipt of the provisional
permission for access, but without interfering in any way with the highway traffic,
complete the construction of the approach road (including deceleration/ acceleration
lanes) and shall make provisions for drinking water, toilet facilities, drainage, signs,
markings etc. at his own cost and to the full satisfaction of the Highway Administration
according to the approved drawings and specifications. The drinking water and toilet
facilities shall be accessible to the public round the clock. In order to inform the public
about these facilities, a display board showing availability of such facilities shall be
installed before the entry to the Fuel Station. The said approach road shall not be brought
into use after its completion until the field officers of NHAI/ HIDCL/ State PWDs gives a
completion certificate after satisfying himself that it has been completed as per the
sanctioned drawings and specifications. The Fuel Station would be energized by the
concerned oil company only after issue of the completion certificate by the Highway
Administration.
ii. That on the completion of the said work, that part of the approach road, which lies within the
limits of Government land together with any culvert of drain therein constructed shall
become the absolute property of the government, subject to the rights of the
licensee/licensees to use the same for ingress and egress.
iii. The licensee/ licensees shall at his/ their own cost keep the said approach road, and any
culvert or drain therein, in proper repair and condition to the satisfaction of the Highway
Administration. The approach roads would be considered in proper conditions when they
are free from potholes and patches. The culverts and drains would be kept in clean
conditions to allow full discharge of the storm water, signs and markings to be kept at
their respective locations and in clean condition for visibility at all times.
iv. That within six months of a notice duly given to the licensee/ licensees in this behalf, the
licensee/ licensees shall at his/ their own cost remove the said approach road or any
drainage work constructed in connection therewith and restore the land to its original
condition when required to do so by the Government or by any person duly authorized
on its behalf. The licensee/ licensees shall not be entitled to any compensation on
account of such removal and restoration.
v. That the approach road shall not be used for any purpose other than that of access to any
egress from the Retail Outlet of the licensee/ licensees on to the Government road.
vi. That the licensee/ licensees shall not, without the prior permission in writing of the Government/
HAI/ NHIDCL, in any way extend or alter the said approach road or any culvert or
drainage therein.
vii. That the licensee/ licensees shall at all times permit any duly authorized officer of the
Government/ NHAI/ NHIDCL to inspect the said approach road including any culvert or
drainage therein. He shall keep the said approach road clear from all obstruction and
shall not be entitled to close any right of way over or in respect of the same against
Government, or any member of the public.
viii. That the licensee/ licensees shall be liable for any loss or damage caused to the Government
by obstruction of drain or any other similar causes due to the said approach road or the
drainage work.
ix. That the permission granted by this license shall not in any way be deemed to convey to
the licensee/ licensees any right into or over, or any interest in Government land other
than that herein expressly granted.
x. That in case the said approach road is destroyed, this license shall automatically become
redundant and the licensee/ licensees shall not be entitled to claim any right to construct
another approach road in lieu of that so destroyed.
xi. That during the subsistence of this license, the said approach road including the road drainage
shall be deemed to have been constructed only by the consent and permission of the
Government so that the right of the licensee/licensees to use the same shall not become
absolute and indefeasible by lapse of time .
xii. In cases of defaults/ deviations found during inspection by Highway Administration, each
deficiency shall be immediately rectified, which in no case should exceed 60 days from
the date of inspection. The failure to rectify the identified deficiencies within the prescribed
time would lead to de-energizing the fuel station by the concerned Oil Company. The re-
energizing would be done only on complete rectification and on the authorization by
Highway Administration.
xiii. That the licensee/ licensees shall not sell, transfer or otherwise dispose of the license without
obtaining from the transferee a duly executed agreement with the Government
embodying the terms and conditions therein before.
xiv. The Oil Company shall have to enter into an Agreement for signing the license deed
for fifteen years with the Highway Administration (as per Highway Administration Rules
2004), for the us e of NH land. The license shall be issued to the Oil Company on
payment of Rs. < ___________Rupees (In words) only)> as per the applicable policy
only as one-time license fee for the calendar year in which this Circular is issued,
alongwith the processing fee, with license fee and penalty to be increased by 5% on every
subsequent year . A non-refundable processing fee of Rs. 10,000/- (Rupees Ten
Thousand) only per application shall also be deposited alongwith the application . A
Bank Guarantee of Rs. 2,50,000/ - (Rupee two lakh and fifty thousand only) valid for a
period of 3 years for successful completion of access before final approval is obtained. I
n case the access construction is not completed even in the extended period, the BG
shall be encashed by the Highway Administration.
xv. The owner/ management of fuel stations is not bound to get the acceleration/ deceleration
lanes including other ancillary appurtenances constructed through the Highway Authority
(viz. NHAI, NHIDCL, concerned State PWD/ RCD as the case may be) or the contractor/
concessionaire for the project in the particular stretch of National Highways. It shall be
the prerogative of the owner/management of fuel stations to construct the acceleration/
deceleration lanes including other ancillary appurtenances wither through the Highway
Authority/ concerned concessionaire/ contractor in the project section at the cost of the
owner/management of fuel stations or by themselves through any other agency.
xvi. The access roads including acceleration / deceleration lanes shall be constructed within
available Right of Way (ROW) of the National Highways. However, in case of non -
availability of adequate ROW for construction of these facilities, owner/management of
fuel stations shall acquire required additional land at their cost for construction of such
facilities . Similarly, access for/ egress to the facility (primarily for cluster, etc.) may be
provided from the Service road which has been developed already; however, service
road of required length shall have to be constructed by the owner/management of fuel
stations at their cost in case the same has not been constructed but is required for
providing access to such properties; additional land acquisition required for construction
of service road beyond available ROW of NH in such cases shall have to be done by the
owner/management of fuel stations at their cost.
5. On the expiry of lease, the access permission may be renewed by the Highway
Administration on payment of Rs. /-(Rupees ) only as renewal fee, if it conforms to
the stipulated
norms of the Ministry. Jn case of existing fuel stations constructed as per Ministry's norms but for
which prior approval have not been obtained from the Minis try, a penalty of Rs , - (Rupees
) shall be imposed on the Oil Company to regularize such fuel stations along with
payment of the License Fee and Processing Fee . In case of fuel stations already existing on newly
declared National Highways for which approval for access to such road was earlier obtained from
the Competent Authority in the State/ UT, such Oil Company shall have to pay the processing fee
of Rs. _ _ _ _ ,/ - (Rupees _ _ _ J only to the Highway Administration and will be granted 12
months time to comply with the Ministry's norms; however, in case of fuel stations already existing
on newly declared National Highways for which approval for access to such road was not obtained
earlier from the Competent Authority in the State/ UT, the proposal shall be processed as if it was
a fresh case for which the owner/ company shall have to take requisite action to apply for access
permission within a period of one year of the notifications of such road as a National Highways
along with payment of processing fee and license fee & penalty fee.
i. That if and when parallel service roads are constructed, the access to fuel station shall
be from the service road alone and no claim/ compensation shall be entertained on that
account.
ii. That this Agreement shall remain in force for fifteen years from the date of execution in
the first instance and be terminable by a notice of 6 month and the permission may be
renewed after expiry of the said period.
iii. That the license hereby granted shall not be transferable.
iv. That the Licensee/licensees shall bear the cost of Stamp and attestation of this
Agreement.
6. Situations given below would be treated as violations of the license deed agreement and
the Government would be within its right to ask the concerned Oil Company to de-energize the Fuel
Station;
i. Non-maintenance of deceleration lane, acceleration lane, service road, drinking

water and toilet facilities, drainage system, channelisers, markings, signs and other traffic
control devices in good operating conditions (as specified in Para 4(iii) ), during the period
of license deed and not rectifying the short comings within the specified period.
ii. Non-compliance for revising the layout of access as directed by the Highway
Administration in writing within specified period.
7. Not-withstanding anything contained in clause 4, this license can be cancelled at any time
by the Highway Administration for breach of any of the terms and conditions of license and the
licensee/licensees shall not be entitled to any compensation for loss caused to him/them by such
cancellation nor shall be absolved from any liability already incurred by him/them under this
Agreement. The licensee/licensees shall at his/their own cost remove approach road lying within
the boundary of the Government land and restore the Government land to its original condition in
the event of licensee/licensees refusing to do so, the restoration of the Government land to its
Original condition shall be done by the In charge Executive Engineer/Divisional Engineer, at the
cost of licensee/licensees and the expenditure incurred shall be recoverable from the
licensee/licensees as an arrear without prejudice to any other remedies which may be fixed by
Government in this behalf.
8. This Agreement may be executed in two counterparts, each of which when executed and
delivered shall constitute an original of this Agreement.
IN WITNESS WHEREOF this agreement is executed in two parts by the parties hereto on the date
first above mentioned.
Signed by Shri (Name in full) the licensee/ licensees Signed by Shri (Name in full) for and on
behalf of the President of Indi
In the presence of
. Name in full (signature) with designation Name in full (signature) with designation
Name in full (signature) with designation Name in full (signature) with designation
N. B wherever alternative such as his/their

Licensee/Licensees has/have etc. are
given, only applicable portions should be
typed in the fair license deed.
1907

1908

1909

1910

1911

1912

1913
Appendix - II
Guidelines for grant of permissions for construction of access to private properties/

other establishments (other than fuel stations) along National Highways
Separate provisions are specified for Other & Residential Properties in Urban & Rural reaches.
 The Residential Properties (RPs) shall mean individual plots with no more than 4
dwelling un its.
 The Other Properties/ Establishment (OPs) whether private or Government, shall
include (except Fuel Retail outlets for which separate guidelines exist) all other
properties such as Industrial Units, Hotels, Motels, Hospitals , School. Educational/
Research Institutes, Housing Complexes, Hotels Recreational Centers, Religious
structures etc.
 For the purpose of these guidelines, the Urban Reaches are defined as National
Highway Reaches falling under Territorial jurisdiction of Municipal Council/ Nagar
Palika.
1. For Other Properties (OPs):-
i. There shall be no direct access to the National Highway. The access shall be through
the service road (which will include deceleration andacceleration lanes) in case of both
Rural and Urban reaches. However before allowing the access through service roads
the possibility of providing the access through nearby cross roads should be explored
and only if it is not feasible then the permission for access through service road at
limited possible location may be permitted.
ii. If the land for Acceleration Lane, Deceleration Lane & Service Road is available in
ROW, the land will be provided for their construction; otherwise landshall be provided/
acquired by the concerned organization, owner of OP seeking the access permission.
iii. The service road shall be constructed and maintained by the concerned
organization/owner of OP seeking the access permission.
iv. Fee as specified by the Government shall be paid by the property owner for access
permission.
v. The service road (excluding deceleration and acceleration lanes) shall have a
minimum length equal to the plot length of concerned property along the National
Highway. No access connection shall be allowed on deceleration and acceleration
lanes. Where the concerned property is near junction / median opening etc. the
length of the service road shall be increased appropriately.
vi. The location &layout, road signs & markings requirements for access permission for
OPs in Urban & Rural reaches are specified in Annex I.
2. For Residential Properties (RPs):-

1914
i. As far as possible, in Urban reaches there shall be no direct access to the National
Highway; the access be through service road only. However before allowing the
access through service roads the possibility of providing the access through nearby
cross roads should be explored and only if it is not feasible then the permission for
access through service road at limited possible location may be permitted.
ii. The service road in Urban / Rural reaches may be constructed by the Highway
Authority, subject to availability of funds.
iii. The location & layout, road signs & markings for access permission for RPs in Urban
& Rural reaches are specified in Annex I.
3. Payment:
A payment of one-time license fee to the Highway Administration, as specified in the

guidelines, would be payable by the licensee to the Government in consideration of this
Agreement for the land for which the license is issued. The license deed is not required to be
registered. This fee amount would be paid online in favor of the concerned Pay & Accounts
Officer of the Ministry of Road Transport and Highways and would be debitable to the Major
Head 1054 (Revenue Receipt Head). The license deed shall be executed only after the online
payment has been remitted in the concerned P&AO office and successfully realized in the
Consolidated Fund of India.
1915
Annex-I
(To Appendix-II)
Location & Layout, Drainage, Road Signs and Markings requirements for Access
connection to Residential Properties (RP) and other Properties (OP) in Urban, Built up
& Rural Reaches
(Refer Fig. at Annex-IV)
(A.) For Private properties on existing service road/slip road
Whether
Sr. Measurement at site MOR complying
Item
No. TH with MORTH
Norm Norms
s
1. Whether the Private Property YES Yes/No
is on service road/slip
Road (and not on entry/exit
ramp of service road/slip
road)
2. Whether the Private Property YES Yes/No
satisfy the general condition of
access, drainage, building
line, sign boards etc.
depending upon the
availability of land.
3. Total traffic (incoming
and outgoing)per day
(B.)For Individual Private Properties where service road does not exists
Sr. Description Urban/ Built Rural Remarks

No. up reaches reaches
1. Minimum Distance Limited to Limited to For Individual Private
between merging plot size+ plot size+ Residential Properties.
points of a service road acceleration 50m on
including acceleration & eitherside
& deceleration Lanes deceleration +acceleratio
of 100m and 70m Lanesonly n&
respectively. deceleration
1916
Lanes only
2. Minimum Distance 100m 300m If the distance is less than the

between merging distance specified, service road
points of two access to be extended/ provided to cover
(take off/ end point o1 both the access.
acceleration/
deceleration service
lane) on the same side
of carriaqe wav.
3. Minimum Distance 100m 300m If less than the distance
between take off point specified, service road to be
of access /service road provided / extended (which can
and median gap / left with a dead end also.)
intersection
with any road
4. Minimum Distance 1000m 1000m If distanceis less than the
from Check Barrier distance specified, service road
to be provided/extended (which
can left with a dead end also.)
5. Minimum Distance 300m 300m If distance is less than the

between start of distance specified, service road to
Grade be provided 1 extended (which
Separator/ Flyover/Road can left with a dead end also.)
Over Bridge/
Railway level Crossing
and
entry/lake off point of the
access
6. Width of entrance/ exit Minimum 9m Maximum 12m
7. Radius of Turning curve Minimum 13m Ruling 30m

For Other Propertiesonly
8. Radius of Non-Turing Minimum 1.5m Maximum 3m
curve
9. Width of acceleration lane 5.5 m minimum
10. width of deceleration lane 5.5 m minimum
11. Width of Service Road 5.5 m - 7m
1917
12. Crust composition of Minimum pavement

Service Road Acceleration composition o1 150 mm thick
& Deceleration lane Granular Sub Base (GSB)
overlaid by three layers al
Water Bound Macadam
(WBM) (other than WBM-
Grading No. 1), each of 75 mm
thickness, topped by 50 mm
thick Bituminous Macadam
(BM) and 30 mm thick
Bituminous Carpet (BC).
Interlocking Concrete Blocks
as per IRC:SP:63 can also be
considered.
13. Crust composition of At least Gravel road For Residential Properties only
access connection /
extended service road to
Residential Properties
14. Width of access Minimum 3.5m
connection / extended
service road to Residential
Properties
15. Radius of Turning curve Minimum 13m Ruling 30m
Road Signs (According to IRC:67)

16. Road signs are to be provided as per IRC:67 such as Side
Roadsign on NH before Deceleration lane, Appropriate facility
information sign (i.e Hospital, Eating place etc.)
One waysigns on left side of the Deceleration & Acceleration
lanes, No Parking sign on left side of the Deceleration &
Acceleration lane, No entry sign on right side of the
Deceleration lane at its connection with service road, For Other Properties
Appropriate No. of right turn prohibited signs onright side of only
service road in front of Property Plot (facing the property),
Give way sign with Give way line marking according to IRC:35
on left sideof the acceleration laneat 30 m before its
connection with NH, No left tum sign on NH before its
connection with Acceleration lane, No right turn sign on right
side of NH in case of undivided carriageway
17. Marking for deceleration and acceleration lane are to be For Other Propertiesonly
provided as per IRC:35
DrainageRequirements
1918
18. Provision of Culvert for Slab culvert with iron grating

drainage in accordance with of adequate strength
IRCSP-13 constructed in heapproaches
or any other method as per For both residentia land Other
satisfaction of Highway Properties
Administration so as to ensure
that surface water from
fuelstation/facility does not flow
on the highway and led away to
a natural course/ outfall sewer
through culvert or led away
to a water-recharging system
specifically constructed by
the owner/management of
the fuel station/ facility in case
lined drains of sufficient
length upto a natural
course/outfall sewer are not
available.
19. Provision for intercepting
drainwith vertical Drain
system for Rain water
harvesting at the
downstream end of
intercepting drain (According
to Appendix A-2 of
IRC:SP:50)
20. Downward slope of the Minimum 2%
access road towards the
intercepting drain
Total Traffic
21. Total traffic (in coming and outgoing) per day
1919

1920

1921
Note:
1. All the dimensions are to be measured from the boundary of the private property
2. In case of distance from intersection with any category of road, the roads means
paved carriageway (Bituminous/ concrete/ Interlocking Concrete block) of 3.0m
width and having length of Minimum 300m and above irrespective of the category
of road.
ANNEX-II
(To Appendix-II)
List of Documents to be submitted to Highway Administration by the applicant for

permission for new access to property along National Highways
1. Signed copy of lice ns e deed. The draft is at Annex-III.
2. Self - Certified copy of drawings showing requirements as per norms i.e., Location
& Layout, Road Signs, Road Markings, D rain age plan & Crust composition of
access road etc.
3. The location drawing shall show the relevant details of reach for 1.1 km along
National Highway on either side of property.
4. Undertaking from the Owner that the Owner would pay necessary fee for the use of
the National Highway land whenever the fee is asked by the Highway Authorities in
future.
5. Undertaking from Owner that necessary alteration including complete

removal/shifting of the approach roads at its own cost if so required by Ministry, for
the development of National Highway or in the interest of safety in this section.
6. Undertaking from Owner that they shall take all the action as prescribed in Appendix
II to ensure conformity of these Norms.
1922
ANNEX-III
(To Appendix-II)
AGREEMENT TO construct an access road with necessary provisions for drainage, Road
signs and markings to the premises having Plot 0 . ..... ... ... .. . ..., Survey No. .................
of the village/ TOWN ........................ in the Taluka of ....................... in the District
abutting NH .................. in kilometer............
AN AGREEMENT made this day of Year Two thousand _ _ _ _ _ _ _ _

between the President of India (hereinafter called the Government which expression shall,
unless excluded by or repugnant to the context, include his successors in Office and assigns)
of the one part and (name and address of Owner of Property ) hereinafter called "the
Licensee"/"the Licensees" (which expression shall, unless excluded by or repugnant to the
context, include the said licensee's successor /Licensees successors, heirs, executors,
administrators and assigns) of the other part.
2. WHEREAS THE Licensee has/licensees have applied to the Government for permission to
construct on the Government land an access road with necessary provisions for drainage,
signs and markings to his/their property having Plot No.................., Survey No. .......... .......of
the village........................ in the Taluka of ........... ............ in the District ...................
abutting NH in kilometer............more particularly described in the Schedule annexed hereto
and shown in the drawing attached hereto (hereinafter refer to as "the said premises").
3. AND WHEREAS THE GOVERNMENT has agreed to grant such permission on the terms
and conditions hereinafter mentioned.
4. Now, this Agreement witness that, in consideration of the terms and conditions herein after
contained and on the part of the licensee/ licensees to be observed and performed, the
Government hereby grants to the licensee/ licensees permission to construct an access
road to the said premises as per approved drawings attached, subject to the following terms
and conditions, namely:-
i. That the said access road shall not be brought into use after its completion until the
Highway Administration gives a completion certificate after satisfying himself that it
has been completed as per the approved drawings and specifications and issue
duly signed License deed by Highway Administration.
ii. That on the completion of the said work, that part of the access road which lies
within the limits of Government land together with any culvert or drain therein
constructed, shall become the absolute property of the Government subject to the
rights of the licensee/ licensees to use the same for ingress and egress.
1923
iii. The licensee/ licensees shall at his/ their own cost keep the said access road and
any culvert or drain therein, in proper condition and repair to the satisfaction of the
Highway Administration.
iv. That within six months of a notice duly given to the licensee/ licensees in this behalf,
the licensee/ licensees shall at his/ their own cost remove the said access road or
any drainage work constructed in connection therewith and restore the land to its
original condition when required to do so by the Government or by any person duly
authorized on its behalf. The licensee/licensees shall not be entitled to any
compensation on account of such removal and restoration.
v. That the access road shall not be used for any purpose other than that of access to
and egress from the premises of the licensee/ licensees to the Government road.
vi. That the licensee/licensees shall not, without the prior permission in writing of the
Highway Administration in any way extend or alter the said access road or any
culvert or drainage therein.
vii. That the licensee/ licensees shall at all times permit any duly authorized officer of
the Government/ HAI/ NHIDCL to inspect the said access road including any culvert
or drainage therein. He shall keep the said service road/ access road clear and
shall not be entitled to close any right of way over or in respect of the same
against Government, or any member of the public.
viii. That the licensee/ licensees shall not object to any future extension or improvement
of service road/ access road or any shifting of its connection with highways.
ix. The Licensee/ Licensees shall have to enter into an Agreement for signing the
license deed with the Highway Administration (as per Highway Administration Rules
2004), for the use of NH land. The permission shall be granted to the Licensee/
Licensees on payment of Rs.< *> (Rupees <_ _ *> Lakh) only as
one-time license fee for the calendar year inwhich this Circular is issued,
alongwith the processing fee, with license fee to be increased by5% on every
subsequent year. A non-refundable processing fee of Rs. <*> (Rupees<*> Lakh)
only per application shall also be deposited alongwith the application. A
BankGuarantee of Rs.<_ _ _*> (Rupees< *> Lakh) only valid for a period of
3 years forsuccessful completion of access before final approval is obtained. In case
the access construction is not completed even in the extended period, the BG shall
be encashed by the Highway Administration.
[* - to be appropriate]y included]
x. That the licensee/licensees shall be liable for any loss or damage caused to the
Government by obstruction of drain or any other similar causes due to the said
access road or the drainage work.
1924
xi. That the permission granted by this license shall not in any way be deemed to
convey to the licensee/ licensees any right into or over or any interest in
Government land other than that herein expressly granted.
xii. That in case the said access road is destroyed, this license shall automatically
becomeredundant and the license/ licensees shall not be entitled to claim any right
to construct another access road in lieu of that so destroyed.
xiii. That during the subsistence of this license, the said access road including the road
drainage shall be deemed to have been constructed only by the consent and
permission of the Government so that the right of the licensee/licensees to use the
same shall not become absolute and indefeasible by lapse of time.
xiv. The owner/ management of other properties is not bound to get the acceleration/
deceleration lanes including other ancillary appurtenances constructed through the
Highway Authority (viz. HAI, NHIDCL, concerned State PWD/ RCD as the case may
be) or the contractor/ concessionaire for the project in the particular stretch of
National Highways. It shall be the prerogative of the owner/ management of other
properties to construct the acceleration/ deceleration lanes including other ancillary
appurtenances wither through the Highway Authority/ concerned concessionaire/
contractor in the project section at the cost of the owner/ management of other
properties or by themselves through any other agency.
xv. The access roads including acceleration/ deceleration lanes shall be constructed
within available Right of Way (ROW) of the National Highways. However, in case
of non availability of adequate ROW for construction of these facilities,
owner/management of other properties shall acquire required additional land at
their cost for construction of such facilities. Similarly, access for/ egress to the
facility (primarily for cluster, etc.) may be provided from the Service road which has
been developed already; however, service road of required length shall have to be
constructed by the owner/management of other properties at their cost in case the
same has not been constructed but is required for providing access to such
properties; additional land acquisition required for construction of service road
beyond available ROW of NH in such cases shall have to be done by the
owner/management of other properties at their cost.
xvi. The license /licensees shall at his/their own cost remove access road lying within
the boundary of the Government land and restore the Government land to its
original condition. In the event of licensee/licensees refusing to do so, the
restoration of the Government land to its original condition shall be done by the
Highway Administration, at cost of licensee/licensees and the expenditure incurred
shall be recoverable from the licensee/licensees as and arrear without prejudice to
any other remedies which may be fixed by Government in his behalf.
xvii. That, if the licensee fails/licensees fail to execute any work which he has/ they have
agreed under this agreement to the full satisfaction of the Highway Administration,
1925
the work shall be executed by the Highway Administration at the cost of licensee/
licensees and the expenditure so incurred shall be recoverable from the licensee/
Licensees as an arrear of land revenue without prejudice to any other remedies
which may be open to Government in this behalf.
xviii. That the licensee/ licensees shall not sell, transfer or otherwise dispose of the
premises without obtaining from the transferee a duly executed agreement with the
Government embodying the terms and conditions herein before.
xix. That if and when parallel service roads are constructed, the access to premises
shall be from the service road alone as determined by the Highway Administration
and no claim for compensation shall be entertained on that account.
xx. That this Agreement shall, in normal circumstances, remain in force for forever from
the date of execution and may be terminable by a notice of 6 months, if required,
for traffic safety or other causes as mentioned in clause (iv) above.
xxi. That the license hereby granted shall not be transferable.
xxii. That the licensee/ licensees shall bear the cost of Stamping for execution of this
Agreement.
Not-withstanding anything contained in clause (4) above, this license can be cancelled at any
time by the licensor through the Highway Administration, for breach of any of the terms and
conditions of the license and the licensee/ licensees shall not be entitled to any compensation
for loss caused to him/ them by such cancellation nor shall be absolved from any liability
already incurred by him/ them under this Agreement.
1926
SCHEDULE
(Here type the schedule referred to in para 2)
IN WITNESS WHERE OF this agreement is executed in two parts by the parties hereto
on the date first above mentioned.
Signed by Shri ( Name in full) the Signed by Shri (Name in full) for and on
licensee/ Licensees behalf of the President of
India India
In the presence of
I. Name in full (signature) with designation 1. Name in full (signature) with

