post award monitoring formats

7/27/2019 Post Award Monitoring Formats

1/17

(Name of the Port)

Construction Stage Monitoring Report of (Name of the Project) for the month

ended..

Compliance of Obligations of the Port

S.No. Obligations of the Port (Related MCAClause)

Whetherany actionrequired(Yes/ No)

If yes, givedetails of

action taken*

1 Meeting the Conditions Precedent (Clause3.1)

Procurement of clearance from Ministryof Environment & Forests

Handing over physical possession of

Project Site/ Port Assets for the project(Stage wise, if so envisaged)

Putting in place arrangement forprovision of Supporting ProjectInfrastructure

2 In case conditions precedent are not compliedwithin the specified time, details of extensionof time availed

3 Recovery of liquidated damages for failure toachieve Financial Close (Clause 3.5)

4 Appointment of Independent Engineer 5.1(a)

5 Furnishing of comments/ observations on theDesigns & Drawings to Independent Engineer 6.2 (b)

6 Grant applicable permits, approval andconsents as may be required byconcessionaire under concession agreement 6.5 (a)

7 Make available records of sub soilinvestigation. 6.5 (b)

8 Assist the concessionaire in obtainingimmigration clearance, employment permitsand residential premises for any foreignpersonnel engaged or employed byconcessionaire. 6.5 (d)

9 Assist concessionaire or contractor to importinto India all items of equipment and materialrequired for the project. 6.5 (e)


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10 If required on advice of Independent Engineer,suspend the construction works (Clause 6.6)

11 Review the rectification works if anysuggested by Independent Engineer whilevisiting the project site Clause 6.4 (e)

12 On advise of IE, revoke the suspension afterthe rectifications (Appendix 7)

13 If required as advised by IndependentEngineer, concession authority may extendthe construction phase, if the delay is notattributable by concessionaire 6.2(e)

14 To witness the tests along with IndependentEngineer to ensure project meets withconstruction standards. 6.7 (a)

15 To verify the performance security ismaintained as per clause 4.1, or otherwisetermination of agreement for non-maintenanceof performance security as per clause 15.1(a)(xii)

16 Recovery damages of liquidated if any fromperformance guarantee for failure to achievemilestones (Clause 6.9)

17 In case of change of scope, whetherprocedures laid down in Article 6.8 is followed

18 Ensuring issue of Completion Certificate byIndependent Engineer (Clause 6.7)

19 In case of aggregate delay exceeds 180 daysor LD exceeds 5% of project cost, Terminate

the agreement (Clause 6.9)20 Is any action required on monthly Inspection

report from IE (Appendix 7)21 In case concessionaire fails to complete the

works on account of Force Majeure or due toreasons attributable to authority, reduce thescope of work and recover the 80% of sumsaved from work not completed (Clause6.7(e))

22 In event of non-compliance conditionsprecedent within the time including theextended time if any termination of the

agreement (Clause 3.6)23 Ensuring Operation of Escrow account in an

orderly manner (Clause 9.5)

24 Issue of Notice for a Force Majeure Event(Clause 14.5)

25 In case of force majeure event, whetherextension of time has been granted (Clause14.9 (b))


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26 In the event of termination due to forcemajeure event, whether compensation hasbeen paid as per clause 17.1(a)

27 Issue of Notice on occurrence of an event ofdefault (Clause 16.1)

28 Informing Lenders of Intent to Terminate(Clause 16.1)

29 Termination Payment for termination due toPort Event of Default as per clause 17.1(c)

30 Exercising Rights and meeting obligationsupon termination (Clause 17.7)

31 Assessment of change in law and treatmentof costs out of change in law (Clause 13.2(b))

32 Amicably resolving disputes (Clause 19.1 &19.2)

33 Declaration of Project Facilities & Services asready for operation in accordance with Section37 of MPT Act (Clause 6.5 (c))

34 Execution of Substitution Agreement within 30days of notice from the concessionaire as perclause 12.3 (b) v

35 Any other observation, complaint orsuggestion


4/17

(Name of the Port)

Construction Stage Monitoring Report of (Name of the Project) for the month

ended..

