Department of Urban Development

Government of Uttar Pradesh (GoUP)

Septage Management Project (FSTP

with Collection and Transport -32KLD)
Under Design, Build, Operate & Transfer Model (DBOT)
for
Uttar Pradesh State
Volume 1: Business Case

August 2019

GOMTI POLLUTION CONTROL UNIT,

U.P. JAL NIGAM LUCKNOW
 Business Case
of a Septage Management Project
under a Public Private Partnership
Arrangement

2|Page
Contents

1 BUSINESS CASE FOR SEPTAGE MANAGEMENT PROJECT ..................... 4

1.1 Current economics and Business model ................................................................ 4
1.2 Rationale ...................................................................................................................... 4
1.3 Project Scope .............................................................................................................. 5
1.4 Review of Technical Options .................................................................................... 5
1.5 Estimated Cost ............................................................................................................ 8
1.6 Investment Programming .......................................................................................... 8
1.7 Demand Analysis ........................................................................................................ 8
1.8 Economic Analysis ..................................................................................................... 9
1.9 Financial Analysis ..................................................................................................... 10
2 PUBLIC PRIVATE PARTNERSHIP (PPP) MODALITY ................................... 13
2.1 Types of PPP ............................................................................................................. 13
2.2 Key Stakeholders ...................................................................................................... 15
2.3 Payment Structure .................................................................................................... 15
2.4 Risk Identification, Assessment and Allocation................................................... 16
2.5 General Risks ............................................................................................................ 16
2.6 Pre-commissioning Risks ........................................................................................ 19
2.7 Commissioning/Project Lifetime risks ................................................................... 20
2.8 Risk Allocation Process ........................................................................................... 21
2.9 Regulatory Aspects .................................................................................................. 22
2.10 Monitoring ................................................................................................................... 25

3|Page
1 BUSINESS CASE FOR SEPTAGE MANAGEMENT PROJECT
This business case serves as a guide for ULBs/Water and Sewerage
Boards/Jal Nigam (“Authority”) wishing to implement septage
management services through a public-private partnership arrangement.
1.1 Current economics and Business model1
1.1.1 In the present scenario, the septage management is majorly in the hands
of private operators. The operators charge for emptying service provided to
different stakeholders. Emptying points can be from individual households,
residential colonies, commercial establishments, institutions, toilet
complexes, offices etc. Generally, the operators are called for emptying
only when the containment is full. The fee for emptying varies widely. Due
to absence of a dedicated disposal sites, private emptier practice illegal
dumping of septage into water bodies, utterly disregarding the threat posed
to health and environment. They run their business without paying any fees
to government authorities which means that despite high charges collected
from customers, no revenue is generated by government authorities from
emptying business. Farmers in whose fields the collected septage is
disposed of also pay the private operators.
1.2 Rationale
1.2.1 Most of urban India 2 is dependent on onsite systems like septic tanks and
pits for the disposal of septage. The number of such systems is only going
to increase as India moves towards achieving the ambitious, country-wide
goal of putting an end to open defecation. But in many onsite systems,
limited attention has been accorded to proper construction, operation and
maintenance, and the management of septage generated. Despite
Environment Protection Act, 1986 forbidding disposal of waste into water
bodies, septage is dumped anywhere and everywhere, polluting water
sources (both groundwater and surface-water), leading to severe health
implications. It is recognized that septage management is essential to
achieve citywide sanitation, as more than 70 per cent urban population in
India is dependent on onsite sanitation systems (OSS).

1.2.2 Fortunately, Authority’s awareness and interest in protecting water supply

sources through waste water treatment is growing. However, this interest is
dampened by reluctance to invest because of the perception that
wastewater treatment services operate at a loss, thereby necessitating a
cross subsidy from water supply services.

1.2.3 With this consideration, septage management was introduced as the first
line of intervention that can effect a 50% reduction on the pollution load and
can be self-liquidating. Other options, such as combined drainage and
sewer with interceptors and the sewerage systems are much more efficient
but require much larger investments.

1
Guidelines for Faecal Sludge and Septage Management in Bihar, 2018 prepared by Centre for Science and
Environment (CSE), New Delhi
2
Septage Management: A Practitioner Guide, Urban India’s Journey beyond ODF; Ministry of Urban
Development, Government of India and Centre for Science and Environment (CSE)

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1.3 Project Scope
1.3.1 Septic tanks are the most common measure for point source wastewater
treatment but their efficiency is maintained only if they are desludged every
5 years. Septage management has three components: i) desludging of
septic tanks, ii) septage treatment, and iii) proper disposal of or re-use of
treated effluent and residual bio-solids. The project capital investment
includes the construction of a septage treatment plant and procurement of
vacuum trucks for collecting and transporting the septage from the septic
tanks to the treatment plant.