designation
2. Name in full (signature) with designation 2. Name in full (signature) with

designation
N.B wherever alternative such as his/their, Licensee/Licensees, has/have etc. are

given, only applicable portion should be typed in the fair license deed.
1927

1928
Annexure-2 & Annexure-3
Relaxation to Guidelines for granting access permission for Fuel Stations, Wayside
Amenities, connecting roads, Other Properties, Rest Area Complexes & such other
facilities
The Ministry of Road Transport and Highways (MoRTH) has issued Guidelines /
Norms regarding grant of permission for construction of access to Fuel Stations, Wayside
Amenities, Connecting Roads, Other Properties, Rest Area Complexes ft such other facilities
vide circular No. RW/NH-33032/01/2017-SftR(R) dated 26.06.2020.
2. The MoRTH has been receiving a large number of grievances/notices from applicants/the
applicant companies stated to be facing problems in getting NOC due to implementation
of Revised Guidelines / Norms dated 26.06.2020.
3. The matter has been examined in this Ministry and it has been decided by competent
authority to provide reliefs by amendment in the Revised Guidelines / Norms dated
26.06.2020 to the extent as below:
4. For the applications of access permissions submitted on online portal of MoRTH for the
retail outlets allotted by Petroleum companies, plots acquired by applicants in urban areas as
per earlier guidelines (prior to 26.06.2020) i.e. of 20mx20m, the NOCs may be granted as per
revised guidelines dated 26.06.2020 with relaxation for plot size of 20mx20m (instead of
desired plot size of 30mx30m).
5. Processing fee may be waived off and access permission allowed for the cases where due
to change in National Highways configuration (widening, alignment change etc.), the existing
retail outlet locations have to be closed as the location becomes in non- compliance with the
access permission norms and the retail outlet owner/operator is seeking permission for an
alternate location complying with revised access permission norms dated 26.06.2020.
6. In case of any conflict on ground needing any relaxation in MoRTH revised guidelines dated
26.06.2020, the relaxation may be granted with the approval of Minister (RT&H).
7. It has been decided with the approval of the Competent Authority of NHAI that the physically
transferred applications from MoRTH for access permission may be allowed to be physically
disposed of by NHAI RO Offices with the condition that the cases requiring public comments
should mandatorily be put up on the online portal under the section “PUBLIC COMMENTS”.
8. Further, the applications submitted post issuance of the standard operating procedure on
access permission vide policy circular no. 14.19/2020 dated 06.01.2020 must be compulsorily
processed through the online application portal only.
1929
Annexure-4 & Annexure-5
Guidelines for Grant of permission for Construction of Flyover/Underpass/Foot over

Bridge/Canal Crossing proposed by State Govt. Agencies across National Highways
The Policy Guidelines regarding grant of permission for the construction of flyovers/
underpasses/ foot bridges etc. proposed by State /Central Govt. Agencies/Public Sector
across the existing NH link constituting way leave facility or crossing structure (WLF or CS)
have been prepared in confirmation to the extant Policy Guidelines in this regard and finalized
with the approval of Competent Authority and placed at Annex-A.
2. The "Standard Agreement Format" required to be executed with the concerned State
/Central Govt. Agencies/Public Sector is also placed at Annex-B.
3. The above guidelines are subject to the relaxation as under:
(i). Requests have been received from the State Government/ State Government Agency
for waiver of charges for "Way Leave facilities/ easement rights" for crossing of NH by SH/
State roads on reciprocal basis.
(ii). NHAI is also taking up construct ion of new NHs and widening of existing NHs
throughout the country and there will be a number of cases when these new NHs or the
widening of existing NHs will have to cross over State Highways/ Roads.
(iii). In view of the above, it has been decided to waive of charges for “Way Leave facilities/
easement rights" for crossing of NH by SH/ State roads on reciprocal basis with State
Government/ State Government Agency.
1930
Annexure-A
Sub: Guidelines for Grant of Permission for construction of Flyover/Underpass/

Footover bridge/ canal crossing proposed by State Govt. Agencies across National
Highways-Policy Guidelines thereof.
The Policy regarding grant of Permission for the construction of

Flyovers/underpasses/canal crossing etc. proposed by State/CentralGovt.
Agencies/Public sectors across existing National Highways-Toll Roads or otherwise
(hereinafter called the "way leave facilities" or "crossing structures") needs to .be laid
down by NHAI, so as to have uniform approach for processing of such requests received
from time to time involving NH Land. During the operation and maintenanceof a given
NH Link (Toll road or otherwise) the need for such requests may arise due to following
circumstances:
(a) Provision of new State Road link crossing the existing NH Link;
(b) Remodeling of State Irrigation/ water supply System involving construction of new
canal/ pipe crossing across the existing NH Link;
(c) Severance caused due to provision of a new bypass/ Ring road alignment by State
Govt. agencies;
(d) For any other public cause(s) concerning to State Govt. agencies /Ministry of
Communication/ Public sector.
The following policy guidelines as laid down to be followed for granting of permission for
such WLF or CS:
1. The concerned project CGM shall insure at the time of preparation of DPR/ FSR
for capacity augmentation of NH project by the Technical Consultants engaged
by the NHAI, provision of such necessary Crossings (Flyover/canal crossing etc.)
are included in the scope of work keeping in view the safety of public at large
during post-construction phase. The Scope of work of such 'Crossings' are
generally considered as part of the upgradation project and therefore cost of the
same is borne by NHAI.
2. In case of any new Flyover/ under pass meant for the crossing of State Road link/
canal etc. over/under the existing NH Link, the grant of permission for way leave
facility to be accorded by NHAI provided the concerned State / Central Govt.
Agencies I Public sectors foot the bill for entire scope of work involved and to be
carried out as deposit work preferably.
3. By its very definition, wayleave facilities on NH land involves occasional or limited

use of NH landby a party for a specified purpose like crossings structures without
conferring upon the party any rightof possession or occupationof the land and without
1931
any way affecting the NH Land title, possession, control and use of NH land.
4. No NH Land shall be sold or transferred by NHAI to any agency seeking way leave
facility.
5. In genuine and unavoidable cases involving public cause (s), way leave facility
may be allowed after execution of agreement with special mentioned for revision
of charges time to time. It may be noted that the land is not licensed, but only
permission granted for a limited use which is to be specified in detail in the
agreement. To avoid any misunderstanding on this score, the agreement should
not use terms like 'license' and 'license fee', but only 'permission' and 'way leave
charges'. The agreement should also clearly stipulate that the NHAI
administration retains full rights to enter upon, to pass through or use the land, at
any time, without any prior notice to the party.
6. In the event of the way leave facilities being discontinued with, the Highway Authority
will neither be liable to pay any compensation or reimburse any amount to the party,
nor to provide any alternative arrangement for access etc. In such a case, any
installation like underground pipelines etc. put up by the party are liable to be
removed/ shifted by the party at its own cost.
7. Way leave permission should be accorded only after ensuring that NHAI's
financial interests are NOT affected in any manner i.e. by way of loss of traffic,
loss of Toll Revenue etc. by granting suchpermission. A suitable clause securing
NHAI's financial Interests may be provided in the Agreement to be executed with
the party.
8. The following rates shall be levied for way leave facilities/easement rights on NH
land while according 'in-principle' approval for grant of permission.
(A)
I. Public Road by local bodies/ 6% of the market value of land p.a.
State Govt./ Govt. & subject to a minimum of Rs. 10,000/-
Autonomous bodies, p.a.
II. Any water crossing belonging 6% of the market value of land p.a.
to State Irrigation / Water subject to a minimum of
Supply Deptt. Rs. 10,000/-p.a.
1932
(B) During implementation phase, processing Fee shall be levied as under:
S.No. Charges to belevied Rate

I Plan & Estimate (P&E) charges 2% (To be charged in advance at the time
of submission of GAD/proposal and shall
be adjusted finally against Departmental
Charges.)
II. D&G Charges (Supervision) 3.125%
(To be charged before start-of execution
of work)
III. Levying charges towards 3% p.a. capitalized to 30%

Maintenance of the Crossing (To be charged before completing
Structure within NH Land in / operationalising the facility)
Perpetuity (Considering 30 Year
Period).
Note: It has been decided to waive of charges for “Way Leave facilities/ easement rights"
for crossing of NH by SH/ State roads on reciprocal basis with State Government/ State
Government Agency.
9. In all the above cases of way leave facilities, no other construction except the
permitted expressly be allowed on NH land. If any construction comes up
subsequently the same should be immediately removed since noticed.
10. The work related to way leave facility should be preferably "Deposit work" to be
executed by NHAI falling within the ROW of NH. The entire cost of the Project to be
borne by the Applicant in advance. In case the civil work is executed by the Applicant;
NHAI shall carryout construction supervision by engaging competent construction
supervision consultants at the prescribed cost (@3.125%) payable by the Applicant
in advance.
11. The
. applicant need to indemnify NHAI/BOT operator for any damages caused due to
the proposed X-ing.
12. Each proposal received from the State / Central Govt. Agencies I Public sectors is to
be examined and wherever deemed fit, the Competent Authority shall accord 'in-
principle 'approval for grant of permission following which the stage-wise processing
shall commence after levying requisite processing fee. While conveying NHAI's
decision of "in-principle" approval for grant of permission a demand note seeking
1933
charges for the use of NH landed the stages involved should also be notified to the
Applicant.
13. All proposals for grant of way leave permission shall be processed by Regional CGM
and forwarded to the concerned Member at the Head Quarter for final approval of
Competent Authority. The wayleave facilities shall not be granted as a matter of
routine but only after consideration of each case on merits clearly brought out based
on a site inspection by Regional CGM. Special care shall be taken to see that the
way leave facility does not in any way impeach the safety and smoothness of road
transport operations and NH property. For expeditious disposal of the cases, the
Competent Authority for each stage of proposal processing shall be as under:-
a. Proposal scrutiny stage Chairman, NHAI
b. Place of Estimate Stage Concerned Member
c. D&G Charges Concerned Regional CGM
d. Levying Charges towards Maintenance -do-.

of the way leave facility/Crossing
Structure across NH right of way.
14. A standardized format for Agreement to be executed for each case with the State /
CentralGovt. Agencies I Public sectors is placed at Annex-II.On behalf of NHAI, the
concerned Regional CGM is authorized to execute such standard Agreement with the
involved party.
1934
Annexure-B
Sub: Standard Agreement Format for execution with State/ Central Govt.
agencies/ Public Sector for way leave facilities
Construction of *Flyover/Underpass/Foot over bridge/ canal crossing (as the case
may be) over existing NH Link.
This agreement entered on.........day of. ........(month& year) between the
National Highways Authority of India (NHAI), a statutory body formed under an act
of Parliament acting through, the Chief General Manager of the first Part and,
President of India/ Governor of ...........State acting through the (Designation of the

officer.)........... #State/ Central Govt. Agencies /Public Sector (as the case
maybe).
, on the Secondpart.
Whereas there exists N.H link in operation for road transport and #State/ Central
Govt. Agencies /Public Sector (as the case maybe)........... proposed to
construct *Flyover/Underpass/Foot over bridge/ canal crossing (as the case may
be) across the NH No........@Km and therefore, requires wayleave facility
involving NH Land for providing a safe passage to concerned traffic.
And whereas the National Highways Authority of India (NHAI) has agreed to provide
all possible assistance for construction of such *Flyover/Underpass/Foot over
bridge/ canal crossing (as the case may be)
It has now been agreed between parties as follows:-
A. The party in the first part shall
(1) On payment of the amounts mentioned here under provide all facilities and
assistance for early completion of the Project involving construction of
*Flyover/Underpass/Foot over bridge/ canal crossing (as the case may be) and
their completion.
B. The Party in the second part agree:-
(1) To execute regular agreement and to pay the charges for preparation thereof on
an established reciprocal basis or Rs. 10/-, whichever is more, and stamping
charges subject to recovery being as per Stamp Act, as may be in force at the
time of execution.
(2) To submit drawings/designs and specification, including temporary arrangement,

if any, by #State/ Central Govt. Agencies /Public Sector (as the case maybe) for
approval of the NHAI prior to inclusion in the bid document for entrepreneur
appointed for execution. No addition/ alteration/ modification in the approved
1935
plans drawings, etc., shall be made without prior approval of NHAI.
(3) For supervision/ Construction by NHAI of all construction work of bridge proper
across existing National Highways (within Right-of-way of the NH Link) and
payment of plan and estimate charges, supervision charges as approved by
NHAI in advance so that necessary work charged organization can be created
in time for supervision of actual construction.
(3a) The plan and estimate charges shall be 2% and D& G (Direction and General)
Charges shall be 3.125% of the estimated cost of the *Flyover/Underpass/Foot over
bridge/ canal crossing (as the case may be) proper, if the *Flyover/Underpass/Foot
over bridge/ canal crossing (as the case may be) is constructed by #State/ Central
Govt. Agencies /Public Sector (as the case maybe).
(3b) If the *Flyover/Underpass/Foot over bridge/ canal crossing (as the case may
be) is constructed by the NHAI on behalf of the #State/ Central Govt. Agencies
/Public Sector (as the case maybe), the charges shall be 2% plan and estimate
charges and 3.125% D & G (Direction and General) of the estimated cost of the
*Flyover/Underpass/Foot over bridge/ canal crossing (as the case may be).
(3c) Cost of *Flyover/Underpass/Foot over bridge/ canal crossing (as the case may
be) as estimated by NHAI itself or as approved by NHAI if estimated by
concerned #State/ Central Govt. Agencies /Public Sector (as the case
maybe).shall not be a matter of dispute. The D&G shall be subsequently applicable
on final cost of construction of *Flyover/Underpass/Foot over bridge/ canal crossing
(as the case may be) proper. A suitable clause in this context for the purpose of
depositing of D & G, plan & estimates charges, with NHAI shall be included in the
Agreement to be executed between #State/ Central Govt. Agencies /Public Sector
(as the case maybe).
(3d) No work shall be allowed to be started in NH land unless the necessary payment,
as indicated above, are deposited with NHAI.
(4) To ensure advance payment of the entire cost for preliminary and incidental
works that may require to be executed by NHAI for the purpose of clearing the
site for construction of *Flyover/Underpass/Foot over bridge/ canal crossing (as
the case may be). These may include shifting of installation or any other
structures which the NHAI may consider necessary either in the beginning or
subsequently during the construction of *Flyover/Underpass/Foot over bridge/
canal crossing (as the case may be). The charges would include cost of such
works, as approved by NHAI. The D & G shall be payable at the rates indicated
in para 3 above, i.e., 3.125% of the estimated cost of the bridge if the work is
done by the NHAI.
(5) To award work of *Flyover/Underpass/Foot over bridge/ canal crossing (as the
case may be) to only such contractors, as are technically capable of carrying out
bridge works under road traffic running conditions. In case, where the contractor
1936
has not carried out the bridge work under road traffic running conditions, he
will be asked to employ an engineer having adequate experience to supervise
the bridge work under such conditions.
(6) To carry out the work under road traffic running condition with or without speed
restrictions. NHAI will make efforts to arrange speed restriction of road traffic as
per requirements as faraspossible.
(7) To ensure compliance, during the construction of the *Flyover/Underpass/Foot
over bridge/ canal crossing (as the case may be) , of all safety norms that may
be specified by NHAI from time to time for safe plying of road traffic.
(8) To pay on demand the cost of all such works including D & G at the rate of
3.125% of the estimated cost of the work, in case the work need to be executed
by NHAI from safety consideration.
(9)That Lease/ license period shall be......years and will not be changed by #State/
Central Govt. Agencies /Public Sector (as the case maybe) without prior
consultation and the approval of the NHAI.
(10) That during the lease/license period, *Flyover/Underpass/Foot over bridge/

canal crossing (as the case may be) shall be maintained by the concerned #State/
Central Govt. Agencies /Public Sector (as the case maybe) at their cost under the
supervision and inspection of the NHAI. The #State/ Central Govt. Agencies /Public
Sector (as the case maybe) shall pay to the NHAI 3.125% of the Maintenance cost
as supervision and inspection charges p.a. For the purpose of levy of these charges,
the annual maintenance cost shall be taken as not less than 3% of the completion
cost of the bridge proper which may be revised by NHAI as per laid down norms.
These charges shall be deposited by the concerned #State/ Central Govt. Agencies
/Public Sector (as the case maybe) every year in advance. In case concerned
#State/ Central Govt. Agencies /Public Sector (as the case maybe) wants NHAI to
carryout maintenance during lease period they shall pay 3% of the completion cost
as maintenance charges and 3.125% of the maintenance cost as supervision and
inspection charges. By maintenance it will be understood that it involves ordinary day-
to-day maintenance. However, in case any major repairs are required,the cost of the
same, and the supervision charges, shall be borne by the concerned #State/ Central
Govt. Agencies /Public Sector (as the case maybe). Decision of the NHAI regarding
maintenance works required shall be final and will not be a matter of dispute.
(11) To follow, Indian Roads Congress (IRC) codes, and other NHAI Instructions,
etc., for preparation of drawings and designs of the bridge proper as well as for
temporary works. These designs shall be prepared either in-house by the concerned
#State/ Central Govt. Agencies /Public Sector (as the case maybe). In case the
designs are got prepared from Consultants, the same shall be checked by reputed
Consultant/ Engg. Institution before the same are submitted to NHAI for approval.
NHAI decision regarding modifications to the design/drawings, etc., shall be final
1937
and binding on the #State/ Central Govt. Agencies /Public Sector (as the case
maybe) Consultant and shall not be a matter of dispute.
(12) To indemnify and hold the NHAI harmless against all damages, losses, costs and
charges suffered or incurred by the NHAI on' account of any injury to the person or
property of any person using the *Flyover/Underpass/Foot over bridge/ canal
crossing (as the case may be), however occasioned, unless it is solely due to
negligence and misconduct of NHAI or its employees.
(13) To pay interest at the rate of 10% per annum on all sums payable to the NHAI under
any ofthe terms & conditions of these present, if not paid within a month from the date of
demand in writing by the NHAI.
(14) That in metropolitan/urban areas/or other location, where land is scarce and costly,
bridge approaches shall be normally on stilts in NH land. All other areas where land is not
a problem, NHAI may consider solid earth fill approaches in NH land. Decision will be
taken by the NHAI on case to case basis as per the prevailing site conditions and
requirement of the NHAI and shall be binding upon concerned #State/ Central Govt.
Agencies /Public Sector (as the case maybe).
(15) To have way leave facilities as an acknowledgement of the ownership of the

NHAI of the land on which the *Flyover/Underpass/Foot over bridge/ canal crossing
(as the case may be) is constructed. The #State/ Central Govt. Agencies /Public
Sector (as the case maybe) shall pay a total of Rs............ /- per year. NHAI may
demand payment of these charges on capitalized basis taking interest @ 7% per
annum. These charges will vary from time to time as per NHAI Guidelines in this
regard.
(16) To ensure that #State/ Central Govt. Agencies /Public Sector (as the case
maybe) shall carry out and maintain all relevant record including test record required
for quality control carried out in the laboratories of I.I.T. or EngineeringCollege at his
own cost and such record shall be made available for inspection whenever demanded
by NHAI.
(17) To ensure that concerned #State/ Central Govt. Agencies /Public Sector (as
the case may be).shall carry out load test of PSC girder/girder (or other structural
components) in NH portion at his own cost and under NHAI's supervision.
1938
(18) In case of doubt or difference or disputes that may arise between the concerned
#State/ Central Govt. Agencies /Public Sector (as the case maybe) and the NHAI, the
decision of the Chairman, NHAI shall be final and conclusive and binding.
(Regional CGM) Signed by Signed by For and on behalf of

concerned #State/ Central Govt.
For and on behalf of NHAI Agencies /Public Sector (as the
case maybe).
Witnesses
1. 1.
2. 2.
*Flyover/Underpass/Foot over bridge/ canal crossing (as the case may be) #State/
Central Govt. Agencies /Public Sector (as the case maybe).
1939
Chapter: 15. Quality Assurance
Sub Subject
section
I. Riding Quality of Highway.
II. Common Deficiencies in the Quality System.
III. Testing of Materials.
IV. Inspections of Works.
V. Responsibility of Officers for Maintaining Quality of