Compliance of Obligations of the Concessionaire

S.No. Obligations of the Concessionaire (RelatedMCA Clause)



action taken*

1 Providing and maintaining the PerformanceSecurity (Clause 4.1)

2 Compliance of Conditions Precedent(Clause 3.1(a))

Execution of Escrow Agreement Procuring all Applicable Permits as per

Appendix 8

Submission of Financial Package,Financing Documents Financial Modeland other Financial Close documents toPort

Submission of Confirmation ofRepresentation & Warranties byConsortium Members

Submission of legal opinion withrespect to the authority ofconcessionaire

Furnishing a copy of ManagementContract

3 In case conditions precedents are notcomplied within the specified time, details ofextension of time availed

4 Submission of Designs and Drawings to theIndependent Engineer & concession authority(Appendix 6)

5 Arrangement of financial and other resourcesas per financing Plan as evidenced by EscrowAccount (Clause 6.4(a))

6 Carry out works in compliance with theConstruction Standards (clause - 6.4 (b)

7 Obtain Applicable Permits and comply withApplicable Laws. - 6.4 (d)


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8 Providing access to Port representatives forinspections for ascertaining compliance ofrequirements (Clause 6.4(e))

9 Submission of Monthly Progress Reports toIndependent Engineer

10 Removal of Defects/ deficiencies as observedby Independent Engineer (Clause 6.4(f))

11 Ensure safe and timely construction andcompletion of the Project/ - 6.4 (h)

12 At least 60 days prior to the likely completionof the Project, notify the Independent Engineerof the date when it intends to commencecommercial operations- 6.7 (a)

13 Providing assistance to Independent Engineerfor conducting all requisite Tests onstructures/ equipments etc., - 6.7 (a)

14 To obtain Provisional Certificate of Completionas per clause 6.6(d)

15 To complete all outstanding items listed inpunch list within 90 days or extended periodby concessioning authority. 6.7 (d)

16 Procurement of Security Clearance forManagement Contractor. 12.1 (f) (ii)

17 Pay License fee annually. 9.1 (a)

18 Pay Liquidated damages to ConcessioningAuthority, if applicable. 6.9

19 Maintenance of Insurance as per clause12.1(c)

20 In case of Execution of substitution

agreement, whether notice has been issuedby the concessionaire to the port as perclause 12.3 (b) v

21 Whether equity Holding requirements are metby lead member/ members of the applicantconsortium as per clause 11.2


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(Name of the Port)

Operation Stage Monitoring Report of (Name of the Project) for the month

ended..

Compliance of Obligations of the Concessionaire

S.No. Obligations of the Concessionaire (RelatedMCA Clause)



action taken*

1 Prompt commencement of operations afterReady for Operation declaration (Clause7.1(a)(I)(a))

2 Operation of Project facilities as per Project

Requirement (Clause 7.1(a) (i)(c))

3 Achieving Performance Standards (Clause7.1(a) (i)(d))

4 Compliance of O&M and Safety Standards(Clause 7.1(a) (i)(e))

5 Rapid & Effective response in the event ofaccident/ emergency (Clause 7.1(a) (i)(f))

6 Replacement and repair of project facilities in

a timely manner (Clause 7.1(a) (i)(g)

7 Manage & Operate project facilities on FirstCome First Served basis except for Priority &Preferential berthing as per GOI guidelines(Clause 7.1(a) (i)(h))

8 Maintenance of Proper Records relating toRevenue and operation of project facilities(Clause 9.4)

9 Obtaining, Maintenance of Applicable Permitsand Compliance of Applicable laws (Clause7.1(a) (j))

10 Prevention of encroachment / unauthorizeduse of project assets (Clause 7.1(a) (i)(l))

11 Repair & Maintain all Project Facilities as perGood Industry Practice at all times during theConcession Agreement.7.1(a)(ii)


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12 Repair, Replace or Restore the damagedProject Facilities at its own costs.7.1(a)(iv)

13 Obtaining prior written permission ofconcessioning authority for removal of assetsclause 7.1(a)(v)

14 Replacement of equipments/ assets as perGood Industry Practice (Clause 7.1(a) (iii))

15 Make timely payments to the ConcessioningAuthority viz Royalty & Licence Fee etc.9.1(a)& 9.2(a)

16 Compliance with Monthly ReportingRequirements(Clause 7.1(a) (viii))

17 Cooperation to experts appointed byconcession authority in access for inspectionfor safety audit once in a year (Clause 7.1(a)(vii))