1.4 Review of Technical Options

1.4.1 Treatment and disposal facilities for septage can utilize mechanized or
non-mechanized technology:

Mechanized technology involves automated handling and dewatering of

septage with minimal intervention of operators and is designed to optimize
solid-liquid (bio-solids and filtrate) separation and enhance pollutant
removal in the downstream process. The preliminary treatment for this
process involves removing inert solids using septage acceptance units
(screening and grit removal), followed by mechanized de-watering using for
example screw or belt press. The de-watered solids may be used as soil
conditioner or landfill cover, while the filtrate is further treated biologically
using a high-rate aeration system, which is a process used for sewage
treatment prior to disposal into a receiving body of water.

Non-mechanized technology generally involves pond systems requiring

relatively large footprints. The preliminary treatment involves the removal of
non-biodegradable inert components of the septage (i.e., mostly plastic
materials). The septage is then allowed to stabilize in ponds for 30-45 days
to further remove organic contaminants. The accumulated sludge at the
bottom of the pond is usually pumped out and dewatered using drying
beds. When sufficiently dried, the sludge may be used as soil conditioner
or landfill cover.

There are obviously pros and cons to the two technical options, most
notably the land area required, efficiency and ease in operation.
Mechanized plants require smaller footprints compared to non-mechanized
systems (for example a plant with a 70 cubic meters capacity per day
require a 1,100 square meter plot for a mechanized system and 4,000
square meters for the non-mechanized system). Mechanized plants have
more reliable and consistent process in meeting effluent standards but
require higher capital outlay for the equipment compared to the mainly civil
works component of the non-mechanized system. In terms of ease in
operation, mechanized plants require less human handling and intervention
but will have higher operating costs (e.g., for power, chemical, spare parts
replacement).

For this project it is envisaged that Mechanised Technology be used as it

is more efficient and requires less land area.

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Fully-Mechanized Septage Treatment Plant Components

The hose of the desludging truck is

hooked to the septage acceptance
unit (SAU), where the solid waste
and sludge are automatically
separated.

For semi-mechanized systems, the

SAU is replaced with mechanical

Septage Acceptance Unit

The screw press is one example

of a de-watering equipment.

Other options include centrifuge

decanter, belt press or filter press

Screw Press for de-watering/

separation of sludge and filtrate

Conventional Activated Sludge

system is perhaps the most
popular and widely-used for
wastewater treatment.

Oxidation Ditch is a modification of

the Conventional Activated
Sludge.

Sequencing Batch Reactor (SBR)

combines the operation of aeration
and solid settlement in a single
system.

Activated Sludge/Aeration Tank

6|Page
Process Flow: Process flow diagram helps to understand the flow of
different streams from one component to other. It recognizes, what goes in
and out of each component and helps us to understand all the interlinkages
between different components in an FSTP, figure 2 shows the typical plant
envisages through this RFP (15%-20%) variation allowed based on
variation in input parameters.

Figure 1 Process Flow (Indicative)

7|Page
1.5 Estimated Cost
1.5.1 Sample cost estimates of fully Mechanized and Automatized (PLC/SCADA
Operated) treatment system (capacity 32 KLD) are shown in Table below.

No. Type of Expenditure Cost

A CAPEX (INR)
1 ESTIMATED TOTAL COST OF ₹4,77,00,000/-
CONSTRUCTION (CAPEX)
B OPEX (INR)
2 ESTIMATE SEPTAGE MANAGEMENT ₹2,500/- (INR
FEE (PER HOUSEHOLD PER ₹1,25,00,000/-
DESLUDGING) estimated for 1 year at
5000 HH)

1.6 Investment Programming

1.6.1 Septage treatment plants are scalable. As demand increases equipment
can be added to increase the capacity of the plant. Thus the initial
investments are not lumpy rather infusions can be phased as need for
expansion occurs. The only limitation is on the size of the plot of land for
the treatment plant. Thus, it is advisable to buy land with an area adequate
to accommodate future expansion.

1.6.2 Likewise, additional trucks can be purchased as demand increases. Note,

however, that trucks will need replacement every 10 years.

1.7 Demand Analysis

1.7.1 The proper projection of the septage volume for collection over a period of
time is crucial to septage management planning because the amount that
needs to be collected daily will determine the number of trucks, size of the
plant, ergo the investment requirement. The best way in estimating the
septage volume is to get actual data from septage haulers and de-sludgers
and facilities receiving septage. However, there will likely be no record
keeping or if available may be underestimated considering that only a small
number of households practice regular desludging. In the absence of a
septic tank inventory, the use of incomplete data on the frequency and
number of septic tanks may not be representative of the entire population
under study.