Constructions.
1940
I. ‘Riding Quality of Highway’
1. Providing smooth riding quality at the approaches of road structures and at

expansion joints.
1.1 During inspections, Chairman, NHAI has observed that the riding quality of the
approaches of road structures such as major bridges, minor bridges and slab culverts
as also at the locations of expansion joints on the surface of deck slabs of major and
minor bridges is poor. This not only brings discomfort to the road users but is also
undesirable from the point of view of road safety. The specifications for road and bridge
works of the Ministry of Road Transport & Highways (Roads Wing) which form the
basis of works being carried out by NHAI clearly lay down the requirements/standards
for carrying out such works, but it appears that due care is not being taken by the
supervision personnel at the time of execution leading to the above short-comings.
1.2 IRC-78 and Clause 305.4.4 of the Ministry’s specifications for road and bridge works
which specify the type of material, extent of backfill, its laying and compaction as also
the methodology of construction to be adopted need to be followed scrupulously.
Similarly, clause 2603 of the Ministry’s specifications referred to above lays down the
performance requirements of the expansion joints. Clause 2603.3 specifically deals
with the performance requirement with respect to users. Apparently the work on the
expansion joints is not being done as per the requirements laid down and is
consequently resulting in a bumpy ride and poor performance with respect to user
requirement.
1.3 In view of the above, all PlUs and supervision consultants are advised to take utmost
care while executing the above mentioned works so that riding quality of the desired
level is achieved both on the approaches of road structures and at locations of
expansion joints. They are also advised to ensure that subsequent settlements at
these locations or deterioration of riding quality (which should not happen in the first
place if the work is properly carried out ) get rectified immediately on their occurrence
and also before issue of completion certificate in case these defects occur during the
defect liability period.
2. Riding Quality at approaches/ Expansion Joints of Structures.
2.1 Expansion Joints are vital for life of a bridge and must be correctly
installed and maintained in order to function properly. The two major causes of
joint failures are improper installation and insufficient maintenance of the joint
1941
resulting in cracking or distortion/ crushing of the joint material, compromising the

entire bridge’s structural integrity and riding quality. It has been observed that in
most places the approaches/ expansion joints of structures like major bridges/
viaducts/ elevated roads are not smooth and cause discomfort to the road users
due to jerks. This concern was expressed by NHAI in the past as well, as may
be seen from the enclosed Policy Circular Tech-48/2005 dated 17.02.2005, but
the situation has not improved. The jerks/ bumps on the completed structures
reflect poor quality of work and it has brought a bad name to NHAI.
2.2 Therefore, in completed/ ongoing projects, PD shall ask AE/IE/SC to immediately

inspect the deviations at the joints in transverse direction & vertical alignment in
longitudinal direction at all the completed structures using NSV/ Laser
Profilometer and instruct the Concessionaire/ Contractor to rectify the
approaches/ expansion joints on structures immediately at their cost in case the
deviation is beyond the permissible limits as given in IRC SP:69-2011 (5mm in
transverse direction 3% in longitudinal direction), which causes jerks/ bumps.
After rectification, AE/IE/SC shall re-inspect the locations using NSV/ Laser
Profilometer again and confirm that the approaches/ expansion joints have been
rectified and the riding surface on the structures is smooth, otherwise shall again
do the rectification till it is perfectly rectified as confirmed by NSV/ Laser
Profilometer. The penalty as prescribed in the agreements shall also be levied
for poor riding quality on the Contractor/ Concessionaire. After the reports of
AE/IE/SC, PDs shall personally inspect and confirm that there are no jerks/
bumps and the riding quality is smooth. The Quality Teams from HQ will also
check the riding surface and rectification done during their inspections.
2.3. PD and AE/IE/SC shall load on Data Lake the timelines for inspection,
rectification, reinspection and confirmation reports on smooth riding surface,
project-wise, alongwith the readings of NSV/ Laser Profilometer taken during the
inspections. However, the rectification on all expansion joints shall be completed
within 60 days of the circular.
2.4. The above procedure shall be followed in future scrupulously before accepting the
completed structures.
2.4 Structures shall have minimum number of Expansion Joints, which may be
ensured while finalising DPR/ defining scope of work. This may be achieved by
adopting longer spans, making the superstructure continuous or by adopting
integrated structures.
2.5 It is recommended to lay the road surface/wearing coat before

commencing installation of joint as per Para-9.6 of IRC: SP: 69.
1942
II. ‘Common Deficiencies in the Quality System’
1 ‘Common Deficiencies in the Quality System’
Quality systems being implemented in the on-going works have been inspected by
the team of senior officers from NHAI headquarters. During these inspections, some
of the common deficiencies noted are indicated below: -
1.1 Review of DPR designs and BOQ provisions: In number of cases Project
Supervision Consultant were found to have limited DPR review to BOQ review only
and no review was carried out for the DPR designs. In EPC contracts PSC is supposed
to carry out timely review of DPR design and BOQ to enable timely corrective action.
1.2 Quality Assurance Plan:
(a) Quality Assurance Manual: Despite NHAI having issued standard Quality
Assurance Manual during July, 2006, in large number of cases it was noted that the
QAM prepared did not even mention the organizational structure for Quality
Assurance and duties and responsibilities of the quality assurance team. The QAM
prepared were also found to have missed out sampling and testing procedures,
frequency of mandatory tests, and use of standard formats for recording, test
observation and results, reference BIS and IRC codes, ordering special tests on
material/completed works, check lists for construction, flagging and removal of non-
confirming materials etc.
(b) Project Supervision Manual: In some of the cases, the Project Supervision
Manual did not even contain duties and responsibilities assigned to key persons like
Team Leader and team members.
(c) Method Statement: Method Statements for various items of work are being
prepared and approved as and when the work is taken up. These piece-meal
approvals are neither numbered nor interlinked to form a comprehensive document.
Thus, the component of planning appears missing.
1.3 Implementation of QAM:
(a) Inadequate deployment of key personnel: In some of the cases despite

works having been in progress for a long time, the Project Supervision
Consultants had not fully mobilized and deployed the key persons required
for proper supervision.
(b) ln some of the works, quality check/cross check procedures in actual
practice were found to be at variance in comparison to the procedure
prescribed in the QAM.
1943
(c) Labelling, storage and flagging of the approved samples of material:

Labelling and preservation of approved material samples for subsequent
comparison and reference and flagging of rejected materials for removal
from site is not in practice in many of the projects.
(d) The DPR project Consultants despite contract provisions did not set up their
testing laboratory for required routine tests to be carried out in DPR stage
to ensure requisite provisions in the DPR project.
(e) Testing of materials etc. from independent outside labs: In some of the
cases it was noticed that the samples for testing in the independent outside
laboratory were being sent by the construction agency and the test results
were also received by the construction agency. The construction agency
then forwarded the test result to the PSC. This practice is not as per the
TOR of the PSC.
(f) In some cases calibration & testing of plants and equipment was found to
have been carried out using non-standard procedure/practice and
frequency. Maintenance of calibration plan and records of calibration were
also found to be wanting.
1.4 In-house Quality Audit and management systems review by PSC/Construction

agency: Except in case of ISO 9001:2000 certified companies neither PSCs nor civil
construction agencies are carrying out any in-house Internal Quality Audit and
management systems review to ascertain effectiveness of the quality systems
implementation at regular intervals to improve the Quality Assurance System.
1.5 Test Checks: Mandatory Test Checks by the Team Leader, RE and PD could not be
substantiated in many cases as the Consultants are not maintaining proper
account/record of the test checks done by them and the PD. Some of the PDs were
found to be avoiding carrying out test checks of the works and Q.C. procedures stating
pre-occupation with other responsibilities assigned to them. In these locations the
IPCs were also not accompanied with Test Check Statement and certificate of the
consultants indicating mandatory test checks having been carried out.
1.6 Request for Inspection:
(a) Approval/rejection of work is done through “Request for Inspection” document.

In number of cases computer logging of RFI’s, methodology to watch the final
disposal of rejected RFI’s, methodology and system for resolving non-
conformities were not found in place. Cross linking of rejected RFI’s with a new
RFI’s through which the corresponding rejected work is accepted was also not
found. Nonexistence of such procedures may result in acceptance of rejected
layer and subsequent covering with upper layer.
(b) Check lists for checking of important items of work should invariably be
accompanied with RFI’s to indicate component of work checked by the
construction agency’s representative and cross-checked by the Supervision
1944
Consultant’s representative. In number of works, it was noted that RFI’s were

not containing the check lists.
1.7 Form work and Staging: Form work and staging for the structures are required to be
properly designed and erected to support the load of structure during construction and
till the structure attains strength. In number of cases, it was noticed that form work
included deformed shuttering plates and the supporting staging was not properly
braced and supported on the ground. Such negligent approach has already resulted
in failure of staging during/ immediately after construction in some locations. PSC and
PD should ensure that deformed shuttering plates are not allowed/used and the joints
between the shuttering plates and other members are properly sealed and staging is
properly designed and cross braced to support horizontal and vertical loads during and
after construction.
1.8 Defective concrete work in structures: To ensure long-term durability of concrete

structure, it is essential to ensure that the reinforcing bars are having adequate cover
and provided with proper laps and concrete surface is not porous. During inspections
it was noted that at number of places there were: -
 Inadequate cover to reinforcing steel.

 Leakage of cement slurry through construction joints due to improper sealing of joints.
 Tie bars, for verticals shuttering, were provided without sleeves, which got embedded
in the concrete making surrounding concrete reinforcement vulnerable to corrosion.
 Not writing casting dates at prominent locations to ensure proper curing of the
concrete.
 Use of old and deformed shuttering plates resulting in uneven and deformed surface
finish.
1.9 Maintenance of existing road and road safety:
(i) Maintenance of existing carriageway: Existing roads are not being maintained
in traffic worthy conditions.
(ii) Road safety: In many projects due attention is not being paid for road safety
measures and installation of retro reflective cautionary and directional signage.
1.10 Project Directors of NHAI play an important role for effective administration and
implementation of the projects. Their duties and responsibilities have already been
defined in the Policy Circular No.11041/21/2002-Admn. Dated 18.04.06. Project
Directors are accordingly advised to issue copy of this circular to all the Project
Supervision Consultants and Independent Engineers working in their jurisdiction and
also ensure that efforts are made to ensure that above mentioned defects are not
repeated in the works under their jurisdiction.
2. Adherence to ‘Quality Assurance Manual’:

1945
2.1 Supervision consultants as per their TOR have been preparing Quality
Assurance Plans specific to the projects for adoption by the Contractors. It has been
observed that some of the quality Assurance Plans are of very good quality whereas
some are not upto the mark. In order to ensure a minimum threshold for quality
assurance by the contractors during construction, a document has been prepared by
the Steering Group appointed by the Ministry of Shipping, Road Transport & Highway.
The National highways Authority of India has adopted this documents as a reference
documents for use by NHAI officials and Supervision Consultants for preparing their
Quality Assurance Plans and ensuring its enforcement in the field However,
Supervision Consultants would be free to improve upon it in preparing projects specific
Quality Assurance Plans while following the guidelines contained in the Quality
Assurance Manual.
2.2 All officers dealing with the appointment of Supervision Consultants at

Headquarters are advised to incorporate this clause in future Supervision Consultancy
Contracts. Officers at field level are also advised to go into details of already prepared
Quality Assurance Plans in their projects and improve upon those plans if they are not
as per this Manual.
III. ‘Testing of Materials’.

1. ‘Testing of Materials’
1.1 Guidelines for Quality Assurance/ Quality control tests/ specifications for the
works are provided in relevant IRC Codes, MoRTH specifications, BIS Codes and
particular specification for work in the contract documents. NHAI has also issued
Quality Assurance Manual elaborating procedures, responsibilities and acceptance
criteria as a base documents through which the contractors/ concessionaries and
Supervision Consultants are called to improve upon while preparing their project
specific Quality Assurance Plan.
1.2 Though there are adequately prescribed guidelines and procedures for quality
assurance, it has been observed that in some of the works these are not being strictly
adhered. Therefore, further instructions in this regards are issued for strict compliance.
(a) Detailed Laboratory Testing Procedure Manual for fields testing laboratory as part
of the Quality Assurance Manual shall be maintained by all the contractors and
concessionaires for each project.
(b) It will be duty of the supervision/ Independent consultant to ensure that the
Laboratory Testing Procedure Manual covers all key activities for the field/ off-site
testing of materials/ products such as samplings methods, marking, packing,
sealing and transport of collected samples for testing by standard calibrated testing
equipment, presentations and analysis of test results in standards formats,
acceptance criteria, special tests, procedure for handing non-conforming
materials/ products, calibration of plants and testing equipment etc.
1946
(c) Consultants shall also ensure that the contractor/concessionaire has proper set
up necessary for calibration and testing procedures to ensure conformity of
material as per IRC BU/ISO and MoRTH guidelines (as applicable) and provide
regular report to NHAI in their monthly progress report.
(d) For Source approval and independent testing of materials the Supervision/
Independent consultants shall send test samples to the external laboratories in the
following order of priority:
(a1) Nearby laboratories accredited by NABL or any other accreditation agency

in accordance with ISO/IEC 17025 and /or ISO T 5189 Standards.
(a2) Indian Institute of Technology.
(a3) National Institute of Technology.
(e) Within 3 months of source approval or/change of source conformity test for three
basic input material viz. Aggregates, Steel and Water as described below shall
be got carried out from the external laboratories in the above order of priority.
(i) Aggregates: Samples for tests shall be representative of the material to be

used and Collected in accordance with the procedure set forth in IS: 2430 and
conformity to IS: 2386 Part I to VIII, IS: 383, BS: 812 and Specification of Road
& Bridge Works issued by MoRT&H be checked. Details of tests to be
conducted are given below:
Test for Aggregates:
(a.1) Petrographic examination
(a.2) Aggregate impact value
(a.3) Los Angeles Abrasion value
(a.4) Flakiness lndex and Elongation Index
(a.5) Water absorption of Aggregates
(a.6) Soundness
(a.7) Determination of deleterious and organic impurities
(a.8) Alkali Aggregate reactivity (in case of concrete work) Additional test
for Aggregates (For Bituminous Road Work)
(a.9) Stripping value of Aggregates

1947
(a. 10) Water sensitivity — If minimum retained coating in stripping test is

less than 95%
(a.11) Polished stone value
(ii) Steel: Sample for tests shall be representative of the materials to be

used and collected and checked for conformity in accordance with the
procedure set forth in IS: 1786 & IS: 2062. Following tests shall be conducted
before source approval.
Test for Steel:
(b.1) Nominal mass
(b.2) Proof stress
(b.3) Elongation
(b.4)Tensile Strength
(b.5) Bend test (b.6} Re bend test
Chemical test
(b.7) % Carbon
(b.8) % Sulphur
(b.9) % Phosphorous
(b.10) % Sulphur + % Phosphorous
Chemical constituents for corrosion Resistant steel etc. shall be tested as

per manufacturer’s specifications. However, these specifications should
satisfy the minimum standards specified in IS: 1786
(iii) Water: Samples for tests shall be representative of the materials to be

used and collected and checked for conformity in accordance with the
procedure set forth in IS: 456. The construction and caring water shall meet
following requirements:
(c.1) Neutralization requirements for reactivity with sodium hydroxide as

per IS: 456.
(c.2) Neutralization requirements for reactivity with sulphuric acid as per IS:
456.
(c.3) The PH value of water shall be not less than 6.

1948
(c.4) Permissible limits for solids as per IS: 456 for following:
 Organic
 Inorganic
 Sulphates
 Chlorides
 Suspended matter
(f) The above policy shall come in force with immediate effect and all the PDs shall
personally ensure compliance at their level. For ongoing projects conformity test
be carried out within three (3) months of issue of the circular.
IV. ‘Inspections of Works’
1. ‘Inspections of Works’
1.1 To ensure quality of National Highways works, need for frequent inspection by
the officers of Authority was felt. Similar views were expressed by the MoRTH vide
circular referred to above under reference. Accordingly, it has been decided to have
frequent inspections by the officers at various levels as per the frequency mentioned
in Annex-1. The inspection shall cover works in DPR stage, on-going works as well
as completed works. The inspection report shall be prepared in the proforma enclosed
at Annex-2 as developed by Datalake for Regional officers and Annexure – 3 for the
officers other than ROs. Besides, the inspection report shall also be uploaded on
Datalake. Inspecting officers are expected to carryout /witness some quality tests.
1.2 The report shall invariably cover status of resource mobilisation, reasons of slow
progress, if any, construction programe, EoT, deficiencies in executed works, site
encumbrances, issues needing attention of the State, status of punch list items,
requirement of change of scope both positive and negative, etc. Further, report shall
also cover the quality of services being rendered by the DPR consultant / Authority
Engineer / Independent Engineer /Safety Auditors etc.
1.3 Project Directors are expected to submit Action Taken Report (ATR) on monthly basis
and upload on Data lake. Inspecting officers may verify compliance of the earlier
inspection report during the subsequent inspections.
1.4 The following may be noted in this regard:

1949
(a) The inspections/inspection reports of officers of NHAI shall not relieve

concessionaire/contractor and IE/AE of their obligations under their contracts with
NHAI;
(b) The subordinate officers in PIU, RO & HQ will issue their inspection reports with
prior approval of PD, RO & CGM, HQ respectively;
(c) While issuing inspection reports, proper care should be taken by inspecting officers
to protect the interest of NHAI and not to deviate from the contractual provisions/
rules/ guidelines. Mere mention in the inspection report does not mean that the
proposal was approved. Prior approval of competent authority of NHAI, wherever
required, shall be taken by PIU, RO & HQ.
2. Quality Inspection of NH projects where the projects were awarded to

abnormally Low quoted Bids:
2.1 Quality of work in NH projects has been an area of concern and NHAI has been making
all-out efforts to ensure delivery of projects with utmost quality standards.
2.2 However, it has been observed that the quality of construction, at times, does not get
due attention and deficiencies at various levels have been reported. This aspect is
more prevalent in the projects where the projects were awarded to Abnormally Low
Quoted Bids.
2.3 Independent Teams from NHAI HQ are being deputed to carry out quality checks at
sites of various projects currently under implementation. In order to ensure that the
quality of works in such low quoted projects gets due attention, it has been decided
that independent quality inspections in such projects would be carried out more
frequently by the teams from NHAI, HQ, preferably once in every 2-3 months period
during construction.
2.4 Further, ROs/PDs are advised to undertake frequent and regular inspections of such
projects and issue inspection notes so as to ensure requisite quality standards.
1950
3. In addition to above, Independent Quality Inspection of the projects by Retd. Govt.

Officials as Team Leaders shall be conducted along with following TOR and
inspection format:
3.1 Terms of Reference (TOR) as Annexure-4 for Engagement of retired officers as Team
Leader for Inspection of Quality of Construction of National Highway projects
3.2 Format for Quality Inspection by Team Leaders for NHAI Projects
Project specific observations are to be provided in prescribed format as per Annex - 5.
V. Responsibility of Officers Maintaining Quality of Constructions
1.1 A number of references on bad quality of works constructed at site are being received.
Besides bringing bad name to NHAI, it indicates lack of supervision at various levels
in the field.
1.2 In order to have proper check on quality of works, the quality inspections at various
levels are also being undertaken and in some cases, directions to obtain the
explanations of PD, AE/IE, Contractor etc. have been issued.
1.3 It has been decided that the concerned DGM/Manager/Dy. Manager/Site Engineer of
PIU, in-charge of the project, along with the concerned PD, shall also be held
responsible for lack of supervision/monitoring of quality of works, wherever such
shortcomings are noticed.
1951
List of Annexures/Enclosures for Master Circular of Quality Assurance -
S Sub category of Quality Annexure/Enclosure Page no. (From -

No. assurance Master circular No. to)
1.F. D.1.1. Inspection of works Annexure-1 Frequency 13 - 16

of inspection
Annexure-2 Inspection 17 - 34
report for the projects at
DPR stage, awarded not
appointed, under
construction and O&M
shall be prepared in the
proforma for ROs as
developed by data lake
Annexure-3 Inspection 35 - 43
report for the projects at
DPR stage, under
construction and O&M
shall be prepared in the
proforma for officers other
than ROs
1. D.3.1. (i) Inspection of works Annexure-4 TOR for 44 - 46

Engagement of retired
officers as Team Leader
D.3.2. Inspection of works Annexure-5 Format 47 - 51

for Quality Inspection by
Team Leaders for NHAI
Projects
1952
Annexure-1 of Master Circular D.1.1 sub category ‘Inspection of Works’
Coverage, levels and frequency of inspection
Sr. Subject for Inspection Frequency of Inspection Inspection to be

No. undertaken by (level
of Officer at PIU/
RO/ HQ)
Projects where DPR is in progress
a DPR Consultant‘s Team : Comparison of team Monthly Dy. Manager/

mobilized at site vs as given in Consultancy Manager/ DGM (PIU)
Contract
b Programme of Consultant for LIDAR, traffic surveys, To be witnessed as & when Dy. Manager/
geo-tech investigations (borings) — site inspections planned by DPR Consultant Manager/ DGM (PIU)
shall be planned to witness such works
Project Alignment options inspected (merits & All options to be inspected Project Director
demerits) including LiDAR Surveys before sending to RO
Preferred option to be Regional Officer

inspected before
stakeholder consultation
Preferred option may be GM/ CGM HQ

inspected before approval by
LA Committee
d Project Features inspected (proposed locations of All proposals to be inspected Project Director
Service Roads, Flyovers, VUPs, Major Bridges, ROBs, before sending to RO
Toll Plaza, Forest/ Wildlife/ CRZ Areas, etc)
All proposals to be inspected Regional Officer or
before project appraisal GM / DGM of RO
Before approval of project GM HQ/ CGM HQ
e Quarry locations inspected To be witnessed as & when Dy. Manager/

planned by DPR Consultant Manager/ DGM (PIU)
f Stakeholders Consultation Meeting on the Project Monthly Project Director
Quarterly Regional Officer

1953
On visit if required GM HQ/ CGM HQ
Joint Inspection for Shifting of Utilities To be witnessed as & when Dy. Manager/
planned by DPR Consultant Manager / DGM (PIU)
Estimate to be verified at Project Director

site before sending to RO
Quarterly Regional Officer or

GM/ DGM of RO
h In case project reach is taken over before award ofcivil Quarterly Project Director
work, inspection of maintenance & safety,
Before and after monsoon Regional Officer

protection of RoW (encroachments, unauthorized
access/ median openings, etc) — Drone Survey/Network
Survey Vehicle Inspection On visit GMHQ/CGM HQ
Awarded Projects (LOA to Appointed Date)

2
a Joint Inspection for handing over of Site/ RoW from Monthly (minimum) Project Director
date of agreement till 100% encumbrance free
land is made available
b Identification of missing plots/ utilities from date of On continuous basis Dy. Manager/
agreement till 100% encumbrance free land is Manager / DGM (PIU)
made available
Monthly (minimum} PD
Inspect & report on status of Conditions Precedent Monthly Project Director

reported by Contractor/ Concessionaire
Once in Two Months Regional Officer
Quarterly Review GMHQ/CGM HQ
d Record the Road Condition through Drone/ Videography to be done 7 Dy. Manager/
Network Survey Vehicle, before handing over of days before bid due date, Manager / DGM (PIU)
road to Contractor/ Concessionaire Appointed date
3 Projects in Construction Stage
a Safety Arrangements in Construction Zones & Before start of work after AD Project Director
Maintenance of existing road
Within month after AD & on Regional Officer
visits
1954
b Compliance with construction methodologies of Monthly Project Director

structures
Inspecting the works and test checking the ground Monthly Project Director
levels/ measurements randomly as required
Quarterly Regional Offices
or GM / DGM of
RO
d Inspection Lab & Witnessing Tests conductedduring On visit Dy. Manager/
construction of different items/ works Manager / PD
On Visit Regional Officer or

GM/ DGM of RO
e Inspection of Plant & Equipment/ material at site Monthly Project Director
before releasing advances and subsequently
On Visit Regional Offices orGM /
DGM of RO
f Inspection of Plant & Equipment, material, Camp Monthly Project Director
Sites, etc regularly to monitor the resources
Quarterly Regional Offices or
available vis-à-vis resources required as per work
programme GM / DGM of RO
Inspection of Sites involving COS demands AD+60 days Project Director
Before recommending Regional Officer
As desired GMHQ/CGM HQ
Joint Inspection of encumbrances/ obstructions On continuous basis Dy. Manager/

reported by Contractor/ Concessionaire every Manager/DGM
month and draw a Joint Report containing the (PIU)
Action Plan. PD
Monthly
i Meeting (preferably through VC) with AE/ IE and Monthly Project Director
Contractor/ Concessionaire and issue the Minutes
On Visit, if required GMHQ/CGM HQ
Inspection of Insurance Policies/ Bank Guarantees/ Monthly Project Director
Escrow Account Reports, Audited & Unaudited
Annual Accounts
Semi-Annually GM(F)HQ/CGM(F)
HQ
Inspection to check Force Majeure/ Change-in- Law Monthly Project Director
1955
Claims. Quarterly Regional Officer

Semi-Annually GM HQ / CGM HQ
Safety Audit of the Project Monthly Project Director
Quarterly DGM/ GM of Regional
Officer
On Visit GMHQ/CGM HQ
Mock Drill for Tolling Operations at ToII Plazas; Weekly Dy. Manager/
response time of accidents/ incidents (ambulance, crane Manager/DGM
& highway patrol vehicle) (PIU)
Monthly PD
Inspection of Sites when Contractor/ Before issuance of PCC/ CC Project Director
Concessionaire requests for Provisional Completion/ as per extant policy circular Regional Officer
Completion Certificate, especially the list of items in the
Punch List.
Projects in O&M Stage
Inspection to identify Defects & Deficiencies of Monthly Project Director

various items as given in Schedule-K Semi Annually Regional Officer
b Witnessing roughness measurements and traffic As & when planned (traffic Dy. Manager/
surveys surveys) Manager/DGM (PIU)
As & when planned PD
(roughness measurement}
Inspecting Safety Programme and accident-proneSpots Monthly Project Director
Quarterly DGM/ GM of
Regional Officer
Semi-Annually GMHQ/CGM HQ
1956
d Checking measures taken for protection of RoW Monthly Dy. Manager/