18 Cooperation to port representatives forinspection and review of operations also tocompliance with requirements of agreement(Clause 7.1(a)(vii))

19 Installation & Operation of specified computersystem and Network as specified byconcession authority (Clause 7.1(a) (ix)

20 Ensuring the prescribed SecurityArrangements conforming to ISPScode(Clause 7.1(a) (x)

21 Employment of personnel of foreign origin onlyafter requisite approvals from Government ofIndia (Clause 7.1(a) (xi))

22 Employ qualified and skilledpersonnel.7.1(a)(xi)

23 Meeting Minimum Guaranteed Cargorequirements(Clause 7.1(a) (xi))

24 To recover tariff from users of the projectfacilities as per Tariff Order Notification and

deposit all Tariff in Escrow Account (Clause8.1)

25 If requested by CA, collect the cess andcharges from the users on behalf ofConcessioning Authority 8.2

26 Make timely payments to concessioningAuthority viz Royalty & Licence fees (Clause9.1(a) & 9.2 (b)


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27 To operate escrow account as per priority ofpayments as per clause 9.5(a)

28 To submit financial statement of grossrevenue every six months. Clause 9.4End 30th September and 31st March

29 Meeting any claim/ action/ suit etc. alleging

loss/ destruction of goods (Clause 7.19a)(xiii))30 Inform Concessioning Authority if any Direct or

indirect change of management ofconcessionaire as per clause 11.2

31 Payment of all taxes/ duties/ levies etc., to theGovernment Authorities (Clause 12.1(b)

32 Purchasing and Maintaining of Insurancerequirements in accordance with GoodIndustry Practice (Clause 12.1(c))

33 Providing copies of insurance policies to thePort (Clause 12.1(c) (iii)

34 In case money is received under insurancepolicy it should be utilized as per terms ofAgreement (Clause 12. 1(c) (iv)

35 Engagement of Management Contractor asenvisaged in RFP(Clause 12.1(f))

36 Ensuring conduct of Conditional Survey froman expert appointed by mutual consent andcompliance of remedies thereof before expiry

of concession period. (Clause 12.1(g))

37 Issue of consultation notice and compliance ofremedial process in case of Event of Defaulton the part of Port (Clause 15)

38 Submit bank guarantee two years prior toexpiry of concession period for repairs if anyfor condition survey [Clause 12.1 (g) ii]


9/17

(Name of the Port)

Operation Stage Monitoring Report of (Name of the Project) for the month

ended..

Compliance of Obligations of the Port

S.No. Obligations of the Port (Related MCAClause)



actiontaken *

1 To get from the concessionaire copies of asbuilt design and drawings maintenanceschedule of equipments etc. as vetted by

Independent Engineer as per (Appendix 6) &clause 18.2 2 Release of Performance Security

after 6 months from the date of commercialoperation(Clause 4.1)

3 Scheduling entry, berthing and sailing of thevessels, pilotage and towage on a non-discriminatory basis subject to priority berthingnorms.- Clause 7.1 (i) (a)

4 Maintenance of entrance channel draft Clause

7.1(c) (i)(b)

5 Provide waterside safety and safety ofnavigation; - Clause 7.1 (c) (i) (c)

6 Provision and maintenance of all general portinfrastructure other than covered under theconcession Clause 7.1 (c) (i) (f)

7 Grant approvals/ consents sought by theConcessionaire as required under theagreement Clause 7.1 (c) (i) (ii)

8 Evolve mutually acceptable mechanism forsharing the common costs by existing andfuture terminal operators Clause 7.1 (c) (i) i

9 Provide access to all applicable infrastructurefacilities and utilities including water, electricityetc. Clause 7.2


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10 Review performance standards from themonthly report submitted by concessionaireand take remedial action as per Clause 7.3

11 Organize a special audit of the Gross revenue,Financial statements etc. if required, and take

action as per Clause 9.412 To operate escrow account as per priority of

payments as per clause 9.5(a)

13 Whether equity Holding requirements are metby lead member/ members of the applicantconsortium as per clause 11.2

14 Assistance to concessionaire by givingrecommendation letter for getting applicablepermits Clause 12.2 (a)

15 Pay levy (or) levies including increase in taxes,duties etc., on account of port assets payableto State Govt. Clause 12.2 (b)