1.7.2 Given these conditions, projecting volume using the typical tank volume/
pump-out frequency is best, for which the following information is
necessary:

a) Projected household population and estimated household population

in the Service area and estimated growth rate;
b) Projected water service connection and estimated service connection
growth in the Service area;
c) Projected number of households with septic tanks;
d) Assessment of accessibility of septic tanks;
e) Septic tank average septage volume;

Page | 8
 f) Frequency of desludging to be every 5 years;
g) Days of operation per year;

1.7.3 The working formula used to estimate septage volume is shown below:

Daily Septage Volume (m3/day)

=
No. of accessible septic tanks X average septage volume per septic tank (m 3)
Days of operation per year (days/year) X desludging frequency (years)

1.7.4 Willingness to pay survey to determine overall market viability. Willingness

to pay refers to the maximum amount a person would be willing to pay,
sacrifice or exchange in order to receive a good (such as clean water) or to
avoid something (such as ill health). The market demand curve for the
service originates from what house hold respondents are willing to pay for
the service. The survey questions were constructed by starting with a high
price; asking Authority customers if they are willing to pay for the service at
that price; decreasing the price and repeating the process. This will
eventually give the Market Demand Curve.

Figure: Number of Households Covered and Septage Volume

Septage
Volume (in
Population KLD) Per Day
Number of
S.No. Cities (Census (Considering
Households
2011) 2500
Liters/HH/5
years)
1 Aligarh 8,74,408 1,74,882 240
2 Moradabad 8,87,267 1,77,453 243
3 Ayodhya 4,50,899 90,180 124
Pandit
4 Deendayal 1,09,650 21,930 30
Upadhyay Nagar
5 Pilibhit 1,30,428 26,086 36
6 Shahjahanpur 3,39,452 67,890 93

1.8 Economic Analysis

1.8.1 Intuitively, septage management projects will have very high economic
viability considering that there are no existing community-wide wastewater
treatment facilities in most Authority areas. We can assume that from zero
to a positive intervention, even if it is able to address only 50% of the
pollution load, will still redound to high economic internal rates of return.

1.8.2 The principal objective of the economic analysis is to evaluate the impact of
the project on the economy as a whole. The economic viability of the

Page | 9
 project is determined by calculating the economic internal rate of return
(EIRR) and the benefit-cost ratio (BCR) of the project. A project is
considered economically viable if the calculated EIRR is higher than 15%,
and if the BCR is greater than one.

1.8.3 The projection period for the economic analysis may be 30 years. The
septage management facility is estimated to have a useful life of 50 years,
the site development works are estimated to last for 20 years and the
useful life of the treatment plant equipment is 15 years. It is deemed
reasonable to consider two full life cycles of treatment plant equipment and
thus, a 30-year projection period.

1.8.4 While there are significant unquantifiable benefits, only the quantifiable
economic benefits should be included in the analysis. In this way, the
quantification of benefits is conservative. Benefits measured here, such as
health benefits and environmental impacts, are assumed to accrue only to
the households that will be directly covered by the septage project;
although in reality positive externalities will accrue to the whole population
in the project’s influence area.

1.8.5 Economic benefits: Since the septage management project is a sanitation

improvement project, the quantification of benefits utilizes the concept of
per capita benefit due to sanitation improvement, which is primarily based
on the Advisory Note on Septage Management in Urban India, prepared by
Ministry of Urban Development, Government of India. The study estimated
the economic costs of poor sanitation and reckoned that sanitation
improvements will result in the avoidance of these economic costs. The
economic costs that will be avoided include health impacts, water resource-
related impacts, tourism impacts and other welfare impacts.
1.8.6 Economic costs: Economic costs differ from financial costs because the
former reflect shadow prices, and should exclude transfer payments such
as taxes. Shadow prices are deemed important when there are
imperfections in a market, which imply that the accounting costs do not
reflect the true value of funds. The shadow prices used are based on the
prescriptions of the World Bank, which are as follows:

Unskilled labour = 0.70 equivalent of the financial cost of unskilled labour

1.8.7 In the reckoning of economic costs, the accounting costs for taxes are also
not considered because these are merely transfers within the economy,
that is, a transfer of resource from one economic agent (i.e., tax-paying
firms and households) to another economic agent (i.e., the government),
and do not represent creation of value. Economic costs also do not account
for inflation. Thus, the costs should be in constant prices.

1.8.8 Rates of return of septage management projects, considering sanitation

services are currently nil are expected to be very high.

1.9 Financial Analysis

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1.9.1 Septage management operation could and should be self-sustaining. A
financially viable septage management operation must be able to recover
all costs and able to service its financial obligations. Full cost pricing
means, recovery of:

a) Project development cost including studies, design, land, equipment,

trucks and other capital costs
b) Interest and principal repayment or debt service
c) Operations and maintenance cost for the entire process of
desludging, transport, treatment and disposal
d) Annual contributions to the capital repair and replacement reserve
fund.