(encroachments, unauthorized access/ median Manage DGM (PIU)
openings, etc)
Semi-Annually Dy. Manager/
Manager / DGM
(RO)
e Inspection of Toll Plaza covering Toll Collection On continuous basis Dy. Manager/
Equipment (check Service Level Requirements) including Manager/ DGM
TS, AVCC, Weigh-in-Motion/ SWB; Control Center, (PIU)
Sample check of data transfer (electronic/ cash Monthly Project Director
transactions), etc.
Quarterly
0&M Yard and Mock Drills of O&M Preparedness Weekly Dy. Manager/
including response time of Ambulance, Crane, Manager/ DGM (PIU)
Highway Patrol Vehicle in case of Accidents/ Incidents
Monthly Project Director
Inspections/ Works to be taken up as per O&MProgramme On continuous basis Dy. Manager/

Manager/DGM (PIU)
Qua4eñy Regional Officer
h Inspection of lane closures On continuous basis Dy. Manager/

Manager/DGM (PIU)
i inspection of Punch List Items Monthly Project Director
Semi-Annually GM HQ/ CGM HQ
j Inspection of Repair/ Rectification Works On continuous basis Dy. Manager/

Manager/ DGM
(PIU)
Monthly PD
Semi-Annually GM HQ/CGM HQ
k Independent Traffic Sampling (Video/ ATCC based Traffic As & when planned Project Director
Surveys) to check the traffic reported by
Concessionaire
1957
I Site Inspection to draw 0&M Plan/ Budget/ Estimate On continuous basis Dy. Manager/
with supporting Drone/ NSV Data for reaches not with Manager/ DGM (PIU)
any Contractor/ Concessionaire
Quarterly Project Director
Semi-Annually Regional Officer

1958
Annexure-2 RO Inspection format for para D.1.1 the works Balance for Award Projects (DPR) as developed by Data Lake
1959
Annexure-2 RO Inspection format for para D.1.1 the works Balance for Award Projects (DPR) as developed by Data Lake (continued)
1960
1961
1962
Annexure-2 RO Inspection format for para D.1.1 for the works awarded not appointed projects as developed by Datalake
1963
Annexure-2 RO Inspection format for para D.1.1 for the works awarded not appointed projects(Continued)
1964
Annexure-2 RO Inspection format for para D.1.1 for the works awarded not appointed projects(Continued)
1965
Annexure-2 RO Inspection format for para D.1.1 for the projects under construction as developed by Datalake
1966
Annexure-2 RO Inspection format for para D.1.1 for the projects under construction(Continued)
1967
1968
1969
Annexure-2 RO Inspection format for para D.1.1 for O & M Projects as developed by Data Lake
1970
Annexure-2 RO Inspection format for para D.1.1 for O & M Projects(Continued)

1971

1972

1973

1974

1975

1976
Annexure-3 of Master Circular D.1.1 sub category ‘Inspection of Works’
Proforma for inspection of DPR Projects for the officers other than Regional Officer
Inspection Note of ............ .... (Name of Officer);..... ......... (date); to...,.. ..{Place of Inspection ).......... .....
Name of Inspecting Officer:
Date:
Name of Work:
DPR Consultant Firm:
DPR Contract Cost (Rs. Cr.); Expenditure incurred (Rs.
Cr.); Revised Contract Cost
DPR Start Date/ Sch. Completion Date Team
Leader:
Project In charge
Status of NH Notification
Date of Start of DPR
Schedule Completion Date
DPR Stage
Length(Km}
Project Alignment Status
Scope of Work (Required project features)
Maintenance status of existing highway
status of meetings with state
Govt/Agencies Representatives
Status of Public Consultation Meetings
Status of ROB Approval, if any
Appointment of CALA 3(a)
Status of LA Status 3A/3D/3G/3H :Date of Notification of LA (if given at
different date, please mention each date & area)
Chainage Length Area in Details of
1977
in(Km) (has Notifications
From to
Area of LA required
Existing RoW area
Balance LA area required
If LA not done give details
CALA wise
Authority with which
pending and since when
Status of Forest/ Wildlife Clearance Length affected due to
Forest
Date of application for FC
If pending
Stage where pending
pending
Since when
Status of Utility Shifting Estimates Details of Utility Shifting
Status of U/S estimates
If ending
Stage where pending
pending
Since when
Outcome of inspection on different aspects as given in Annex-3-

1978
(Annexure – 3 Continued)
Proforma for inspection of ongoing works
Name of inspecting Officer/ Designation
In presence of:
Date:
Name of Project; Date of
Sanction, Sanctioned Cost (Rs.
Cr.); Cost put to tender
/Rs. Cr.); Quoted Amount as per LOA
(Rs Cr.); Revised Contract Price (Rs.
Cr.)
Length(Km)/ AD
AE/IE Consultant Firm:
AE/IE Contract Cost (Rs. Cr.);
Expenditure incurred (Rs. Cr.); Revised
Contract Cost AE/IE Start Date/ Sch.
Completion Date Team Leader:
Project in charge
1 Status of Land yet to be
handed over
a. Chainage Area inDescription of affected work Value of work

(hec)
From To
b No of Gaps
Status 3A/3D/3G/3H
d Reason pendency
of
LA Cost (i) Sanctioned (Rs. Cr.} for
e extent (Ha.);
(ii) likely cost (Rs. Cr.) for
pending
Extent (Ha.)
2. Status of Forest/ wildlife
clearance
a. Length affected
1979
b. Description of work affected

C. Reason of pendency & since
d. Authority where pending
3. Status of ROB/other clearance:
a. Chainage (s)
b. Span Arrangement
c Reason of Pendency & since
d. Likely date of clearance
4 Status of tree cutting
Length pending affected

a.
With no. of trees
b. Type of work affected
c. Reason of pendency & since
d. Authority where pending
5. Adequacy of scope of Work
a. Plan and Profile approval status
b. Design & Drawing approval status
c. Deficiency in original scope of work
d. COS requirement (Rs. Cr.)
e. Status or COS approvals including

COS approvals by ROs
Details of utility shifting estimate':
sanctioned under the project
Details of other estimates sanctioned
under the project
(Annexure - 3 Continued)
6. Financial Checks
Inspection of Insurance Policies/ Bank Guarantees/
a. Escrow Account Reports, Audited & Unaudited Annual
Accounts
1980
Inspection to check Force Majeure/ Change-in-

b.
Law Claims
7. quality of work (General Report)
a. Approval status of QAP
b. Non-compliance of quality Systems
/Specific observation
Compliances by AE/IE on MPR & uploading on PIMS
c.
d. NCR issued
e. NCR closed
Compliance by AE/IE of supervision
quality test at required frequency and
registered duly signed by TL
Inspecting the works and test
g checking the ground levels/
measurements
Inspecting Lab & Witnessing Tests
h conducted during construction of
different items/ works
8. Progress
a Progress (physical-%; financial-%)
Length of different pavement layers
b
completed (in km)
c Progress of major bridges-%
d Progress of other structure-%
9. Approval of Construction Management
Program:
Submission by
a.
b. Approval by AE/IE
C. Requirement of revision?
10. (i) Status of Punch List Items (ii) Status of descoped works
a. Item Description a. Date of availability of land of descoped work
b. Status of completion b. Mode of execution of descoped work & its status
c Reasons for delay
11. Level of resources (deployment of manpower & machinery)
a Availability of adequate Machinery
b Availability of material & manpower
1981
Safety Arrangements in Construction Zones &

Maintenance of existing road
d Safety Audit of the Project
12. Dispute
a. No. of disputes notified
b. Details of Disputes
c. Financial and/or its time impact
d. Dispute resolution mechanism-status

13. Performance Appraisal
Availability of key personnel as per contract
a.
agreement
b. Comments on performance appraisal
of IE/AE
Comments on performance appraisal of
concessionaire
All the above provisions must be evaluated in terms of the respective contract/concession agreements
1982
(Annexure-3 Continued)
Proforma for inspection of works in 0&M stage
Name of Inspecting Officer/Designation

In presence of
Date
Name of Project; Date of Sanction; Sanctioned Cost
Rs. Cr.); Cost put to tender (Rs. Cr.); Quoted Amount
as per LOA (Rs. Cr.); Revised Contract Price (Rs. Cr.)
LA Cost (Rs. Cr.) and extent (Ha.)
Utility shifting estimates sanctioned (Rs. Cr.)
Other estimates sanctioned (Rs. Cr.)
AE/IE (O&M) Consultant Firm:
AE/IE (O&M) Contract Cost (Rs. Cr.); Expenditure
incurred (Rs. Cr.); Revised Contract Cost
AE/IE (0&M) Start Date/ Sch. Completion Date Team
Leader:
Project in charge
Length(Km)/PCOD/COD
Status of Punch List Items Status of descoped works
a. Item Description a. Date of availability of land of descoped work
b. Status of completion b. Code of execution of descoped work & its status
c. Reasons for delay
Details of COS approved including by RO
1. Condition of Pavement
a. Total length inspected
b. Length in patch less condition
c. Roughness
d. Tollable traffic (PCU)
e. Repair Work to be taken up
2. Toll plaza
a Delay in FASTag lanes (in min)
b Lane with Fast tag/Total lanes
c. Availability of Weigh in motion/ SWB
d. Condition of control center
1983
Sample Check of data transfer (electronic/

e.
cash transactions)
3. Public Facility at Toll Plaza
a.. Toilets cleanliness (good/fair/poor}
b. Nest Mini (operational or not)
C. Water ATM (available or not)
Highway lighting
coverage
d. (in meters) on road
Illumination
surface on bothsides of the
toll plaza
Canopy lighting (no. of bays
covered)
4. Encroachments
a. Illegal advertisement within ROW
(Location)
b. Illegal access to the NH (location)
Illegal establishment on NH (land dhaba /bus-stand/ taxi
C. stand etc.}
{Location)
5. Structures
a. Condition of approach roads
b. Condition of Expansion joints
Safety/crash barrier with clear distance/shy
c. distance of 0.5 m from edge of carriage way
Yes/No/Partial)
6. Vulnerable Sections / blackspots
a. Locations of Traffic sign with deviation from
Standard
Locations of marking with deviation fromstandard
b.
c. Safely arrangement for At-grade junctions
d. Intervention required at blackspots
’temporary/short-term/long-term)
7. Availability of Incident Management
system/Safety
1984
a. AIS-125 certified Ambulance with EMT

(Yes/No)
b. Patrol vehicle (Yes/No)
c. Crane/tow away vehicle of min.15 tonne
capacity (Yes/No)
d. Location of unauthorised median cut
e. F4edian opening without blinkers
8. ATMS
a. Availability of ATCC (yes/no)
b. Availability of VMS (yes/no)
c. Availability of Video Incident Detection
System (yes/no)
d. Availability of Vehicle Actuated Speed
Display system
Availability of Video surveillance system Pan Tilt Zoom-
e. Photoshop Layered Texture (PLT) cameras]
9. Miscellaneous Items
a. Locations with bad drainage/water logging
Locations Chainage
Side slopes of embankments (extraordinary deviation
b. from prescribed limit and visible rain cuts) Locations Chainage
C. Locations of traffic stagnation/traffic jams Locations Chainage
d. Cleanliness along the NH (good/fair/poor)
e. Edge line clearance from median planation Locations Chainage
(overgrowth)
10. Performance Appraisal
a Availability of maintenance manual
b No of NCR issued in a month
c No. of Compliance issued in a month
d Availability of key personnel as per contractagreement
e Report of NSV submitted?
Highway rating score validation?
g Comments on performance appraisal of IE/AE
1985
Comments on performance appraisal of

h
concessionaire
All the above provisions must be evaluated in terms of the respective contract/concession agreements
1986
Annexure – 4 from para 3.1
Terms of Reference for Team Leaders for Inspection of Highway works
(i) The team leader shall work under the control of SRD&Q Division, NHAI HQ, in accordance with Terms of
Reference(TOR).The entrustment of assignment to the empanelled retired officers will be assigned by
Chairman, NHAI provided there is no conflict of interest with the Contractor/ Concessionaire/ AE/ IE/ SC etc.
associated with the project. A certificate to this extent shall be furnished by the team leaders prior to the
assignment.
(ii) He shall assess quality system in place by the Contractor/ Concessionaire for the work assigned and
its level of implementation, supervision and control.
(iii) He shall assess quality system in place by the AE/ IE/ SC for the supervision and control during
various stages and as a final output.
(iv) He shall verify compliance to specified requirements as published by IRC, MoRTH, NHAI, BIS & as
per good engineering practice and with reference to procedures already approved by AE/ IE/
SC. This shall include, but not limited to, the following:
(a) To check the quality of Embankment/Sub-grade, Bituminous Concrete (BC), Dense Bituminous
Macadam (DBM), Wet Mix Macadam (WMM), Granular Sub Base (GSB), Pavement Quality Concrete
(PQC), Dry Lean Concrete (DLC) and all RCC works in respect of culverts, major & minor bridges ROBs/
RUBs etc.
(b) Adequacy and correctness of mix design and methodology of construction.
(c) Upkeep and maintenance of laboratory for testing of materials, adherence to frequency of tests and
conduct of tests. The team will inspect the quality of construction at site and the tests, if any, required
to be conducted may also be carried out for the purpose.
(d) Implementation of planned procedures and methods for Quality Assurance and Quality Plan to
achieve the desired quality objective and implementation.
(e) Control and upkeep of documents related to Quality Assurance, Method Statement, quality control
tests, source of material, non-conformity management, identification and removal of non-conforming
materials, plant operations connected with the project etc.
(f) Calibration status of plants and equipment as per QA plan.

1987
(g) Implementation of safety plan and measures.
(v) He shall be responsible to clearly highlight the inadequacies and non-conformities and ensure
checking of conformance with applicable standards and norms prescribed in the Quality Assurance Plan
prepared by the contractor/ concessionaire and approved by the AE/ IE/ SC including removal of non-
conformities.
(vi) He shall share all the observations to the concerned Project Director/ Contractor/ Concessionaire/
Consultant and specify time frame for its corrective/ preventive actions.
(vii) He shall submit Inspection reports along with the recommendations to achieve the overall objective
of total conformity to specified requirements to NHAI HQ. All relevant details viz. affected document,
reference document, area, unit etc. shall be clearly mentioned in the report. Generalized comments
may be avoided.
(viii) He shall subsequently conduct follow-up audit to review the corrective action taken by the
Contractor/ Concessionaire & submit the follow-up compliance report to NHAI HQ.
(ix) He shall adhere to the following timelines for completion of the assignment; starting from the date
of entrustment (T) by NHAI.
(a) Site visit for Document Verification & Quality Inspection, T1=T+5 days
(b) Submission of Inspection Report to NHAI HQ T2=T1+6 days
(c) Site visit for follow-up on compliances of required corrective actions, T4=T3+2 days where T3=Time
for corrective actions as per (vi) above or 30 days, whichever is Less.
(d) Submission of Closure Report to NHAI HQ, T5=T4 +7 days
(x) The retired officer to be engaged as team leader will be paid the fees & expenses as under:
S. No. Particular Amount payable
1 Fee for site visit or meetings at site Rs. 25,000/- per day
2 Travelling expenses Economy class by air:

1988
AC first class by train,
AC taxi by road
3 Lodging & Boarding Rs. 15,000/- per day (Metro Cities):

or Rs 10,000/- per day (in other
cities); or Rs. 5,000/- per day (own
arrangement )
4 Fee for preparation of inspection report Rs. 30,000/- (Lump-sum)
5 Fee for preparation of follow up compliance Rs. 10,000/- (Lump-sum)

report
6 Local conveyance Rs. 2,000/-
Note:
(a) Lodging, boarding and travelling expenses will be allowed only for those team leaders who are
residing 100 kms away from the place of meeting/ visit.
(b) Delhi, Mumbai, Chennai, Kolkata, Bangalore and Hyderabad shall be considered as Metro Cities.
(c) The payment to the team leaders will be released in two phases i.e. after submission of inspection
report to NHAI HQ & after submission of follow-up compliance report to NHAI HQ, by respective PlUs
within 7 days of submission of bills.
(xi) Inordinate delay in submission of inspection report/ closure report may result in no future work being entrusted
to the retired officer.
1989
Annexure 5 of Master Circular D.3.2.format for Team Leader under sub category ‘Inspection of Works’
Period of Inspection:
1. Brief Details:
(i) Name of work
(ii) Name of Concessionaire/ Contractor
(iii) Civil work contract amount
(iv) Civil works contract agreement no. & date
(v) Start date of civil work (as per contract)
(vi) Due date of completion (as per contract)
(vii) Anticipated date of completion of civil work, ifapplicable.
(viii) Progress (%) at the time of inspection

(a) Physical
(b) Financial
Details of Independent Engineer/ Authority Engineer/ Supervision Consultant
(ix) (a) Name
(b) Agreement no. and date
(c) Date of start of consultancy as percontract
Details of Project implementing Authority

(x) (a) PIU
(b) Project Director
(c) DGM/ Manager
Officers present at the time of Inspection
(a) Team Leader
(xi) (b) Team Member-1
(c) Team Member-2
(d) PD
(e) DGM/ Manager
(xii) Representative (name and designation) of Concessionaire/
Contractor:
(xiii) Representative (name and designation) of IE/ AE/ SC
(xiv) Name of Design Consultant/ Proof Consultant, as

applicable
1990
1. Details of previous Inspection by NHAI:
2. Details of NCRs issued by AE/ IE/ SC:
Sl. NCR no. Descri Location Compliance StatusClosed: Yes/

No. ption No
3. Details of deficiencies for which NCRs have not been issued:
4. (i) Detailed report w.r.t. contractual provisions, based on review of Documents/

Records in respect of following be submitted.
(a) Quality Assurance Plan & Methodology:

(b) Internal Quality Audit report of contractor:
(c) Veracity of Design & GFC Drawings:
(d) Sub-soil investigation:
(e) Design Mix Reports Approval:
(f) Methodology for Temporary Structures/ Works:
(g) (i) Third Party Testing & Source Approval:
(ii) Details of Source approvals of Cement & Steel and Brand of Cement & Steel used at site
(h) Approval of Quarries/ Borrow areas:
(i) Material Procurement Consumption records:
(j) Maintenance of Measurement books:
(k) Calibration of field/ lab equipment:
(l) Quantum of routine tests w.r.t. procured material/ executed works:
(m) Certification of executed works through RFIs:
(n) Cross linking of rejected works with the rectified works:
(o) Status of mandatory test checks by consultants:
(p) Test checks by PD, NHAI:
(q) Construction materials approval as per specifications:
(r) Monthly Progress Reports & Road condition assessment, by AE/ IE/ SC:
(s) Submission of quality related documents along with the payment certificates, by AE/IE/SC:
(t) Deployment of key personnel by consultants:
1991
(u) Upkeep of documents related to Quality Control:

(v) Other observations:
(ii) Timelines for corrective actions, if any, required on the above issues be specified.
5. Observations based on the Site visit:
(i) Record of tests carried out for Quality of following Construction Material & review of the same
w.r.t. specifications:
i. Earth
ii. Aggregates
iii. Bitumen
iv. Cement
v. Steel
vi. Water, etc.
(ii) Comments on the workmanship & Quality of different layers of pavement (review of test records
and details of tests carried out by the TL be given)
i. Embankment/ Subgrade
ii. Granular Sub Base
iii. Wet Mix Macadam
iv. Dense Bituminous Macadam
v. Bituminous Concrete
vi. Dry Lean Concrete
vii. Pavement Quality Concrete, etc.
(b) Quality of Structural Concrete works:

(c) Quality of Reinforced Soil works:
(d) Temporary works with respect to approved plan:
(e) Slope Protection works:
(f) Embankment levels and general plan & profile of the road:
(g) Safety Measures adopted:
(h) Drainage Systems and comments on the disposal points of the drains:
1992
(i) Roadside Boundary Stones:

(j) Quality of expansion joints (jumps/ jerks, if any, be brought out in particular)
(k) Quality of riding surface (jumps/ jerks on the approaches to structures and vertical curves
etc. be noted in particular)
6. Field testing carried out during the inspection:
Details of the tests carried out at site/ field laboratory during the inspection & comparison
with respect to the respective acceptance criteria.
(a) Pavement Composition:

(b) Compaction:
(c) Gradation:
(d) Bitumen Content:
(e) Concrete Strength:
(f) Road Profile:
(g) Other tests carried out:
(Enclose test reports signed by all stakeholders)
7. Chainage wise enclosed Photographs in respect of the defects/ deficiencies observed

during site visit.
8. Summary of the Major Deficiencies noticed.
9. Comments of Team Leader on the Failures, if any, of the Concessionaire/ Contractor in

respect of the following:
(i) Failure to set up for Institutional mechanism and procedure required as per Contract.
(ii) Failure to complete or has missed any milestone and progress not commensurate with
contiguous unencumbered project length /ROW availableeven after lapse of 6 months from respective
project milestone/Schedule Completion date, unless Extension of Time has been granted due to
Authority'sor Default or Force Majeure.
1993
(iii) Failure to achieve progress commensurate with funds released from Escrow Account
(Equity+ Debt + Grant) in BOT or HAM project and variation is more than 25% in the last 365 days.
(iv) Failure to achieve the target progress or complete the project as per schedule agreed at the
time of sanctioning of funds under One Time FundsInfusion (OTFI) or relaxations to contract conditions
to improve cash flow solelyon account of concessionaire's failure/ default.
(v) (a) Failure to complete rectification (excluding minor rectifications) as per time given in non-
conformity reports (NCR) in design/completed works/ maintenance or reported in Inspection Reports
issued by Quality Inspectors deployed by the Authority or Officers of the Authority.
(b) Failure to complete minor rectifications exceeding 3 instances in a project not completed as per
time given in non-conformity reports (NCR) in design/completed works/ maintenance.
(vi) Failure to start the work or causes delay to maintenance & repair/overlay of the project.
(vii) Failure to complete Punchlist items even after lapse of time for completionof such
items excluding delays attributable to the Authority.
(viii) Occurrence of minor failure of structures/highway due to construction defect wherein no

causalities are reported. [Causalities include injuries to human being or animals]
(ix) Occurrence of major failure of structures/highway due to construction defectwherein no

casualties are reported. [Causalities include injuries to human beingor animals]
(x) Occurrence of major structures/highway failure of due to construction defect leading to loss of
human lives besides loss of reputation of the Authority etc.
Note: The Team Leader may kindly specify his comments regarding Status of compliance on
observations of Project Directors w.r.t above issues.
10. Comments of Team Leader on the failures, if any, of the Authority’s Engineer/
Independent Engineer/ Construction Supervision Consultant/ Project management
1994
Consultant in respect of the following:
(i) (a) Failure to detect design/quality deficiency in Non-key Components.