16 Shall not operationalise competing facility asper Clause 12.2 (c)

17 Issue notice of Force Majeure In the event ofoccurrence of any Force Majeure event(Clause 14.5)

18 Extension of time for performing obligationsdue to occurrence of Force majeure(Clause14.9 (b))

19 Compliance of provisions of Clause 14.10 inthe event of force majeure continuing beyond120 days

20 Payment of compensation in the event oftermination due to force majeure event as perclause 17.1(a)Payment of compensation in the event oftermination due to concessionaire event ofdefault as per clause 17.1(b)Payment of compensation in the event oftermination due to concessioning authorityevent of default as per clause 17.1(c)

21 Authorize the concessionaire to collect cessesand charges including infrastructure cess ifrequired and remit the same to concessioning

authority if required22 Initiate action for amicably resolution of

disputes (Clause 19.1 and 19.2)

23 Any other observation, complaint or suggestion


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Key Performance Indicators (KPI)/Performance Standards

(Based on MCA of Major Ports)

S.No. Maintenance/Performance

Standards

Indicative

norms

Actual

during the

month

Shortfall, if

any

Action

taken to

remedy

shortfall

1 Gross Berth

Output Appendix-

15

2 Transit Storage

Dwell timeAppendix 15

3 Turn-around time

for receipt/

delivery operation

Appendix 15


12/17

(Name of the Port)

Construction/ Operation Stage Monitoring Report of (Name of the Project) forthe month ended.. (Prepared by Port to the Ministry)

I. Basic Data of the project

Sl.

No.

Project Parameters Details

1. Name of the concessionaire

2. Percentage of equity holding in case of

consortium

3. Percentage of revenue sharing

4. Date of Issue of Letter of acceptance by

the port to concessionaire

5. Date of signing of Concession

Agreement

6. Time duration for fulfilling the condition

precedent as per concession

agreement

7. Actual Date of award of concessionafter fulfilling condition precedent

8. Date of starting of commercial

operation

9. Estimated cost


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10. Capacity

11. Project details like length of berth,

design vessel size can be handled,

equipments installed, backup area etc.,

12. Present tariff rate

13 MGT if any as per concession

agreement

14. Cargo handled during this month

15. Cumulative cargo handled during the

financial year

16. Any other remarks


14/17

(Name of the Port)

Construction/ Operation Stage Monitoring Report of (Name of the Project) for

the month ended.. (Prepared by Port to the Ministry)

II REPORT AT A GLANCE

S.No. The issues Action Taken

by the Port

Action

Taken /

Proposed by

Ministry

1 Timelines not met by the

Concessionaire

(i)

(ii)

2 Timelines not met by the Port

(i)

(ii)

3 Performance Standards not met by

the Concessionaire

(i)

(ii)

4 Defaults in Payments by the

Concessionaire

(i)

(ii)

5 Defaults in Payments by the Port

(i)

(ii)

6 Other issues which may lead to

default on the part of concessionaire


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(i)

(ii)


default on the part of concessioning

Authority

(i)

(ii)

8 Issues under Arbitration / Litigation

(i)

(ii)

9 Brief Comments on the progress/performance of the project

10 Suggestions, if any


16/17

(Name of the Port)

Name of the Project

EXCEPTION REPORT BY THE MINISTRY (PRU)TO THE COMPETENT

AUTHORITY

S.No. Subject Action Taken

by PMU/ Authority

Action

Taken by PRU

I Exception Report on non-compliance

1 Timelines not met by the

Concessionaire

(i)

(ii)

2 Timelines not met by the Port

(i)

(ii)

3 Performance Standards not met by

the Concessionaire

(i)

(ii)

4 Defaults in Payments by the

Concessionaire/ Authority

(i)

(ii)


default on the part of concessionaire

(i)

(ii)


default on the part of Authority


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(i)

(ii)

7 Issues under Arbitration / Litigation

and their status

(i)

(ii)

II Report on matters affecting public exchequer

1 Any additional project costs or

expenditure affecting the Authority

(i)

(ii)

2 Levy or collection of any user

charges having adverse impact on

Users or Authority

(i)

(ii)

3 Any other financial matter having

adverse bearing on Users or

Authority

(i)

(ii)

III General remarks about the progress and performance of the project

IV Suggestions, if any.