(b) Failure to issue follow-up notices to contractor/concessionaire for delays inclosure of NCRS,
delays in furnishing detail of time & cost claims/COS/revised work programmes/ work
methodologies, etc.
(c) Delays or submission of improper MPRS, improper review of methodologies, temporary
works, QA plan/manual, O&M plan/Manual etc.
(ii) (a) Failure to detect design/quality deficiency in Key Component not having substantial
cost (below 1% p of civil work (cost) and /or time implication (below5% or project completion
period)
(b)Failure to detect deficiency in quantity executed vis-à-vis design not having substantial
financial implication (below 1% of civil work cost).
(c) Failure to conduct/witness tests as prescribed in the consultancy contractagreement.
(b) Delay in processing EOT/COS proposals, inaccurate assessment of COS proposals, not
issuing NCRs, delays/improper review of designs/drawings/ work programme or failure to
submit Completion/Provisional Completion Certificationas prescribed in contract.
(iii) (a) Failure to detect deficiency in quantity executed vis-à-vis design having
substantial financial implication (1% of civil work cost or more)
(b) Failure to detect design/quality deficiency in Key Component having substantial cost (1% of
civil work de cost or more) and/or time implication (5% ofproject completion period or more)
(c) Failure to detect deficiency/not reviewing design (including temporary works) and
construction (including methodology) of structural components of flyover/ bridges/
underpasses/overpasses/ROB/RUB etc
(d) Failure to propose action (like cure period notice, levy of damages, etc.) on
contractor/concessionaire as per contract agreement for their default/poor progress having
material adverse effect on the project implementation in terms of cost (1% of civil work cost or
more) and/ time (5% of project completion periodof more).
(e) Improper/wrong interpretation of provision in contract agreement; or wrong certification of
payment/COS value/cost & time claims; or poor performance of services leading to cost (1% of
civil work cost) and/or time (5% ofproject completion period) claims against NHAI awarded by
DRB/CCIE/Arbitration/Court.
Note: The Team Leader may kindly specify his comments regarding Status of compliance on
observations of Project Directors w.r.t above issues.
1995
List of Policy Circulars issued upto date and available in library website under Category of
‘Quality Assurance’.
The details of previous policy guidelines issued upto date are given below:
Sl.No. Policy Circular No. / Subject / Date of issuance
(i) Technical (48/2005):

-Providing smooth riding quality at the approaches of road structures and at
expansion joints.
-Dated 17.02.2005.
* (Included under Riding Quality of Highway category)
(ii) Technical (18.61/2021):
-Ridding Quality at approaches/Expansion joints of structures
-Dated 05.01.2021
* (Included under Riding Quality of Highway category)
(iii) Technical (07/2008):
-Policy for introduction of procedure for qualifications of contractors and consultants
certified for ISO 9001-2000.
-Dated 08.02.2008.
-(Weeded out)*
(iv) Technical (11/2008):
-Common deficiencies noted in the quality system during inspections of NHDP
Works.
-Dated 23/25.4.2008.
* (Included under Common deficiencies in Quality system category)
(v) Technical (18/2008):
-Testing of materials for Highways Works.
-Dated 24.09.2008.
-(Weeded out)*
(vi) Technical (58/2010):
-Removal of refinery modified bitumen from technical specifications-regarding.
-Dated 27.04.2010.
1996
-(Weeded out)*
(vii) Technical (64/2010):
-Use of Viscosity grade bitumen as per IS 73:2006 in Highway Projects and testing
of modified bitumen.
-Dated 04.08.2010.
-(Weeded out)*
(viii) Technical (210/2016):
-Testing of materials for Highways works.
-Dated 10.08.2016.
* (Included under Testing of materials category)
(ix) NHAI/Policy Guidelines/Inspections of National Highways/2020 No. 18.55.
-Procedure for site visit/Inspections of works in DPR stage, on-going works and
completed works.
-Dated 8th October, 2020.
-(Decision taken in File no: NHAI/Quality/Inspections/2020 Computer No: 11162)
* (Included under Inspections of works category)
(x) NHAI/Policy Guidelines/Quality Assurance/2021 Policy Guidelines No. 15.8/2021.
-Quality inspection of NH projects where the projects were awarded to abnormally
Low Quoted Bids.
-Dated 15th January, 2021.
- (Decision taken on e-file comp. no. 57701).
* (Included under inspections of works category)
(xi) NHAI/Policy Guidelines/Quality Assurance/2021 Policy Guidelines No. 15.9/2021.
-Responsibility of PIU officers maintaining Quality of Construction.
-Dated 02nd March, 2021.
- (Decision taken on e-file comp. no. 57701).
* (Included under Responsibility of PIU officers category)
(xii) Policy Maters Technical (58/2005)
-Quality Assurance Manual
-( Decision taken on EA to Chairman’s note)
-Dated 11.11.2005
Taken from TIC Category and to be retained under quality assurance category.
* (Included under common deficiencies in Quality system category)
(xiii) As per Present Practice adopted for Independent Quality Inspection by Team Leader
TOR for Team Leaders engaged in Quality Inspection
Quality Inspection Format for Team Leaders.
1997
 S. no. (iii), (v), (vi) and (vii) (4 no.) have been weeded out. and one technical circular bearing no. 58/2005 dated
11.11.2005 s.no. (xii) has been brought from ‘TIC’ category to the category of ‘Quality Assurance’ circular.
 Remaining circulars at s. no. (i), (ii),(iv),(viii),(ix), (x), (xi) ,(xiii) i. e. (9 no.) are included in the master circular.
 All the circulars issued so for shall be retained and available in the archive in the NHAI library for reference
Chapter: 16. Criteria for assessment of Consultant

2024 National Highways Authority of India
Chapter: 17
Chapter: 17. Commercial Operations
Section: 17.1. Delegation of Powers
Sub Subject
section
I. Delegation of Powers relating to calling of bids for tolling

contracts and other issues relating to Commercial
Operations.
Chapter: 17
17.1.1. Delegation of Powers relating to calling of bids for tolling contracts

and other issues relating to Commercial Operations 1
Following delegation of powers have been decided in respect of tolling contracts and other issues relating
to Commercial Operations:
A. TOLLING CONTRACTS:
(i) Annual Potential Collection (APC) for bid purposes shall be approved by 4 Member APC
Committee comprising of [CGM(F), CGM(C0), GM(CO) concerned and GM (T) of concerned
State].
(ii) For invitation of RFP for tolling contract, approval of concerned Member shall be
obtained. The proposals of C.O. Division for amendments to "Standard RFP" shall be
examined by 3 CGMs Committee [Two CGM(T) & CGM(C0)] and finalized for
incorporation in the Standard RFP after approval of concerned Member 2.
(iii) The bids for tolling contracts shall be approved at the Member level. In case, the bid
amount of the highest bidder is less than the Annual Potential Collection, then approval of
Chairman shall be obtained. In case there are two or more bids and H1 Bidder quotes an
amount which is upto 7% below the APC , the chairman would approve the same . In case
there is a single bid in the first call and H1 quote is above APC,the chairman will approve
the same. In the first call the H1 is below APC or there is no bid and in the second call also
there is a single bid and amount quoted by the H1 Bidder is up to 5% below the APC the
proposal would be approved by the chairman. When a single bid is below APC by more
than 5% , the case will be brought before Board in case it is felt that the bid deserves to
be approved.3
(iv) In case of non-receipt of bids in regular bidding and to start a new fee plaza or other such
exigencies, e-quotations for short term is undertaken for three months. The e- quotations
up to 7% below APC will be approved by concerned Member and those below this level
needs approval of chairman.4
1
NHAI Circular No. 11041/217/2007-Admn. dated 03.08.2012 [Policy Matters-Administration/Finance (89/2012), Decision taken on file no.
NHAI/13013/3/05-06/CO/PolicyonToll]
2
Partial modification pursuant to NHAI Circular no. 11041/217/2007-Admn. Dated 13.12.2012 [Policy Matters-Administration/Finance
(101/2012), Decision taken on file no. NHAI/CM/Elct.TollPlaza/2008]
3 Modify pursuant to Minutes of 99th meeting of the NHAI dated 06.03.2014 held on Friday, 28th February 2014 at
4.30 pm in the committee room (5th Floor) Transport Bhawan, New Delhi.
4 Note dated 06.03.2020 issued by Chairman.
Chapter: 17
B. OTHER ISSUES RELATING TO COMMERCIAL OPERATIONS:
i) For extension of tolling contracts-extension upto 6 months shall be approved at Member

level and extensions above 6 months shall be put up to Chairman for approval.
ii) Approval of estimates of traffic survey/revision of remittance by the tolling contractor

on account of annual revision fee rate shall be approved by concerned CGM-RO
iii) Imposition of penalty on the tolling contractors for various defaults of the Contractor2:
(a) PD (of DGM & above) upto 07 days remittance value.
(b) CGM/RO upto one month remittance value.
(c) Member concerned upto two months remittance value.
(d) Chairman - Full Powers:-
iv) Claims under Force Majeure:
(a) CGM/RO upto one month remittance value.

(b) CGM/RO for approving the relief to be given to the Contractor for closure of Toll
Plaza or non-collection of user fee (toll) at the Toll Plaza of any duration, based on the
facts and on account of the reasons not attributable to the Contractor5
(c) Member concerned upto two months remittance value.
(d) Chairman - Full Powers
v) All fee Notifications proposals (public funded & DBFOT Projects) shall be
approved by Members concerned for sending to Ministry.
5
NHAI Circular No. 11041/217/2007-Admn dated 09.10.2014 [Policy Matters-Administration/Finance (150/2014),
Decision taken vide Agenda Item 210.03 of EC in its meeting held on 24.09.2014]
Chapter: 17
vi) Validation of Fee Rates: All proposals of validation (initial fixation)/revision of user fee
rates for Public Funded/BOT/OMT/BOT(Annuity)/Hybrid Annuity/ToT Projects shall be approved
by Regional Officer of concerned project6 .
vii) Approval of following special contingencies will require Chairman's approval
(a) Termination of tolling contracts
(b) Finalization of plaza location/shifting of plaza in case of public funded projects
viii) Response to the observation of the Ministry of fee notification proposal shall be put up
to Member before it is submitted back to the Ministry with clarification.
ix) Maintenance, invocation & release of Performance Security: Demand Drafts (the amount
to be transferred to NHAI HQ to bank account of RO) and Bank Guarantees of Performance
Security shall be maintained at Regional Office. The required amounts will be recovered/invoked
from these securities by CGM/RO after approval of penalty as per delegation given at para (iii)
above. CGM/RO shall also approve the release of Performance Security and issue "No Dues
Certificate" after closing the contractual issues/ penalties/ accounts of concerned Toll Collection
Contractor.
(x) Assignment proposals of Contractor shall be approved/ rejected by concerned Member,

considering the justification and the qualification & experience assigned under the proposal.
(xi) CGM/RO concerned shall send a Monthly Brief Report on the powers exercised on various
issues under Commercial Operations to NHAI HQ which shall be consolidated and placed before
the Executive Committee by CGM(CO) for information and necessary directions, if any. Since the
commercial operations involve financial implications there should be no delay in decision making.
Files should be disposed if need be after discussion instead of sending the same back and forth.
Any delay in decision along with financial implications & the reasons for delay shall be explained
in the consolidated note to be placed before the Executive Committee.
2. This issues with the approval of Chairman.
6
Partial modification pursuant to NHAI Circular No. NHAI/Policy Guidelines/Modification in Delegation of
Powers/2018 Policy No. 17.6.9 dated 13.03.2018 [Decision taken by EC in the meeting dated 05.03.2018 on the
Agenda No. 337.2]
Chapter: 17
Annexure-1: List of Instructions/Circulars/Policy matters/guidelines as on

31.03.2022 consolidated in the Master Circular
S. Circular No. Date Subject Remarks

No.
1. NHAI Circular No. NHAI/Policy 13.03.2018 Delegation of Powers relating to Covered under Chapter
Guidelines/Modification in various issues under 17.1.1
Delegation of Powers/2018 Commercial Operation
Policy No. 17.6.9 [Decision
taken by EC in the meeting
dated 05.03.2018 on the
Agenda No. 337.2]
2. NHAI Circular No. 03.03.2017 Constitution of the 3 CGMs Not in practice.

11014/11/2016-HR-I, Policy Committee for negotiation and
Circular: (17.5.76/2017) One Time Amicable Settlement
[Decision taken on file No. of disputes/ claims pertaining to
NHAI/13013/CO/16-17] toll collection of various Public
Funded Toll Plazas
3. NHAI Circular No. 09.10.2014 Delegation of Powers relating to Covered under Chapter 17.1.1
11041/217/2007-Admn [Policy various issues under modified with subsequent
Matters-Administration/Finance Commercial Operations circulars and guidelines.
(150/2014), Decision taken vide
Agenda Item 210.03 of EC in its
meeting held on 24.09.2014]
4. Partial modification pursuant to 10.06.2013 Delegation of Powers to Covered under Chapter 17.1.1
NHAI Circular no. approve award of bids for modified with subsequent
11041/218/2007-Admn. [Policy collection of user fee. circulars and guidelines.
Matters-Technical (137/2013),
Decision taken in the 94th
Meeting of the Authority held on
14.05.2013 vide Agenda Item
No.IX]
Chapter: 17

No.
5. NHAI Circular No. 08.04.2013 Delegation of powers for Covered under Chapter 17.1.1
11041/218/2007-Admn. [Policy approval of bids for award of modified with subsequent
Matters-Technical (131/2013), works under EPC/Item rate circulars and guidelines.
Decision taken in the 93rd Meeting mode, OMT projects and
of the Authority held on 26.03.2013] Collection of User fee
6. NHAI Circular No. 13.12.2012 Delegation of Powers relating Covered under Chapter 17.1.1
11041/217/2007-Admn [Policy to various issues under modified with subsequent
Matters-Administration/Finance Commercial Operations circulars and guidelines.
(101/2012), Decision taken on file
no.
NHAI/CM/Elect/TollPlaza/2008]
7. NHAI Circular No. 03.08.2012 Delegation of Powers relating Covered under Chapter 17.1.1
11041/217/2007-Admn. [Policy to calling of bids for tolling modified with subsequent
Matters-Administration/Finance contracts and other issues circulars and guidelines.
(89/2012), Decision taken on file relating to Commercial
no. NHAI/13013/3/05- Operations
06/CO/PolicyonToll]
8. Minutes of 99th Meeting of the 06.03.2014 Delegation of Powers for Covered under
Authority held on Friday , the 28th acceptance of bids. Chapter 17.1.1
February 2014 at 04:30 PM in the
Committee Room (5th Floor),
Transport Bhawan , New Delhi
9. Chairman Note dated 06.03.2022 Delegation of Powers for Covered under

06.03.2020 acceptance of e-quotations. Chapter 17.1.1
Chapter: 17
Section: 17.2. Fee Notification
Sub Subject
section
I. Advance Planning for levy of fees (Toll).
II. Procedure for fee notification in respect of Private

Investment (BOT/SPV) Projects.
III. Timelines for submission of draft fee notifications for PPP

Projects.
IV. Compliance of the provisions stipulated in 2008 Fee Rules

regarding spacing and location of Toll Plazas in DBFOT
Projects
V. Annexures
Chapter: 17
17.2 Fee Notification
I. Advance planning for levy of fees (TOLL)1
As you aware, Levy of fees (Toll), simultaneous with opening of section / bypass / bridges to the traffic,
need advance planning, which inter-alia, includes timely submission of proposal (along with a
background note and details of civil structure available) for issuance of toll notifications by the Govt. of
India. Accordingly, it has been decided that :-
(i) At least 120 days prior to the likely date of completion of the project, information as per SOP
dated 08.07.2020 (checklist revised vide email dated 15.03.2021) issued by MoRT&H will be
submitted to Commercial Operation section at HQ and further action should be well
coordinated till its logical conclusion, well in time.
(ii) 60 days prior to likely date of opening to the traffic, a media campaign be carried out by
appropriately highlighting various advantages to the users and establishing logical need for
the levy of fee.
(iii) Concerned District Administration be also taken into confidence as many of new toll
gate/plaza need high degree of administrative support in initial phase.
This issues with the approval of the Chairman.
Encl: SOP dated 08.07.2020 (checklist revised vide email dated 15.03.2021) issued by
MoRT&H
II.Procedure for fee notification in respect of private investment (BOT/SPV)

projects.2
Please refer our circular no - NHAI/Commercial Operation/29, dated 24.09.2003, which, among others,
requires signing of an agreement between NHAI and DoRT&H in respect of every BOT/SPV projects.
We have now been informed vide letter no. RW/NH-37011/45/2004-PIC dated 24.05.2005 from
DoRT&H, enclosing a copy of opinion dated 5.4.2005, tendered by Legal Advisor and Additional
Secretary (Conveyancing), Department of Legal Affairs, Ministry of Law & Justice that such an
agreement is not required in
1
NHAI Circular No.: NHAI/13013/3/02-03/CMD-CO/Stand.Inst. Cir. Toll dated 16.09.2002,
Circular No.: NHAI/COMMERCIAL OPERATIONS/5
2
NHAI Circular No.: NHAI/13013/03-04/CMD-CO/JKP dated 02.06.2005, CIRCULAR NO.:NHAI/COMMERCIAL
OPERATIONS/59
Chapter: 17
respect of stretch/section of National Highways vested in or entrusted to NHAI. Thus to the extent of
signing of an agreement is concerned, the circular no. 29 dated 24.09.2003 stands modified. You may
kindly act accordingly.
This issues with the approval of Competent Authority.
Encl:(i) Letter No. RW/NH-37011/45/2004-PIC dated 24.05.2005 issued by DoRT&H;

(ii) Opinion dated 05.04.2005 of Ministry of Law & Justice, Department of Legal Affairs.
Chapter: 17
III. Timelines for submission of draft fee notifications for PPP Projects [DBFOT
(TOLL) & OMT Projects]. 3 & 4
1. Publication of fee notification is a condition precedent to be fulfilled by the Authority (NHAI)

as per the provisions of MCA for PPP projects. It has been observed that fee notifications
have not been published in time in cases of 4-laning PPP projects as provisioned in MCA.
Adverse view has been taken by the Hon'ble Minister on delay in publication of fee
notifications in a recent meeting presided by him.
2. To avoid such situations and to get the fee notifications published in time, concerned
Divisions are advised to adhere to the following procedure and time schedule so that
proposals for publication of fee notification are submitted to the Ministry within 2
months from the date of the signing of the Contract.
a. Concerned Technical Division will submit draft fee notification proposal

along with the concurrence of the Concessionaire to the CO Division along
with the details in Checklist in SOP dated 08.07.2020 (checklist revised
vide email dated 15.03.2021 issued by MoRT&H) and copy of the
concession agreement including schedules and annexure within 30 days
(15 days for OMT Projects) from the date of the signing of the Concession
Agreement.
b. CO Division will process the proposal within 10 days on its receipt. In case
any modification in the draft fee notification is envisaged, the proposal will
be returned along the modifications to the concerned division for their/
Concessionaire's concurrence. Technical Division will return the proposal
to CO Division within next 15 days.
c. CO Division will submit the proposal within next 10 days for approval of
the Chairman and onward submission to Secretary, MoRT&H.
3. The above, procedure and time schedule, is for strict compliance by all
concerned.
Encl: SOP dated 08.07.2020 (checklist revised vide email dated 15.03.2021) issued by
MoRT&H.
3
NHAI Circular No.: NHAI/13013/3/05-06/CO/Policy on Toll (Vol. XII) dated 22.06.2011, CIRCULAR
NO.: NHAI/COMMERCIAL OPERATIONS/131
4
NHAI Circular No. 11041/218/2007-Admn. dated 01.03.2013 [POLICY MATTERS – Technical
(126/2013), Decision taken in 136th meeting of Executive Committee held on 21.2.2013]
Chapter: 17
IV.Compliance of the provisions stipulated in 2008 fee rules regarding spacing and
location of toll plazas in dbfot projects . 5
2008 Fee Rules stipulate a spacing of 60 Km for locating Toll Plazas on same section of NH and in
same direction; and to establish a Toll Plaza beyond 10 Km from municipal or local town area limits
subject to certain exceptions [Ref. Sub-Rule-8(1)&(2)]. The rules also stipulate to record reasons in
writing to locate the Toll Plazas within 60 Km spacing as well as to locate the Toll Plazas within
municipal or local town area limits.
2. While in case of DBFOT Projects for which the Concession Agreements have already been
signed, such exceptions may be permitted, but in all new DBFOT Projects, the spacing of 60 kms
between two Toll plazas and the limits in location of Toll Plazas in municipal or local town area limits
shall be strictly adhered to while deciding the Toll Plaza locations in the Projects.
5
NHAI Circular No. 11041/218/2007-Admn. dated 01.04.2013 [POLICY MATTERS – Technical
(129/2013), Decision taken on File No. NHAI/13013/CO/12-13/PolicyonToll]
Chapter: 17
Annexure-1: list of instructions/circulars/policy matters/guidelines as on 31.03.2022

consolidated in the master circular

No.
1. NHAI Circular No. 18.03.2021 Submission of Proposal Covered in Chapter
NHAI/13013/CO/2020-21/Fee forfee notification as per 17.2.1 and 17.2.3
Notification/31 Revised Checklist
2. NHAICircular No. 1041/218/2007- 01.04.2013 Compliance of the Covered in Chapter
Admn. [POLICY MATTERS – provisions stipulated in 17.2.4
Technical (129/2013), Decision 2008 Fee Rules
taken on File No. regarding spacing and
NHAI/13013/CO/12- location of Toll Plazas
13/PolicyonToll] in DBFOT Projects
3. NHAI Circular No. 01.03.2013 Timelines for submission Covered in Chapter
11041/218/2007- Admn. [POLICY of Draft Fee Notifications 17.2.3
MATTERS – Technical 126/2013), of DBFOT (Toll) & OMT
Decision taken in 136th meeting Projects
of Executive Committee held
on 21.2.2013]
4. NHAI Circular No.: 22.06.2011 Fee Notifications for PPP Covered in Chapter
NHAI/13013/3/05- 06/CO/Policy Projects 17.2.3 modified with
on Toll (Vol. XII), CIRCULAR NO.: checklist as per SOP
NHAI/COMMERCIAL issued by MoRT&H
OPERATIONS/131
5. NHAICircular No.: 03.11.2010 Status of Completion of Obsolete
NHAI/13013/9/CO/07-08/Audit, Civil Packages above
CIRCULAR NO.:NHAI/Commercial 90%
Operations/126
6. NHAI Circular No. 29.09.2009 Advance planning for Obsolete after issuance
NHAI/13013/3/05- 06/CMD- levy and collection of of SOP for fee
CO/PolicyonToll (Vol-XII), USER FEE in the light notification by MoRT&H
CIRULAR NO.: of the provisions of New
NHAI/COMMERCIAL Fee Rules, 2008
OPERATIONS/107
7. NHAI Circular No.: 02.06.2005 Procedure for fee Covered in Chapter
NHAI/13013/03- 04/CMD-CO/JKP, notification in respect of 17.2.2
CIRCULAR NO.: Private Investment
NHAI/COMMERCIAL (BOT/SPV) Projects
OPERATIONS/59
–
Chapter: 17
8. NHAI Circular No.: Consideration of Obsolete

NHAI/13013/3/CMD-CO/Policy on 06.04.2005 completedlength in
Toll (Vol-VII), CIRCULAR NO.: partially completed
NHAI/COMMERCIAL packages for tolling
OPERATIONS/57
9. NHAI Circular No.: 16.09.2002 Advance Planning for Covered in Chapter
NHAI/13013/3/02- 03/CMD- levyof fees (Toll) 17.2.1 modified with
CO/Stand.Inst. Cir. Toll, checklist as per SOP
Circular issued by MoRT&H
No.:NHAI/COMMERCIAL
OPERATIONS/5
Chapter: 17
ANNEXURE-2: SOP dated 08.07.2020 (checklist revised vide email dated 15.03.2021)
issued by MORT&H.
Chapter: 17
Chapter: 17
Chapter: 17
Revised Checklist for Publication of Fee Notification
1. Publication of User Fee Notification
1.1 Title of Proposal

1.1.1 National Highway Number (old & new)
1.1.2 State
1.1.3 Mode
EPC/HAM/BOT(Toll)/BOT(Annuity)/OMT
/TOT
1.1.4 Type of Project (2 Lane with paved
shoulders/ 4lanes and above/
Combination)
1.2 Chainage: Existing from to

Design from to
1.3 Project Length (in km)
1.4 Entrusted to “Authority”
1.5 Vide Entrustment Notification No. S.O. dated

Attach Entrustment Notification copy* pdf
1.6 Current financial status
1.6.1 Funds utilized (ii) *Attach certificate
1.6.2 % progress
1.7 Current physical status
1.7.1 completed on (iii) *Attach Completion

Certificate
1.7.2 Still ongoing % completed
1.7.3 Likely date of Completion
1.8 Project cost in accordance with Ministry OM

dated 24.01.2013
iv) *Attach bifurcation of Project cost as per Ministry OM dated 24.01.2013

Chapter: 17
1.9 Suppression details of existing published User Fee

Notification (if any)
1.10 In case of Two lane with paved shoulder road,

whether it complies with Rule 4(11) of NH Fee
Rule 2008
1.11 Whether it is a case of Amendment in

published notification
(v) *Attach document pertaining to Amendment in published notification
1.12 Whether it is a case of notification after recovery of

Capital cost in case of public funded projects and
end of Concession period for private funded
project.
If Yes, whether fee is collected at a reduced rate of

40%
2. LOCATION OF USER FEE PLAZA

2.1 Number of Fee Plaza
2.2 Design Chainage
Existing Chainage
2.3 Location Village
District
2.4 Location of preceding Fee Plaza
2.4.1 Distance of preceding Fee Plaza (kms)
2.4.2 If distance <60 km, record reason for the
same.
2.4.3 Whether reasons recorded have been
approved by Competent Authority
(Rule 8(2) of NH Fee Rules 2008)
vi) *Attach duly approved document for recorded reasons by Competent Authority
2.5 Location of succeeding Fee Plaza

2.5.1 Distance of succeeding Fee Plaza
2.5.2 If distance <60 km, record reason for the
same
approved by Competent Authority.
Chapter: 17
vii) *Attach duly approved document for recorded reasons by Competent Authority
2.6 Nearest Municipal or local town area limit from

Fee Plaza
2.6.1 Distance of TP from nearest Municipality
limit/Town Area Limit
2.6.2 If 5km <distance <10 km, record reason for
the same.
recommended by Competent Authority
viii) *Attach duly approved document for recorded reasons by Competent Authority
2.6.4 If distance <5km, record reason for the same

2.6.5 Whether executing authority has submitted
undertaking certifying that the section of
National Highway is primarily for the use of
residents of nearest Municipal or town
ix) *Attach Undertaking certifying the section of NH is primarily for the use of residents
3. NET TOLLABLE LENGTH

3.1 Net Road Length (in km) (Excluding structures of
length >60 m and bypasses costing >10 crores)
3.1.1 2 lane with PS (@60% of base rate)
3.1.2 4 lane & above (@100% of base rate)
3.2 Total Length of Bypass (in km) (costing >10
crore) (excluding structures of Length >60m)
3.2.1 2L with PS (@ 60% of base rate)
3.2.2 4L & above (@ of base rate)
3.3 Length of Structure (in km) (> 60 m)
3.3.1 Length of 2 Lane with PS (@60% of base
rate)
3.3.2 2 Equivalent Length (in km) (@60% of
base rate)
Chapter: 17
3.3.3 Length of 4 lane & above (@100% of

base rate)
3.3.4 Equivalent 4 Lane & above (@100% of
base rate)
4. Details of Bypass (costing >10 crore)
4.1 Number of Bypass
4.2 Fee Plaza
4.3 Name of Bypass
4.4 Existing chainage from to
4.5 Design chainage from to
4.6 Length (in km)
4.7 Cost (in crores)
5. Details of Structures (>60m) (Two lane with paved shoulders)
5.1 Number of Structures (>60m)
5.2 Description
5.3 Existing chaingae from to
5.5 Length (in km)
5.6 Equivalent Length km
5.7 Width of carriage way
5.8 Width of Structure
6. Details of Structures (>60m) (Four Lane and above)
6.1 Number of Structures (>60)
6.2 Description
6.3 Existing chaingae from to
6.5 Length (in km)
6.6 Equivalent Length km
6.7 Width of carriage way
6.8 Width of Structure
7. Discount Applicable: (Rule 9 of NH Fee Rules 2008)
7.1 Whether issuing pass for return journey within
24 hours and multiple journey within one month to
Cross a fee plaza applicable
7.2 Whether issuing pass to noncommercial vehicle
owner and residing within 20 km from the Fee plaza
applicable
7.3 Whether fee for commercial vehicles registered in
the district where the fee plaza
Chapter: 17
is located at 50% Of the prescribed rates applicable

8. Additional points for public f unded projects or bot (annuity project) or port
connectivity projects which have been converted into public funded projects :
8.1 Whether the construction of complete stretch and project facilities of the project have been
carried out
8.2 In case construction of some length of the project/flyover/ROB etc. is yet to be completed,
then the total length affected on account of this
8.3 likely date Of completion Of this affected length.
8.4 Whether fee collection is to be commenced within 45 days of completion date.
9. ADDITIONAL POINTS FOR BOT TOLL PROJECTS:
9.1 Last date for submission of bid
9.2 Appointed date declared by Authority
9.3 Applicable fee rules i.e.
a. Fee Rules, 1997 or
b. Fee Rules, 2008 or
9.4 Whether the fee notification is a Condition precedent.
9.5 The stage at which COD is to be issued i.e. after issuance of Completion Certificate or
provisional Completion Certificate.
9.6 Percentage Of completion of the total length of the Project Highway at which the Provisional
Certificate is to be issued on request of the Concessionaire.
9.7 Actual percentage of completion of the total length Of the Project Highway at which the fee
notification proposal is being processed.
9.8 Whether the Clause that COD will be declared by the Authority on completion of work has
been incorporated in the draft fee notification.
10. ADDITIONAL POINTS FOR OMT PROJECTS:
10.1 Concession Fee quoted by the Concessionaire
Chapter: 17
10.2 NPV of the Concession Fee

10.3 Whether the present value of Capital Cost of the project to be recovered from the date
of COD
10.4 Whether the clause regarding reworking of the recoverable cost and intimation to the
Concessionaire mentioned
10.5 Applicable fee rules i.e.
a. Fee Rules, 1997 or
b. Fee Rules, 2008 or
11.Whether the draft Notification is as per MoRTH Model User Fee Notification dated
12/02/2019
x) *Attach duly authenticated Draft Fee Notification as per Model Notification dated 12/02/2019
12.Whether the proposed notification has been signed by an officer not lower in rank than CGM,
NHAI/NHIDCL/CE (PWD)/CE (MoRTH).
13. Deviation from NH Fee
Rules 2008 or in Draft Fee 1.
(Notification if any) 2.
3.
14. Whether copy of Schedule A, B and C of Contract and Concession Agreement has
been enclosed.
15. Whether the chainages and lengths Of mentioned under para 2, 3, 4, 5 and 6 above
corresponding to 'Location of fee plaza', 'Net Tollable length', 'Details of bypass', 'Details
of structures (2LPS)', "Details of Structures (4 lane)' respectively, are in accordance with
Schedule B of Contract/ Concession Agreement?
16. Whether any Change of Scope applicable?
17. Whether relevant documents of Change of Scope have been enclosed?

Chapter: 17
Annexure-3: Letter No. RW/NH-37011/45/2004-PIC dated 24.05.2005 issued by

DoRT&H
Chapter: 17
Annexure-4: Opinion Dated 05.04.2005 of Ministry of Law & Justice, Department of

Legal Affairs
Chapter: 17
Chapter: 17
Section: 17.3. Reporting Requirement
Sub Subject
section
I. Submission of Traffic data on Data lake on daily basis.
II. Submission of "Monthly Fee Statement' and "Weekly

Traffic Census" as per the revised Schedule formats by
the concessionaires/ toll plaza operators.
III. Annexure-1: List of Instructions/Circulars/Policy

matters/guidelines as on 31.03.2022 consolidated in the
Master Circular.
Chapter: 17
17.3 – Reporting Requirements
I. Submission of Traffic data on Data Lake on daily basis 1
In order to monitor the traffic at each user fee plaza entrusted to NHAI, traffic data portal has been made
live on Data Lake for the purpose of entering of Toll related data. The same has been
implemented during Covid.
It is directed to all PD to ensure the entries of data on daily basis on Data Lake without fail
II. Submission of "Monthly Fee Statement' and "Weekly Traffic Census" as per
the revised Schedule formats by the concessionaires/ toll plaza operators 1
In order to assess the current usage pattern of public transport on National Highways, there is
a need to capture the individual public transport vehicles, including Bus, plying on various
National Highways.
2. Currently, a "Monthly Fee Statement" and "Weekly Traffic Census" is submitted by the
concessionaires/ toll plaza operators to the concerned PlUs/CMUs as per the prescribed
format in MCA (Schedule M & N for BOT-Toll, Schedule G & I for OMT, Schedule V for 0&M
Contracts). However, the individual count of Bus is not being provided in most of the cases as
both Bus and truck are generally clubbed together in these statements.
3, It has been decided that henceforth the traffic census of "Bus" should be invariably
provided separately in the "Monthly Fee Statement" and "Weekly Traffic Census" by all
concessionaire/ toll plaza operator as per the revised Schedule formats (as attached in
enclosure) with immediate effect.
4. All ROs and PDs shall ensure that the concerned concessionaires/toll plaza operators
submit these details as per the revised formats with immediate effect.
Enclosure:
1. Revised Schedule M (BOT - Toll) & Schedule G (OMT) - "Monthly Fee Statement"
2. Revised Schedule N (BOT -Toll) & Schedule I (0MT) - "Weekly Traffic Census'
3. Revised Schedule V (0&M Contracts)
1
NHAI Circular No. NHAI/ CO/ 2017/ Circular/ Bus Traffic /97965 dated 07.04.2017
Chapter: 17
Monthly Fee Statement

Project Highway: Month:
Fee Plaza Name (chainage):
Type of For corresponding For preceding month For the month reported upon
Vehicle month of previous
year
Fee Fee Fee per Fee
No. of collected No. of collected No. of collected
Vehicle (in
Vehicles (in lakh Vehicles (in lakh Vehicles (in lakh
Rs.
Rs.) Rs.) Rs.) Rs.)
(1) (2) (3) (4) (5) (6) (7) (8)
A. Car
B. LCV
C. Bus
(Axle
wise)
D. Truck
E. Three-
axle
F. Multi-
axle
G. Oversiz
ed
vehicle
H. Total
Note 1: The above statement does not include Local Users and vehicles travelling on
Passes
Note 2: Monthly Fee Statement for Passes have been prepared separately in the above
format and are enclosed.
Remarks, if any:
Chapter: 17
WEEKLY TRAFFIC CENSUS
Project Highway: Week ending:
Fee Plaza Name chainage):

Type of Vehicle No. of vehicles using the Project Highway during
Corresponding week/ Preceding

as Yr. week Week of report
A Fee paying Traffic

A1 Car
A2 LCV
A3 Bus
A4 Truck
A5 Three-axle vehicle
A6 Multi-axle Truck
A7 Oversized vehicle
Total (A)
B Local Users
B1 Car
Total (B)
C Exempted Vehicles
C2 Car
C3 LCV
C4 Bus
C5 Truck
C6 Three-axle vehicle
C7 Tractor
Total (C)
Chapter: 17
D Total Traffic (A+B-C)
D1 Motor Cycle
D2 Car
D3 LCV
D4 Bus
D5 Truck
D6 Three-axle vehicle
D7 Multi-axle Truck
D8 Oversized vehicle
D9 Tractor
Grand Total (E)
Remarks, if any:
Chapter: 17
WEEKLY REPORT FOR WEIGH

STATIONS
Project Highway: Week Ending:
Type of Vehicle Permitted No. of No. of Vehicles carrying load:

Vehicle
Within Up to Over Over
permissible 10% 10% 20%
limits in and up to in
exces 20% in exces
s excess s
(1) (2) (3) (4) (5) (6) (7)
A LCV
B Truck
C Three-axle vehicle
D Multi-axle Truck
E Total
Note: Sample size shall not be less than 200 Trucks per week and 20 Trucks per day, and
should include a proportionate number of Multi-axle Trucks.
Remarks, if any:
Chapter: 17
Schedule-V
[Reference clause 23 (d) of Appendix- IV] MONTHLY USER

FEE COLLECTION STATEMENT- PART-A
Type of Amount of User User Fee
Total amount Total amount Rema
Fee collected collected
Collected Deposited r ks
SI. Vehicles as through Tickets through
No. (per notification Passes
For the Curnulati For the Cumulati For the Cumul For the Cumul
provisions month ve month v month ative month ative
e
CAR,JEEP, VAN OR
LMV
LIGHT
COMMERCIAL
VEHICLE, LGV OR
MINI BUS
BUS (Axle
wise)
TRUCK (2
Axles)
3-AXLE
COMMERCIAL
VEHICLES
HEAVY
CONSTRUCTION
MACHINERY
(HCM) OR EARTH
MOVING
EQUIPMENT
(EME) OR MULTI
AXLE VEHICLE
(MAV) (FOUR TO
SIX AXLES)
OVERSIZED
VEHICLES
(SEVEN OR
MORE AXLES)
Total
Chapter: 17
Schedule-V
[Reference clause 23 (d) of Appendix - IV] MONTHLY

USER FEE COLLECTION STATEMENT- PART-B
MONTHLY VEHICLE PASSING REPORT
FOR THE MONTH OF.
No of monthly CAR, LIGHT BUS TRUCK THREE HEAVY OVERSIZE Total
passes JEEP, COMME (TWO AXLE CONSTRUCTI D
VAN RCIAL AXLES COMME ON VEHICLES
OR VEHICL ) RCIAL MACHINERY (SEVEN
LIGHT E, LIGH VEHICL (HCM) OR OR MORE
MOTO GOODS ES EARTH AXLES)
R VEHICL MOVING
VEHIC E OR EQUIPMENT
LE MINI (EME) OR
BUS MULTI AXLE
VEHICLE
(MAV) (FOUR
TO SIX
AXLES)
Type of CAR, LIGHT BUS TRUCK THREE HEAVY OVERSIZE Total

Vehicles as per JEEP, COMME (TWO AXLE CONSTRUCTI D
notification VAN R CIAL AXLES COMME ON VEHICLES
OR VEHICL ) RCIAL MACHINERY (SEVEN
LIGHT E, VEHICL (HCM) OR OR MORE
MOTO LIGHT ES EARTH AXLES)
R GOODS MOVING
VEHIC VEHICL EQUIPMENT
LE E OR (EME) OR
MULTI AXLE
MINI VEHICLE
BUS (MAV) (FOUR
TO SIX
AXLES)
Nos Nos Nos Nos Nos Nos Nos Nos

Chapter: 17
All types of
single Entry
(excluding
Commercial
vehicle
registered in
the district
where the fee
plaza falls)
Multiple entry
Reusage of
Multiple Entry
ticket
Reusage of
Monthly
passes
Single Entry of
Commercial
vehicle
(excluding
vehicles plying
under national
permit)
registered in
the district
where the
fee plaza falls
Exempted etc.
Grand Total
Chapter: 17
Annexure-1: List of Instructions/Circulars/Policy matters/guidelines as on 31.03.2022

consolidated in the Master Circular
S. No. Circular No. Date Subject Remarks

1. Circular No. NHAI/ CO/ 07.04.2017 Submission of "Monthly Fee Covered
2017/ Circular/ Bus Traffic Statement' and "Weekly Traffic
/97965 Census" as per the revised under Chapter
Schedule formats by the 17.3.2.
concessionaires/ toll plaza
operators
2. Circular No. 24.01.2015 Implementation of the NHAI’s Not in practice.
11013/113/2005/IT new on-line web based toll fee
collection software on the Toll
plazas
3. Circular No. 14.09.2011 Development of Web based Not in practice.
NHAI/13013/3/05- application for generating
06/CO/Policy on Toll (Vol. daily/weekly/monthly reports on
XII), Circular No. NHAI/ Toll collection
COMMERCI
AL
OPERATION/ 134
4. NHAI/ 13013/22/ 02- 21.04.2003 Advance Planning for Levi/of Obsolete
03/CMD-CO/DGR, Fees (Toll) on Sections / newly
Circular No. constructed bridges / bypasses
NHAI/COMMERCI under Public Funded projects
AL
OPERATION/16
5. NHAI Circular No. 27.08.2002 Monthly Toll Collection and Obsolete
NHAI/13013/3/02-03- Deposit Report —Both for
CMD-CO/Circular Departmental Collection and
Collection throne' Franchisee
Chapter: 17
Chapter: 17. Commercial operation
Section: 17.4. Exemption /Concession
Sub Subject
section
I. Exemption for levy of user fee to Dignitaries.
II. Exemption to Defence Personal under Indian Tolls (Army

and Air Force Act 1901).
III. Annexure-1: List of Instructions/Circulars/Policy

matters/guidelines as on 31.03.2022 consolidated in the
Master Circular.
2060
17.4 – Exemption Concession
I. Exemption For Levy Of User Fee To Dignitaries
Exemption is to be provided to the dignitaries covered in Rule 11 Sub Rule b (i) of the National
Highways Fee (Determination of Rates and Collection) Rules, 2008 and Exempted Tags
are being issues in line to SOP issued by MoRTH.
2. It was earlier noticed that some of the dignitaries, especially Honorable Members of Parliament
(MPs) and Honorable Members of Legislative Assemblies (MLAs), who are exempted from user
fee (toll) under the respective notifications, are not being granted exemption at the plazas. It is
again directed that exemptions extended to various dignitaries and other vehicles, as provided in
the respective notifications, must be honored in letter and spirit and with most courteously.
3. In view of above Authority desires that all Regional officers as well as Project Directors shall
ensure that such unpleasant incidents shall not happen in their respective areas of jurisdiction in
future. It is further requested to ensure that personnel posted at the plazas are advised to be
courteous, humble and shall be aware of the protocol to be extended to the VIPs.
II. Exemption to defence personal under Indian Tolls (Army and Air
Force act 1901).
Rule-11[b] [i] of National Highways Fee (Determination of Rates and 2008, as amended, vehicles
used for official purposes by the Ministry of Defence including those which are eligible for exemption
in accordance with the provisions of the Indian Toll (Army and Air Force) Act, 1901 and rules made
there under, as extended to Navy also. Further, as per Section-3 of The Indian Tolls (Army and Air
Force) Act, 1901 all officers, soldiers, airmen and all members of the families of officers, soldiers,
airmen or authorized followers are exempted from paying toll References are being received in this
Ministry regarding clarification whether:-
[a] under Indian Toll (Army and Air Force) Act, 1901 and rules made there under
exemptions are available only to the serving personals and that only on use of Govt.
vehicle:
2061
[b] under Indian Toll (Army and Air Force) Act, 1901 and rules made there under no
exemptions are available to the retired personals; and
[c] under Indian Toil (Army and Air Force) Act, 1901 and rules made there under no
exemptions are available on use of personal vehicle;
2. The issue was re-examined and it is now being clarified that the exemption under the Indian Toll
(Army and Air Force) Act, 1901 is available only to the persons who are ‘on duty' and does not pertain
to retired personals. No exemption is available on use of personal vehicle if it is not used discharging
any official purpose and duty, even if it accompanies the said official. The exemption is available only
on production of pass as specified in the Indian Toll (Army and Air Force) Rules 1942.
Encl : MoRTH OM dated 17.06.2014.

2062
Annexure-1: List of Instructions/Circulars/Policy matters/guidelines as on


1. MoRT&H OM dated 17.06.2014 RTI Act, 2005 - Clarification Covered under
17.06.2014 regarding National Chapter 17.4.2
Highways Fee (Determination of
Rates and collection) Rules,
2008
2. NHAI Circular No.: 17.03.2011 Exemption from Payment of Covered under
NHAI/13013/3/CMD- User Fee Chapter 17.4.1
00/10-11/ Policy on Toll,
CIRCULAR NO: NHAI/
Commercial Operation/128
3. NHAI Circular No.: 04.12.2006 Exemption to Defence Personnel Obselete after
NHA1/13013/267/CMD- under Indian Tolls (Army 65 Air clarification by
00/05-06/RTI-16, Force) Act, 1901 MoRTH dated
CIRCULAR NO: NHAI/ O
Commercial Operation/81 M
17.06.2014
4. NHAI/13013/50/02- 05.05.2005 Exemption for levy of user fee Covered under
03/CMD-CO/VIP (Non-MP) to Dignitaries Chapter 17.4.1
(36), CIRCULAR NO:
NHAI/COMMERCIAL
OPERATION/ 69
5. NHAI Circular No.: 29.11.2005 Exemption from levy of user fee Obsolete.
NHAI/13013/50/03- for the vehicles hired by the State
04/CMD-CO/Non-VIP Government/Central Government
(117), CIRCULAR NO:
NHAI/COMMERCIAL
OPERATION/ 68
6. NHAI Circular No.: 05.07.2005 Concessions in user fee to local Obsolete.
NHAI/13013/50/03- residents: Public Funded Projects
04/CMD-CO/Non-VIP
(108), CIRCULAR NO:
NHAI/COMMERCIA
L OPERATION/ 61
7. NHAI Circular No.: 29.03.2005 Concessions in user fee to local Obsolete.
NHAI/13013/19102- residents: Public Funded Projects
03/CMD-CO/Conceession
Vol III, CIRCULAR NO:
NHAI/COMMERCIAL
2063
OPERATION/56
8. NHA1/13013/50/02- 10.11.2004 Representation for exemption Obsolete.

03/CMD-CO/Non-VIP from levy of user fee
(92)/107, CIRCULAR NO:
NHAI/COMMERCIAL
OPERATION/50
2064

9. NHAI Circular No. NHAI/ 26.05.2003 Regarding Validity period of Obsolete .
13013/ CMD-CO/ 3/Policy Multiple Journey Ticket
on Toll, CIRCULAR NO:
NHAI/COMMERCIA
L OPERATION/ 19
10. NHAI Circular No. NHAI/ 30.04.2003 Exemption for levy of fee to Obselete after
13013/ 19/ 02-03/ CMD- Defence Personnel / Defence clarification by
CO/ vehicles MoRTH dated
Concession O
, CIRCULAR NO: NHAI/ M
COMMERCIAL 17.06.2014.
OPERATION/
18
11. NHAI Circular No. 07.04.2003 Exemption of completed Obsolete .
NHAI/13013/3/02- sections from levy of fee
03/CMD-CO/Policy on
Toll, NO
CIRCULA :
R
NHAI/Commercial
Operations/15
12. NHAI Circular No. 05.08.2002 Providing concession in Toll Fee Obsolete .
NHAI/CM/RM-1/462
2065
Chapter: 17. Commercial operation
Section: 17.5. Fee Plaza Operations
Sub Subject
section
I. Courteous dealing by personnel engaged for fee collection.
II. Prohibition on Commercial activities by others in the plaza area.
III. Uniformity of Operation:- Number of shifts and their timings
IV. Complaint Register.
V. Providing job opportunities for the specially abled person and their
deployment.
VI. Issuance of duplicate tickets and tampering with server at toll

plazas
VII. Stern action against toll collection agencies for repeated instances
of misbehavior by toll staff with road uses
VIII. Guidelines/Clarification regarding issue of Form V in the matter of

work awarded to a contractor/outsourced agencies for Collection
of User Fee thorugh competitive bidding
IX. Prevention of Overloading – Amendment to Fee Rules dated

16.12.2013
X Standard public notices for publication of user fee rates in the

Newspapers by the Concessionaire/NHAI
XI Standardization of uniform of toll collection staff; user fee receipts,

user fee display boards at toll booths at both NHAI and
Concessionaires Toll Plazas
XII Toll Discount on return journey within 24 hours and on local

exemption through FASTag — reg
XIII Clarification regarding FASTag Et User fee collection by Putter

Tractor Et Modular Hydraulic Trailer (MHT)
2066
XIV Collection of Overload Penalty under NH Fee Rules in accordance

with the Concession Agreement (BOT/OMT/TOT)
XV Prohibition of usage of Electronic Ticketing Machine (ETM) and/or

any unauthorized other system/software at NH fee plazas for user
fee collection -reg
XVI Annexure-1: List of Instructions/Circulars/Policy matters/guidelines

as on 31.03.2022 consolidated in the Master Circular
2067
17.5 Fee Plaza Operations

I. Courteous dealing by personnel engaged for Fee collection 1
Every now and then instances of misbehavior with and manhandling of the road users of tolled highway
sections by personnel deployed at fee collection booths have been brought to the notice of NHAI, HO.
Even some Honourable Members of Parliament have complained about misbehavior by the staff at
toll booths. Other persons whose vehicles are exempted from payment of fee (toll) according to the
policy of the Government have also complained about misbehavior of the staff at toll booths.
Each notification for collection of fee includes a list of vehicles, which are exempted from paying fee
(toll). This list is also required to be displayed at three places which are at a distance of 100m, 500m and
1000m from toll booths in Hindi, English and local language by placing proper hoardings. This must
be ensured.
Instructions have already been issued vide our letter No. 13013/50/02-03/CMD-CO/VIP Ref dated 26th
May 2003 that Honourable Members of Parliament shall be exempted from payment of fee on production
of their identity card issued by the Parliament. Display of Lok Sabha / Rajya Sabha stickers on their
cars is not required. This must be adhered to strictly by the concerned personnel deployed for fee
collection. It is clarified that any vehicle in which an Honourable Member / Members of Parliament
is / are travelling is exempt from payment of user fee irrespective of the fact whether the vehicle
belongs to the Honourable Member of Parliament or not.
Instances of misbehavior and unnecessary arguments on the part of personnel engaged by the fee
collecting agency adversely affect the image of NHAI as a user friendly professional organization
which is most unwarranted. It is expected that Project Directors will enquire into each such incident
thoroughly and take firm punitive action against the erring personnel in accordance with the contractual
agreement without fail. It is equally important that persons posted at toll booth should be properly trained to
be patient and unfailingly courteous in dealing with users of highways and under no circumstances
misbehave with anyone. To ensure the same, following instructions are issued:-
i) Fee collecting agencies including O&M Operator and DGR Sponsored Ex-servicemen should
be asked to train every person engaged by them in the work of fee collection (not limited
1
NHAI Circular No.: NHAI/13013/3/03-04/CMD-CO/Policy on Toll dated 30.07.2003, Circular No.
NHAI/COMMERCIAL OPERATION/25
2068
to booth operators) prior to induction and also subsequently at periodical intervals. Project Directors
should ensure by periodic checks that such training is being imparted.
ii) It is necessary that all persons engaged by the fee collecting agency should wear uniforms,
have a name plate on the uniform which must also indicate the name of fee collecting agency in order to
establish their identities. This should be strictly complied with.
iii) Any road user desirous of a copy of the fee notification must be provided with the same by the booth
staff without any argument.
II. Prohibition on commercial activities by others in the plaza area 2
It has been observed that various type of commercial activities are being undertaken by various persons
within the plaza area.
Conduct of commercial activities by others in the plaza area is strictly prohibited. There is often heavy
congestion of traffic in the plaza area and such activities like soliciting business in the area would further
worsen the situation. The objective is to allow traffic to flow as smoothly as possible. Besides, the plaza
area is not designed and intended for such use, and there could be (a) risk to the lives of the persons
conducting such activities in the area (b) possibility of such persons acting as agents to transfer unaccounted
money by booth operators.
All the Project Directors may please ensure strict compliance of the above instructions and must not
allow any commercial activity within the plaza area under their jurisdiction.
III. Uniformity of operation:- number of shifts and their timings 3
It has come to our notice that varying practices are being followed by different PIUs/CMUs in the matter of
number of shifts per day and their timings while managing collection of fee at the plazas. To bring
uniformity, it has been decided that:-
(i) All the plazas will have three shifts:-
(a) First shift from 0.00 hours (midnight) to 8.00 hours;

(b) Second shift from 8.00 hours to 16.00 hours; and
2
NHAI Circular No.: NHAI/13013/50/02-03/CMD-CO/VIP (Non MP) (100) dated 27.01.2005, Circular No.
3
NHAI Circular No.: NHAI/13013/CMD-CO/02-03 /Policy on toll (Vol. VII) dated 14.02.2005, Circular No.
2069
(c) Third shift from 16.00 hours to 24.00 hours.
(ii) Each booth will have a booth number (e.g. 1,2,3 ............. ) written on all sides of the booth,
visible both during day and night.
IV. Complaint Register 4
We are in receipt of number of complaints from road users regarding non recording of complaints
at fee plazas as per instructions circulated vide our circular No. 4 dated 16.09.2002. In its continuation, the
following instructions are being issued for strict compliance by all Project Directors:
1. Besides Complaint Box as detailed under Circular No.4, every fee plaza should have two complaint/
suggestion registers, one for each direction.
2. These complaint registers must be signed by the PD on the first page to authenticate it. The address
along with contract number of PD should be clearly given on 1st Page of the complaint register.
3. Each direction of the traffic should have one such register in a booth preferably at booth meant for
exempted/ VIP vehicles.
4. All booths must have an information board that 'the complaint registers are available at booth
numbers ………………… and Complaint Box is available at ………….
5. The complaints received must be duly acknowledged by the Supervision Consultant/ any other
agency engaged for the purpose of supervision of fee collection activities everyday,
6. The supervision consultant/ any other agency engaged for the purpose of supervision of fee
collection activities should submit the copy of the complaint along with their comments to
PD every day for necessary action.
7. The PD should check at least once a week that instructions are being strictly complied at Plaza.
4
NHAI Circular No.: NHAI/13013/3/06-07/CMD-CO/Policy on Toll (Vol.-XI) dated 15.02.2007, Circular No.:
2070
V. Providing job opportunities for the specially abled person and their
deployment 5 6
Rehabilitation and economic empowerment of persons with disabilities is a social responsibility of all
members of the society. While the Government has taken major initiatives by enacting Persons with
Disabilities Act 1995, and also formulating a national policy for enhancing livelihood opportunities
for persons with disabilities, it is suggested that you and your organisation may also join in this large
national effort by providing job opportunities to such category of people. Some jobs like collecting of fee
at toll plazas and jobs in office areas and other locations are quite suitable to such personnel.
Experience has shown that given the right opportunities, persons with disabilities prove to be a reliable,
committed and sincere workforce. The emerging view in the corporate sector is also accepting the need
to tap this enormous human resource and is working out strategies to include them.
Research has revealed that most persons with disabilities equal or exceed their colleagues in terms of
productivity and reliability, have an above average attendance record, have an above average record of
coming on time and have a lower rate of turnover.
To facilitate this employment process with support systems, the following could be considered
a) Identify specific skills to match job requirements.

b) Advertise through local media with clear information regarding reservation for persons with
disabilities in the required jobs.
c) Provide intensive pre and on-job training.
d) Provide/facilitate access by way of transportation to and from work site if required (travel
allowances, pickups etc).
e) Provide appropriate aids and appliances to facilitate work place mobility, functioning and
amenities (wheelchairs, motorised tricycles etc).
f) Use enabling IT facilities (computer software, calculators, cash counting machines etc).
g) Construct Toll Plazas according to Universal Design Standards ensuring barrier free
access.
For getting information about selection of such persons, following agencies may be
contacted:
a) Special Employment Exchanges (State Directorate of Labour and Employment).
5
NHAI Circular No.: NHAI/13013/3/02-03/CMD-CO/Policy on Toll (Vol. X) dated 02.01.2007
6
NHAI Circular No.: NHAI/13013/3/02-03/CMD-CO/Policy on Toll (Vol.-X) dated 05.01.2007,
Circular No.: NHAI/COMMERCIAL OPERATIONS/82
2071
b) Vocational Rehabilitation Centres, Directorate General of Employment and Training (Ministry

of Labour and Employment}.
c) Industrial Training Institutes (State Directorates of Labour and Employment).
d) Polytechnics (State Education Departments).
e) NGOs working in disability sector (State Social Welfare Department).
 Action for Ability Development & Inclusion (AADI), New Delhi (011- 26537012).
 National Centre for Promotion of Employment for Disabled Persons (NCPEDP) 011-
26261139.
Competent Authority has approved that an appeal should be made to all toll collecting agencies including
BOT Concessionaire to engage specially abled Person to the extent possible in or around toll plaza as
part of endeavor to assist these persons in getting gainful employment on the basis of spirit and guidelines
of national objective. In this regard copy of appeal is enclosed for forwarding the same to all fee collecting
agencies and BOT Concessionaire concerned.
5. It is reiterated that noting of the vehicle registration number of all vehicles crossing the toll plaza is a
legal requirement. It is mandatory for all toll collection agencies to ensure that there is no compromise
on this requirement. All Supervision agencies i.e., Supervision Consultant, Toll Supervisor, Assistant
Toil Supervisor, Local Fee Auditor and the Project Director & PIU/CMU staff are to check this aspect during
their Supervision checks and ensure 100% compliance.
6. The receipt of the circular is to be acknowledged by the Project Directors.

2072
VI. Issuance of duplicate tickets and tampering with server at Toll Plazas 7
It has been found in various discreet assignments conducted at Head Office level that fee collecting
agencies are using duplicate tickets at various toll plazas. Cases have come to our notice regarding
tampering with server and use of software facilitating deletion of vehicle crossing entries, conversion of
heavy vehicles into cars etc. and thereby misappropriating the public money. This is very serious offence
and not possible without mutual involvement of fee collecting agency, and system Integrator at fee plaza.
Under the circumstances stated above, all Regional Heads are requested to have a strict monitoring
to check the above issues and instruct Project Directors to be more vigilant in general and specifically
with respect to manipulation in server data. Any lapse on the part of Project Directors be viewed seriously.
Wherever issuance of duplicate tickets and tampering with server are found, criminal cases may be
registered against concerned agencies engaged at toll plazas.
This is issued for strict compliance.
VII. Stern action against toll collection agencies for repeated instances of
misbehavior by toll staff with road uses 8
Repeated references/complaints about the incidents of misbehaviour of toll staff engaged by the toll
agencies/contractors with the road users/representatives of the public are being received.
2. As per provisions in Article 46 of the Concession Agreement for the BOT/DBFOT/OMT projects
and clause 13 (a) & (e) of the contract agreement of user fee collection contracts of public funded/Annuity
toll plazas, the key personnel and toll staff have to behave with courtesy without indulging into any
argument/hot discussion.
3. Regional officers (ROs) and Project Directors (PDs) are requested to issue necessary
instructions in this regard on a regular interval, necessary directions to toll collection
agencies/contractors in writing as well as through their visits to the toll plazas. In case such incidents
repeatedly come to the notice of the ROs and PDs, stern action should be taken
7
NHAI Circular No.: NHAI/13013/382/10-11/CMD-CO/Discreet Assignments dated 05.04.2010, Circular No.
8
NHAI Circular No.: 11041/218/2007-Admn. dated 27.05.2013, Policy Matters- Technical (134/2013),
Decision taken on File No. NHAI/11013/CO/2013-14-Misc)
2073
against the toll collection agencies including termination of the contracts as per provisions applicable.
4. This issues with approval of the Chairman
VIII. Guidelines/clarification regarding issue of form v in the matter of work

awarded to a contractor/outsourced agencies for collection of user fee
thorugh competitive bidding 9
NHAI HQ has received a letter from PD Moradabad in which it has been stated that the work of user fee
collection has been awarded to M/s MEP Infrastructure developers Pvt. Ltd. through competitive bidding
system and subsequently Toll Collection Operation was handed over to M/s MEP Infrastructure Developers
Pvt. Ltd. on 04 01.2014 in compliance of NHAI HQ letter no. NHAI/13013/Co/13-14/CB/RO-
Lucknow/47504 dated 03.01.2014 and auctioneer has requested to issue Form V for obtaining Labour
Licence.
It has been her stated that NHAI HQ had issued Guideline and compliance of provisions under the Contract
Labour (R&A) Act, 1970 vide letter dated: 07.01.2014 in which three categories of Contract entered into
NHAI has been defined but none of three categories clearly describe about the status of Auctioneer (Toll
Collecting Agency through Competitive bidding system).
The matter has been examined in the light of agreement entered between NHAI and Auctioneer and the
following salient feature has been observed in regard to applicability of section 2(g) (Principal Employer)
under the Contract Labour (R&A) Act, 1970.
1. In clause A of the preamble of the agreement, the auctioneer has been hereinafter referred as
contractor which clearly indicates the work of User Fee Collection has been awarded/outsourced to
the contractor
2. In clause C of the aforesaid agreement, it has been stated that The Contractor undertakes
to get itself Licensed and/or Registered with the appropriate Authority under the relevant laws mentioned
above, and shall furnish necessary proof in this regard within 7 days of signing of this contract.
3. In clause D, it has been stated that contractor under takes to

a) Comply with all the provisions of the Employees Provident Fund and Miscellaneous Provisions
Act., 1952;
9
NHAI Circular No.: NHAI/11013/DGM (LA/Coord)/2014/49930 dated 12.03.2014
2074
IX. Prevention of overloading – Amendment to fee rules dated 16.12.2013 10
The Fee Rules on overloading have been amended vide Amendment dated 16.12.2013
[G.S.R.778(E)]. The amended rules prescribe as under;
10 (1) Without prejudice to the liability of the driver or owner or a person in charge of a mechanical
vehicle under any law for the time being in force, a mechanical vehicle which is loaded in excess of
permissible load specified for its category under sub-rule(2) of rule 4, shall not be permitted to use the
National Highway or crossing the toll plaza until the excess load has been removed from such
mechanical vehicle."
(IA) The driver or owner or a person in charge of a mechanical vehicle shall be liable to pay fee, for
entering the overloaded vehicle on the national highway to the toll collecting agency, equal to ten times of
the fee applicable to such category of mechanical vehicles under sub-rule
(2) of rule 4.
(2) The weight of a mechanical vehicle, as recorded at a weighbridge installed at the toll plaza, shall
be the basis for levying the fee for overloading under this rule:
Provided that where no weighbridge has been installed at the toll plaza, no fee for overloading shall be levied
and collected under this rule and the driver, owner or person incharge of the mechanical vehicle shall be
liable to pay fee applicable for such vehicle only.
3. Ministry vide OM dated 13.03.2014 (copy enclosed) conveyed that the provisions of
overloading as amended on 16.12.2013 shall have universal application on all the National Highways.
This means the above amended rules are applicable to all the Concession Agreements irrespective
of their date of execution. We are also taking up the matter with the Ministry to delete second para of sub-
rule 10(2) mentioned above so as to make installation of weigh bridges at all the Toll Plazas mandatory.
4. The Concessionaires may be asked to install weigh-in-motion (WIM) systems in each toll lane and
one static weigh bridge in each direction at their Toll Plazas, even if such provision does not exist in
Schedule-D/ Concession Agreement and observe the above amended rules scrupulously. This cost may
be met by the Concessionaires from the amount being collected as per above amendment from the
overloaded vehicles. It is to be noted that not only 10 times applicable fee is to be collected, but also the
excess load has to be removed before the vehicle is allowed to cross the Toll Plaza.
10
NHAI Circular No.: 11041/218/2007-Admn dated 02.05.2014, Policy Circular- Technical (154/2014),
Decision taken on File of HAM Division
2075
5. All Concessionaires may also be asked to display prominently the above Amended Rule-10 of Fee
Rules at all the Toll Plazas (only Rule-10 is to be displayed, not the entire amended notification). In the
interest of transparent implementation of above amendment, it is required to incorporate a provision in the
Toll Systems Software for displaying/ charging 10 times the applicable fee in case any overloaded vehicle
enters the toll booth. In order to properly account for the fee collected it is also required to add a category of
overloaded vehicle after oversized vehicles in the formats prescribed for the reports in Schedule-M&N
(Ref. Clause 27.10). Beginning from the month of May, 2014, the reports may not be accepted without
addition of above information on overloaded vehicles in the reports. As a proof of compliance of above
directions, the photographs at each Toll Plaza under your jurisdiction may please be furnished to CO
Division, NHAI, HQ.
2076
X. Standard public notices for publication of user fee rates in the newspapers
by the concessionaire/NHAI 11
EC during its 218th meeting held on 27.11.2014 (Agenda Item no. 218.02) approved standard formats to
be used by the Concessionaire while starting a new toll plaza/notifying revised user fee rates at the toll plaza
and accordingly, the same were circulated vide NHAI Circular Policy Matters: Technical (171/2014) dated
10.12.2014.
2. MoRTH after incorporating certain modifications has approved standard public notices, to be
published by the Concessionaire/NHAI for levying and revising the user fee rates at the toll plazas.
3. In supersession to Circular Policy Matters: Technical (171/2014) dated 10.12.2014,

henceforth, prior to starting a new toll plaza and implementing revised user fee rates, the enclosed
formats (No. 1 to 4) approved by MoRTH, shall be used by Concessionaire/ NHAI, for publication in
newspapers.
11
NHAI Circular No.: 11041/217/2007-Admn dated 21.08.2015, Policy Matters-Technical (179/2015)
2077
2078
2079
2080
2081
XI. Standardization of uniform of toll collection staff; user fee receipts,

user fee display boards at toll booths at both nhai and Concessionair es Toll
Plazas 12
NHAI, HQ has been receiving frequent complaints about misbehaviour by toll plaza staff. In order not to
give scope for any such instances, it has been decided to prescribe uniform for all toll plaza staff and also
prescribe Do's & Dont's as under:
(1) The colour of the uniform shall be navy blue
(ii) The sample photographs of the uniform are enclosed at Annexure-I which shall contain the
following
(a) Sports Cap (with logo of company of the Contractor/ Concessionaire).
(b) Full sleeves Shirt and Trouser
(c) Security belt (with logo of company of the Contractor/ Concessionaire).
(d) Safety Jackets (with Fluorescent Stripes in front and back)
(e) Safety shoes (Black in colour)
(f) Identity Card
(iii) A list of Do's and Dont's by toll staff is enclosed at Annexure-II which shall be strictly followed
in letter and spirit by all toll staff.
(iv) In the interest of Concessionaires/ Contractors for smooth operations at their toll plazas, they shall
develop on their own a training programme/ module (training period not less than 7 days) for their toll
collection staff. Any person shall be put on duty only after undergoing such training programme. A register
shall be maintained about names of persons on duty and dates of their training. A certificate by the trainer
will invariably be issued to the persons who have undergone the training and such certificate shall be
produced by the persons on duly at the time of surprise check/ instructions by NHAI/ IE.
2. The users are often complaining that at the toll booths, the rates, concessions and exemptions
are not available. Accordingly, it has been decided to standardize the display board at the toll booths as
under (Ref. also Circular dated 06.01.2004 - Page-8, S. No.18 & 19 and Page-17 Appendix-2) :
(i) A display board of size 1.10m x 1.10m shall be put above the toll window. The minimum information
required to be given on a display board of size 1.1m x 1.1m, shall be as given at Annexure-III.
(ii) The background colour shall be green while text shall be in white.
12
NHAI Circular No.: 11041/217/2007-Admn dated 21.08.2015, Policy Matters-Technical (179/2015)
2082
(iii) The board shall be bilingual/trilingual as per requirements/ statutory provisions and space
availability at toll booths.
(iv) The location of display board and the font size shall be legible and visible to the users at the time
of making the payment of user fee at toll booths.
(v) The board shall be sufficiently illuminated for clear visibility even during the night.
(vi) The information shall be updated 24 hours before implementation of revised rates.
3. It has also been observed that different contractors/ concessionaires are giving different types of user
fee(toll) receipts containing insufficient information to the road users leading to various complaints by the
road users. Accordingly, the format of receipt is prescribed as under:
(i) The information on front and back side of the receipt shall be as given in Annexure-IV.
(ii) Besides the name of NHAI on the user fee receipts, the name of the Concessionaire and its Lead
Promoter in case of Toll/ OMT Projects or name of toll collection contractor in case of NHAI Toll Plazas
shall be given.
(iii) The size of the receipt shall be strictly 5" x 3" (8cm x 12 cm).
(iv) The receipt is to be printed bi-lingual/ tri-lingual, as appropriate in compliance of the statutory
provisions of "Rajbhasha Adhiniyam" and "Rajbhasha Niyamawali."
(v) Each line of the receipt shall have the same Font Size.
4. Each PD shall send a compliance report by 15.02.2016 on above 3 issues for all toll plazas under his
jurisdiction (both Concessionaires and NHAI) alongwith photographs of each toll laza at e-mail id
(saxenadeepak@nhai.org).
2083
2084
2085
2086
2087
2088
2089
2090
2091
XII. Toll discount on return journey within 24 hours and on local exemption
through FASTAG — Reg. 13
Ref: (i) NHAI Policy Guidelines on Standard Operating Procedure on Monthly pass through
FASTag, dated 16 Feb 2018
(ii) MoRTH Letters on Promotion of Digital Payments through RFID based FASTag, dated 19 July
and 29 November 2019
With reference to the above-mentioned Circular, dated 16 February 2018, in order to ensure effective
decongestion at toll plazas and promote FASTag, it was decided that monthly passes, wherever applicable,
shall be issued by concessionaire/toll plaza operators through FASTag only
w.e.f. April 1, 2018.
2. Vide Ministry letter No. H-25016/01/2018-Toll, dated 19 July 2019 and 29 November 2019, in
order to promote digital toll payment, it was decided to declare all lanes in the NH Fee plazas as "FASTag
lane of fee plazas" by 15 December 2019, while provisioning one lane (in each direction) which would be
kept as hybrid lane to accept FASTag and other modes of payment. Further, in order to provide some
relief to road users, it was directed that till 15 January 2020, only 25% of the lanes at a NH Fee plaza shall
kept as hybrid lane, converting all remaining lanes into "FASTag lanes of Fee plaza."
3. In order to enable further penetration and widespread usage of FASTag for Toll Payments
across India, it was deliberated that all concessions/discount applicable on toll plaza like return fare discount,
local exemption shall be limited to toll payments paid via FASTag only.
4. In view of above, in order to promote digital payments of toll via FASTag, it has been decided that
discount for users who make return journey within 24 hours shall be provided only if the toll payments have
been paid via FASTag. No return journey discount shall be provided to toll payments paid in cash or any
other modes w.e.f. 15 January, 2020. Similarly, all local discount shall be provided by concessionaire/toll
plaza operators through FASTag only w.e.f. 15 January, 2020.
13
NHAI Circular No.: NHAI/13013/CO/2019-20/147464 dated 15.01.2020
2092
XIII. Clarification regarding fastag et user fee collection by putter tractor

et Modular Hydraulic Trailer (MHT) 14
Ref: (1) MoRTH Letter No. H-39011/12/2017-Toll dated 20.02.2021.
With reference to subject matter, the clarification issued by MoRTH vide letter cited under Ref(i) is
enclosed herewith for necessary action.
This issues with the approval of Competent Authority. End: As

above.
14
NHAI Circular No.: NHAI/13013/CO/20-21/Misc/HTOA/E66016 dated 25.02.2021
2093
2094
2095
XIV. Collection of overload penalty under nh fee rules in accordance with the
concession agreement (bot/omt/tot) 15
NH Fee Rules 2008 prescribed 'rate of fee for overloading' under Rule 10, whereby overloaded vehicle
was liable to pay applicable fees of next higher category of vehicle along with offloading of excess toad
before proceeding further. The rules also provided that weight of vehicle recorded at Weigh Bridge
installed at toll plaza shall form the basis of overloading fees which was further amended vide Gazette,
GSR 778(E) dated 16.12.2013 of MoRTH whereby the 'rate of fee for overloading' was enhanced to 10
times the applicable fee.
2. The above mentioned rule provision on overloading was made applicable on all toll plazas by
MoRTH vide OM dated 13.03.2014 Et Gazette GSR 02(E) dated 29.12.2014.
3. Sub-rule 1(A) of Rule 10 of NH Fee Rules, 2008 was again amended vide GSR 920(E) dated
25.09.2018 thereby providing for a provision of graded penalty for overloaded vehicles which was not
made applicable universally as was done for 10 times penalty rule.
4. In continuation to discussion with MoRTH, it has been emphasised that Rule 1(3) of NH Fee
Rules indicates that the said rules are not applicable to the agreements and contracts executed and
bids invited prior to the publication of these rules and any amendment made to NH Fee Rules .Therefore
the same shall not be applicable unless a supplementary agreement for the same has been signed with
the concessionaire for implementing the same.
5. Further as per report obtained from the field units, it is observed that fee for overloaded vehicles is
not being collected as per extant notification and is being collected by the Concessionaires over
and above the provisions in their respective Concession Agreements.
6. In view of the above, it is to be ensured that Overload fee at all NH Fee Plazas shall be collected
strictly with the provisions in the concession agreement with immediate effect.
XV. Prohibition of usage of Electronic Ticketing Machine (ETM) and/or

any unauthorized other system/software at nh fee plazas for user fee collection
-reg. 16
All NH Fee plazas lanes have been declared as "FASTag lanes of fee plaza" w.e.f 15/16 February 2021.
2. Surprise inspection visits are being regularly carried at various NH fee plazas by concerned
PIUs, CO Division and Technical team from IHMCL for strict monitoring of fee plaza operations and
functioning of ETC system. During such inspection visits, it has been observed
15
NHAI Circular No.: NHAI/13013/20-21/CO/PolicyMatter-Part(3)/E29179 dated 09.12.2021
16
NHAI Circular No.: NHAI/13013/CO/21-22/SurpriseInspection/E124050/3 dated 03.01.2022
30
2096
that handheld devices such as electronic ticketing machines (ETM), Point-of-Sale (POS) terminal,
POS Bitting machine etc. are being used at NH fee plazas for user fee collection in the form of cash. Such
devices are not part of ETC system installed at toll plazas and as such user fee collected in cash are not
reported in the Toll Management System (TMS) software. Furthermore, it has also been observed that
number of non-FASTag traffic count in the TMS under violation category and exemption category are very
high at certain NH fee plazas. (These violation and exemption categories are those transactions in the
TMS for which "NIL" fee collection is reported). It is apprehended that the usage of such handheld devices,
or any such system which are not part of ETC system at NH fee plaza are strong potential threat/channel
for revenue leakage at NH fee plazas.
3. Also, as the handheld devices are not linked to the ETC system, return journey discount, etc. are not
enabled in such transactions. Additionally, various traffic related data, are also not properly depicted in the
TMS as a result of such transactions through external device(s) and hence poses various challenges in
calculation of revenue estimation/forecast, data analyses etc.
4. In view of above, it has been decided that henceforth the usage of electronic ticketing machine or
any such devices like handheld Point-of-Sale (POS) terminal, POS Billing machine etc. is strictly
prohibited for user fee collection at NH fee plazas. Sample pictures of such devices are attached in the
Annexure enclosed herewith for reference purpose. Furthermore, the deployment or usage of any
alternate software/system for user fee collection at NH fee plaza, except for the TMS through which
FASTag transactions are processed, is also strictly prohibited. Any instance of usage of such handheld
devices or unauthorised software/system shall be treated as Fraudulent Activity and any User Fee
Collection agency(ies), including the Director(s) of such entities or owner, found practising such fraudulent
activities at NH fee plazas shall be debarred from NHAI for a period up to (1) year in addition to taking further
penal action as per provisions of Contract.
5. Also, any System Integrator who is found at default for involvement in such fraudulent activities as
above or assisting the user fee collection agency, shall be debarred from NHAI and IHMCL and de-listed
from the list of empanelled Sls for a period up to 1 year.
32
09
6
2097
32
09
7
2098
Annexure-1: List of Instructions/Circulars/Policy matters/ guidelines as on


No.
1. NHAI Circular No.: 03.01.2022 Prohibition of usage of Covered under
NHAI/13013/CO/21- Electronic chapter 17.5.15
22/Surprise Ticke
Inspection/E124050/3 ting Machine (ETM)
and/or any unauthorized
other
system/software at NH
fee plazas for user
fee
collection –reg
2. NHAI Circular No.: 09.12.2021 Collection of Overload Covered under
NHAI/13013/20- Penalty under NH Fee chapter 17.5.14
21/CO/PolicyMatter- Rules in accordance
Part(3)/E29179 with the Concession
Agreement
(BOT/OMT/TOT)
3. NHAI Circular No.: 25.02.2021 Clarification regarding Covered under
NHAI/13013/CO/20- FASTag Et User fee chapter 17.5.13
21/Misc/HTOA/E66016 collection by Putter
Tractor Et Modular
Hydraulic Trailer (MHT)
4. NHAI Circular No.: 17.03.2020 Modification in ETC Obsolete as all
IHMCL/HETC/Implementat system layout to restrict lanes at the fee
ion/2020 vehicles without plaza on NH has
FASTag/Invalid been declared as
FASTag entering into “FASTag Lane of
"FASTag lane of the the fee plaza”
Fee Plaza" at NH fee
plazas –
reg
2099

No.
5. NHAI Circular No.: 15.01.2020 Toll Discount on return Covered under
NHAI/13013/CO/2019- journey within 24 hours chapter 17.5.12
20/147464 and on local exemption
through
FASTag — reg.
6. NHAI Circular No.: 03.03.2017 Constitution of the 3 Obsolete
11014/11/2016-HR-I, CGMs Committee for
Policy Circular: negotiation and One
(17.5.76/2017) (Decision Time Amicable
taken on file No. Settlement of disputes/
NHAI/13013/CO/16-17) claims pertaining to toll
collection of various
Public
Funded Toll Plazas
7. NHAI Circular No.: 02.02.2016 Standardization of Covered under
NHAI/1/218/2007-Admn, uniform of toll collection chapter 17.5.11
Policy Matters-Technical staff; user fee receipts,
(196/2016) (Decision taken user fee display boards
on the file of CO Division) at toll booths at both
NHAI and
Concessionaires Toll
Plazas
8. NHAI Circular No.: 21.08.2015 Standard Public Notice Covered under
11041/217/2007-Admn, for publication of user chapter 17.5.10
Policy Matters-Technical fee rates in the
(179/2015) Newspapers by
the
Concessionaire/NHAI/
9. NHAI Circular 15.04.2015 Reaches entrusted to Obsolete
No.11041/218/2007- NHAI by MORTH –
Admn, Policy Matters: Traffic Surveys using
Technical (176/2015) portable ATCC systems
(Decision taken on File No. by the agencies of
NHAI/13028/03/2013-HAM IHMCL
of HAM Division)
2100

No.
10.NHAI Circular No.: 11.03.2015 Reaches entrusted to Obsolete
11041/218/2007-Admn, NHAI by MORTH –
Policy Matters: Technical Traffic Surveys using
(175/2015) (Decision taken portable ATCC systems
on file No. by the agencies of
NHAI/13028/03/2013-HAM IHMCL
of HAM Division)
11. NHAI Circular No.: 02.05.2014 Prevention of Covered under
11041/218/2007-Admn, Overloading – chapter 17.5.9
Policy Circular- Technical Amendment to Fee
(154/2014), Decision taken Rules dated 16.12.2013
on File of HAM Division
12. NHAI Circular No.: 12.03.2014 Guidelines/Clarification Covered under
NHAI/11013/DGM regarding issue of Form chapter 17.5.8
(LA/Coord)/2014/49930 V in
the matter of
work awarded
to a
contractor/outsourced
agencies for Collection
of
User Fee
through
competitive bidding
13. NHAI Office Order No. 21.10.2013 Office Order Obsolete
NHAI/13021/01/2013-
Elect/45051
14.NHAI Circular No.: 27.05.2013 Stern action against Toll Covered under
11041/218/2007-Admn., collection agencies for chapter 17.5.7
Policy Matters- Technical repeated instances of
(134/2013), Decision taken misbehavior by toll staff
on File No. with road users
NHAI/11013/CO/2013-14-
Misc)
2101

No.
15. MORT&H Circular No.: 29.03.2013 Revision of user Fee Obsolete
RW/NH-37013/03/2012/PPP Rates
w.e.f. 01.04.2013
under Public
Funded / Annuity
Projects
16. NHAI Circular No.: 27.10.2011 Construction of Obsolete
11041/218/2007-Admn., Temporary Toll Plazas
Policy Matters- Technical for Collection of user fee
(91/2011) (Decision taken in across National
84th Executive Committee Highways
Meeting held on 06.09.2011)
17.NHAI Circular No.: 06.11.2011 - Obsolete
NHAI/13013/3/02-
03/CMD-CO/Policy on Toll
(Vol-V), Circular No.:
NHAI/COMMERCIALOPER
AT
ION/133
18. NHAI Circular No.: 31.03.2011 Implementation Obsolete after NHAI
13013/3/05- of Circular No.:
06/CO/PolicyonToll (Vol.XII Standard NHAI/1/218/2007-
SOP TP), Circular No.: Opera Admn, Policy
NHAI/COMMERCIALOPER ting Procedure for Matters-Technical
AT ION/129 Management of Fee (196/2016)
Plazas under Public (Decision taken on
Funded and HOT' the file of CO
(Annuity) Division) dated
02.02.2016
19. NHAI Circular No.: 08.02.2011 Display boards of rates Obsolete
NHAI/13013/558/CO/10- at the fee plazas
11/AIMTC, Circular No.:
NHAI/Commercial
Operation/127
20.NHAI Circular No.: 09.11.2010 Implementation of Obsolete
11041/217/2007-Admn., Unified Electronic Toll
Policy Matter: Technical Collection (ETC)
(68/2010) (Decision taken on Technology for National
2102

No.
file No.: Highways
NHAI/CM/Elect/ETC/2009)
21. NHAI Circular No.: 23.09.2010 - Obsolete

NHAI/13013/T-24/03-
04/CMD-
CO/Comparison(Fee
collection), Commercial
Operation Circular – 125
22. NHAI Circular No.: 13.08.2010 Traffic survey Obsolete
NHAI/13013/558/CO/10-
11/AIMTC, Circular No.
NHAI/Commercial
Operation/124
23. NHAI Circular No.: 05.04.2010 Issuance of duplicate Covered under
NHAI/13013/382/10- tickets and tampering chapter 17.5.6
11/CMD-CO/Discreet with server at toll plazas
Assignments, Circular No.
NHAI/COMMERCIAL
OPERATION/118
NHAI/13013/T-24/03-
04/CMD-
CO/Comparison(Fee
collection)
25. NHAI Circular No.: 20.11.2009 Augmentation of user Obsolete
NHAI/13013/3/05- fee collection at various
06/CMD-CO/PolicyonToll Toll Plazas on Public
(Vol.XII), Circular No. Funded Projects -
NHAI/COMMERCIAL Supervision of Regional
OPERATION/111 Officers
26. NHAI Circular No.: 27.05.2009 Augmentation of User Obsolete
NHAI/13013/3/05- Fee Collection-CHECK
06/CMD-CO/PolicyonToll LIST
(Vol.XII), Circular No.
NHAI/COMMERCIAL
OPERATIONS/105
2103

No.
27.NHAI Circular No.: 29.04.2008 Compliance of statuary Obsolete
NHAI/13013/TOLL/Conf./0 8- obligation by collection
09/Verification, Circular No. agency
NHAI/COMMERCIAL
OPERATIONS/104
28.NHAI Circular No.: 31.03.2009 Constitution of Sub- Obsolete
NHAI/13013/450/08- Committee For
09/CO/ Monitoring Monitoring, Reviewing
Committee, Circular No. and Overseeing the
NHAI/COMMERCIAL Functioning of Toll
OPERATIONS/103 System
29. NHAI Circular No.: 12.08.2008 Recording of vehicle no. Obsolete as vehicle
NHAI/13013/3/08- at the time of toll no is recorded on
09/CMD-CO/PolicyonToll collection toll receipt.
(Vol.-XI), Circular No.
NHAI/COMMERCIAL
OPERATION/99
30.NHAI Circular No.: 15.07.2008 Procurement Obsolete
11041/217/2007-Admn.,
Policy Matters.: of Equipments
ADMINISTRATION/FINANC pertaining to
E computerization of Toll
(38/2008) (Decision taken on Plaza
file No.
NHAI/CM/Elect/Circular/2
008-Admn)
NHAI/13013/3/05-
06/CMD-CO/PolicyonToll
(Vol.-XII), Circular No.
NHAI
/COMMERCIAL
OPERATIONS/92
32. NHAI Circular No.: 07.09.2007 Debarring of Shri D. V. Obsolete
NHAI/13013/258/05- Pawan Kumar and Shri
06/CMD- Phani Kumar
CO/Verification/Vijaywad a,
Circular No.: 90
2104

No.
33. NHAI Circular No.: 07.09.2007 Debarring of CISS Obsolete
NHAI/13013/258/05-
06/CMD-
CO/Verification/Vijaywad a,
Circular No.: 89
34. NHAI Circular No.: 06.03.2007 Engagement of round Obsolete
NHAI/13013/3/06- the
07/CMD-CO/Policy on Toll clock supervisions at
(Vol.-X), Circular No.: the toll plazas
NHAI/COMMERCIAL
OPERATION/85
35.NHAI Circular No.: 15.02.2007 Complaint Register Covered in chapter
NHAI/13013/3/06- 17.5.5
07/CMD-CO/Policy on Toll
(Vol.-XI), Circular No.:
NHAI/COMMERCIAL
OPERATION/84
36. NHAI Circular No.: 23.01.2007 Collection of user fee Obsolete
NHAI/13013/3/05-
06/CMD-CO/PolicyonToll
(Vol.X), Circular No.:
NHAI/COMMERCIAL
OPERATION/83
37.NHAI Circular No.: 05.01.2007 Deployment of Covered in chapter
NHAI/13013/3/02- Disabled 17.5.4
03/CMD-CO/Policy on Toll person
(Vol.-X), Circular No.:
NHAI/COMMERCIAL
OPERATIONS/82
38. NHAI Circular No.: 02.01.2007 Providing job Covered in chapter
NHAI/13013/3/02- opportunities for the 17.5.4
03/CMD-CO/Policy on Toll physically challenged
(Vol. X)
39. NHAI Circular No.: 09.10.2006 Use of security Obsolete
NHAI/13013/3/02- holograms on monthly
03/CMD-CO/PolicyonToll passes and manual
(Vol. X) tickets
2105

No.
40. NHAI Circular No.: 15.05.2006 Superseded by
NHAI/13013/218/03- NHAI Circular No.:
04/CMD- NHAI/13013/3/05
CO/Verification/Panipat- 06/CMD-
Jalandhar/266, Circular CO/PolicyonToll
No.: (Vol.-XII) dated
NHAI/C 18.12.2007,
OMMERCIAL Circular No.NHAI
OPERATIONS/75 /COMMERCIAL
OPERATIONS/92
41. NHAI Circular No.: 19.04.2006 - Superseded by
NHAI/13013/218/03- circular no. NHAI
04/CMD- Circular No.:
CO/Verification/Panipat- NHAI/13013/218/03
Jalandhar, Circular No.: -04/CMD-
NHAI/COMMERCIAL CO/Verification/Pani
OPERATIONS/074 p at-Jalandhar/266
dated 15.05.2006,
Circular No.:
NHAI/COMMERCI
AL
OPERATIONS/75
42.NHAI Circular No.: 04.01.2006 Engagement of round Obsolete
NHAI/13013/3/02- the clock supervisors at
03/CMD-CO/Policy on Toll the toll plazas
(Vol. IX), Circular No.:
NHAI/COMMERCIAL
OPERATIONS/070
43. NHAI Circular No.: 21.11.2005 Constitution of a Obsolete
NHAI/13013/3/02- Standing Committee for
03/CMD-CO/Policy on Toll matters relating to
(Vol. IX) collection of
user fee (toll) through
private contractors.
44.NHAI Circular No: 07.11.2005 - Obsolete
NHAI/13013/3/02-
03/CMD-Co/Policy on Toll
(Vol. IX), Circular No.:
2106

No.
NHAI/COMMERCIAL
OPERATIONS/067
45. NHAI Circular No.: 08.09.2005 Engagement of round Obsolete

NHAI/13013/3/CMD- the clock supervisors
CO/Policy on Toll (Vol. VIII), at the toll plazas
Circular No.:
NHAI/COMMERCIAL
OPERATIONS/64
46.NHAI Circular No.: 03.03.2005 Construction of Toll Obsolete
11041/21/2002-Admn, Plazas & Provisions of
Policy Matters: Technical Computers for Fee
(49/2005) (Decision taken on Collection
File No. NHAI/CM/Toll
Plaza/CM-IV of GM (DM)-II
dated 17.02.2005)
47. NHAI Circular No.: 14.02.2005 Uniformity of Covered in Chapter
NHAI/13013/CMD-CO/02- Operation:-Number of 17.5.3
03 /Policy on toll (Vol. VII), shifts and their timings
Circular No.
NHAI/COMMERCIAL
OPERATION/55
48. NHAI Circular No.: 27.01.2005 Prohibition on Covered in chapter
NHAI/13013/50/02-03/CMD Commercial activities 17.5.2
CO/VIP (Non MP) by others in the plaza
(100),Circular No. area
NHAI/COMMERCIAL
OPERATION/53
49. NHAI Circular No. 24.01.2005 Implementation of the Obsolete
11013/113/2005/IT NHA!'s new on-line web
based toll fee
collection
software on the Toll
plazas
50. NHAI CIRCULAR NO: 09.11.2004 Printing of receipts Obsolete
NHAI/COMMERCIAL for collection of user fee
OPERATION/49 –
NHAI/13013/69/03-
04/CMD-CO/Format
2107

No.
51. NHAI Circular no: 19.10.2004 Improving Obsolete
NHAI/Commercial Administration of user
Operations/47 – fee collection at
NHAI/13013/03/CMD- PIU/CMU Level
CO/02-03/Policy on toll
(vol vi)
52. NHAI CIRCULAR NO: 16.08.2004 Immediate Installation Obsolete
NHAI/COMMERCIAL of booth and computers
OPERATION/45 – in exempted lanes
NHAI/13013/3/02-
03/CMD-CO/Policy in Toll
(Vol-V
53.NHAI Circular No.: 06.04.2004 Standardization of Obsolete after NHAI
NHAI/13013/02-04/CMD- Display of User fee Circular No.:
CO/Policy in Toll, Circular Related Hoarding NHAI/1/218/2007-
No. NHAI/COMMERCIAL Admn, Policy
OPERATION/35 Matters-Technical
(196/2016)
(Decision taken on
the file of CO
Division) dated
02.02.2016
54. NHAI CIRCULAR NO: 11.11.2003 Recording of Movement Obsolete
NHAI/COMMERCIAL of all type of Vehicles
OPERATION/33 –
NHAI/13013/3/03-
04/CMD-CO/78/Policy on
Toll
55. NHAI CIRCULAR NO: 22.10.2003 Acquisition of Land Obsolete
NHAI/COMMERCIAL for construction of toll
OPERATION/32 – plaza
NHAI/13013/03-04/CMD-
CO/78/Plaza Location
NHAI/13013/03-04/CMD-
CO/Policy on Toll, Circular
No.
NHAI/COMMERCI
2108

No.
AL OPERATION/30
57.NHAI Circular No.: 16.09.2003 Guidelines for display of Obsolete after NHAI
NHAI/13013/03-04/CMD- fee related information Circular No.:
CO/Policy on Toll, Circular for road users NHAI/1/ 218/ 2007-
No. NHAI/COMMERCIAL Admn, Policy
OPERATIONS/27 Matters-Technical
(196/2016)
(Decision taken on
the file of CO
Division)
dated 02.02.2016
58. NHAI Circular No.: 26.08.2003 Revised format receipt Obsolete after NHAI
NHAI/13013/6/03- for collection of fee from Circular No.:
04/CMD-CO/Format, Circular road users NHAI/1/ 218/2007-
No. Admn, Policy
NHAI/COMMERCIAL Matters-Technical
OPERATION/26 (196/2016)
(Decision taken on
the file of CO
Division)
dated 02.02.2016
59. NHAI Circular No.: 30.07.2003 Courteous dealing by Covered in Chapter
NHAI/13013/3/03- personnel engaged for 17.5.1
04/CMD-CO/Policy on Toll, fee collection
Circular No.
NHAI/COMMERCIAL
OPERATION/25
60. NHAI Circular No.: 29.05.2003 Public Notice Relating Obsolete as the
NHAI/13013/3/02- to Standard public
03/CMD-CO/Policy on Toll, Fee Collection notices are issued
Circular No. as per latest
NHAI/Commercial policy Circular dated
Operations/24 21.08.2015
61. NHAI Circular No.: 11.07.2003 Public Notice Before Obsolete as the
NHAI/13013/3/02- Commencement of Fee Standard public
03/CMD-CO/Policy on Toll, Collection notices are issued
Circular No. as per latest policy
2109

No.
NHAI/Commercial circular dated
Operations/22 21.08.2015
62.NHAI Circular No.: 24.06.2003 Typical Design of Obsolete as the

NHAI/11015/3/98/(CM)(T- Toll Plazas same has been
1)/480 amended vide
Policy Circular No.
17.5.82 dated
24.05.2021 which is
covered in
Chapter 17.6 of
Master Circular
63. NHAI circular No. 28.05.2003 Placement of the Obsolete
NHAI/F&A/Toll/03-04/Cir amount of toll collection
in term deposits,
Expendit
ure
on toll collection and
Audit of Toll operations.
64. NHAI Circular No.: 26.05.2003 Problems being faced Covered in
NHAI/13013/50/02-03/CMD- by the Hon'ble Members Chapter 17.5.1
CO/VIP Ref. of Parliament for
seeking exemption from
payment of toll while
traveling on
National Highways
65.NHAI POLICY MATTERS – 16.04.2003 Construction of Toll Section (1)
TECHNICAL (14/2003) Plazas, wayside pertaining to CO
[Decision taken on CM amenities and truck Division in obsolete.
Division’s File No. parking complexes Oth
NHAI/11014/4/2001/Tech through the Civil er sections do not
/GM(E II).] – No. Contractors engaged for pertain to CO
11041/20/2002-Admn.- III 4-laning of National Division
Highways
66. NHAI Circular No.: 09.04.2003 Format and size of the Superseded by
NHAI/13013/69/02- fee Circular No. NHAI
03/CMD-CO collection receipt Circular No.:
NHAI/13013/6/03-
2110

No.
04/CMD-
CO/Format,Circular
No.
NHAI/COMMERCI
AL
OPERATION/26
dated 26.08.2003
67. NHAI Circular No. 25.03.2003 Guidelines Obsolete
11013/113/2003/IT
on
computerization of Toll
Plaza: Essential
circulars and
intimation by the
Project Directors 120
days in advance.
68. NHAI Circular No. 30.09.2002 System of Local Obsolete
NHAI/Commercial Consultation by forming
Operations/6 – District
NHAI/13013/4/02- Consulta
03/CMD-CO/Complaints tive Committee

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Master

Chapter: 1. Administration Pages

1.1 Delegation of Powers 1-36

1.2 Facilities/ Entitlements 37-74

1.3 Establishment Matters & General Instructions 75-130

1.4 Compliance of various Laws 131-157

1.5 Implementation of Official Language 158-168

1.6 Establishment of offices 169-264

1.7 Cells/ Committees and Duties & Responsibilities 265-286

1.8 Security, Attendance & Visits to HQs/MoRTH 287-318

1.9 Instructions on Filing of Documents, Record 319-389

1.10 Parliament Matters 392-397

1.11 Public Grievance & VIP Reference 398-402

1.12 RTI 403-406

1.13 Standard Formats 407-601

Chapter: 2. Dispute Resolution and Legal Matters

2.1 Dispute Resolutions Mechanism 602-605

2.2 Guidelines for Dispute Resolution Board 606-608

2.3 Conciliation through CCIE 609-624

2.4 Standard Operating Procedure for Arbitration 625-636

2.5 Guidelines and Standard Operating Procedure for 637-641

2.6 Guidelines for Engagement of Law Firms/Lawyers 642-720

Chapter: 3. Finance & Accounts

3.1 Bank Guarantee 721-728

3.2 Payment and fee 729-736

3.3 Accounting and Taxes 737-746

3.4 Audit 747-761

3.5 Operation of Bank Account 762-768

3.6 Guidelines for Appraisal of Project 769-776

3.7 Customs/Excise Duty Exemption on Externally 777-785

Chapter: 4. Media Relations and Instructions on

4.1 Media Relations, Advertising and Publicity 787-810

4.2 Signboards / kilometre stones / Road Boundary 811-819

Chapter: 6. Guidelines related to IT Applications / Softwares 843-884

7.1 Land Acquisition 885-928

7.2 Utility shifting 929-938

7.3 ROBs/RUBs 939-961

7.5 Highway Administration 971-1053

Chapter: 8. Public Private Partnership

8.1 Procurement / MCA 1054-1142

8.2 Financial Close / Conditions Precedent 1143-1147

8.3 Concession Administration 1148-1182

8.4 Financial Matters/Cabinet decisions 1183-1196

Chapter: 9. Public Funded

9.1 Procurement 1197-1246

9.2 Contract Administration 1247-1276

9.3 Payment Related 1277-1290

9.4 Operation & Maintenance 1291-1313

Chapter: 10. Consultancy

10.1 Procurement 1314-1534

10.2 Administration of consultancy contracts 1535-1567

10.3 Payment related issues 1568-1578

Chapter: 11. Standard Documents

1 Standard RFP and Standard Agreement for EPC 1579

2 Model Concession Agreement and Model RFP for 1664

3 Combined Single Stage RFP for BOT (Toll) 1740

Chapter: 12. Road Safety 1800-1825

Chapter: 13. Technology Induction Cell 1826-1878

Chapter: 14. Access Permission & Wayside Amenities 1879-1938

Chapter: 15. Quality Assurance 1939-1997