1.9.2 The key considerations, in setting the price are:

a) Full cost recovery will be based on the served population only
b) Cash flow approach is used in determining the revenue requirements
c) The frequency of desludging will be every five (5) years
d) The combined life-line tariff for water supply and septage services
should not exceed 5% of the monthly income of the lowest income
group

1.9.3 In the absence of Government pricing guidelines for septage management

services the Authority have assumed different approaches, namely:
percentage of the water bill, fixed rate per volume of water consumed and
fixed rate.

1.9.4 Note that the test of financial viability is if the financial internal rate of return
(FIRR) is higher than the weighted average cost of capital (WACC). The
WACC is the weighted average of the cost of equity and debt. For example
if the equity is 80% of the capital and the desired return is 15%, and the
debt is 20% with an interest rate of 12%, the WACC is computed as
follows: (0.80 x 0.15) + (0.20 x 0.12)= 0.144 or 14.4%. In this particular
example the project is viable if the FIRR is higher than 14.4%.

Page | 11
Project Costing Sheet (Sample Population size of 1,25,000 to be serviced by the operator)

Plant Capacity 32KLD

Cost of Capital 12% (Not Required for Calculation)
Tariff 2500
Increase in Tariff 1%
Increase in Opex 5%
Misc & Admin 5%
Household Cleaning Efficiency 80%
Expenses Year
S.No. Description Unit (HH) Description NPV 1 2 3 4 5 6 7
1 Capex ₹ 4,77,00,000 47700000
2 Opex ₹2,32,94,838 0 5688289 5972703.5 6271338.6 6584905.6 6914150.8 7259858.4
4 Depreciation 50% as plant life assumed at
15 years
5 Interest and Initial investment is envisaged
Loan at lumpsum
Repayment
6 Misc & Admin 2385000 284414 298635 313567 329245 345708 362993
7 Taxes Included in Capex 0 0 0 0 0 0 0 0
8 Total (Cash ₹ 7,09,94,838 50085000 5972703 6271339 6584906 6914151 7259858 7622851
Outflow)
Income HH cleaned per year (5 year) 1 2 3 4 5 6 7
Population 125000
9 Recovery for 47700000
Capex
10 Number of HH 25000 5000 ₹ 3,75,16,303 0 10000000 10100000 10201000 10303010 10406040 10510101
11 Total
12 Net Cash Inflow -2385000 4027297 3828661 3616094 3388859 3146182 2887249
13 Total (Cash ₹ 8,52,16,303
Inflow)
13 Net Income ₹ 1,42,21,465
14 Return on 20.03
Investment

Page | xii
2 PUBLIC PRIVATE PARTNERSHIP (PPP) MODALITY

2.1 Types of PPP

2.1.1 The spectrum of PPP modalities as shown in Figure below presents
several options for the Authority. The range from service contract to
privatization is underpinned by three general criteria: the ownership of the
infrastructure, the extent of risk transfer and access to private finance. The
extreme right implies that: the infrastructure is owned by the private sector
investor; most risks are assumed by the private sector investor; and private
finance is used.

Figure: PPP Spectrum with Different Types of Modalities

2.1.2 The choice of the PPP modality is a policy consideration. It could be

access to private sector skills and knowhow or to address financing gaps.
The Table below shows the benefits of each modality.

PPP Modality Private Private Management Technical

Investment Sector Skills Skills
Efficiency
Service Contract: None Some Less Yes
a contractual arrangement for a
defined scope of work for the service
required, period of performance and
payment
O & M Contract: None Some Some Yes
a contractual arrangement for the
operation and management of a
facility, the payment for which may be
fixed or performance-based
Build Transfer: None Some Some Yes
a contractual arrangement whereby
the project proponent undertakes the
financing and construction of an
infrastructure facility and after its
completion turns it over to the
government agency, which shall pay
the proponent on an agreed schedule
its total investment cost plus a
reasonable rate of return thereon
Build Lease Transfer None Yes Yes Yes
a contractual arrangement whereby a
project proponent is authorized to
finance and construct an infrastructure
facility and upon its completion turns it
over to the government agency on a
lease arrangement for a fixed period,
after which ownership of the facility is
automatically transferred to the
government Agency

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 Design Build Operate Transfer Yes Yes Yes Yes
(DOBT)
a contractual arrangement whereby
the private proponent undertakes the
Design, construction, financing,
operation and maintenance of an
infrastructure facility. The proponent
operates the facility over a fixed term
during which it is allowed to collect a
fee not exceeding that proposed in the
bid to recover its investment and O&M
cost. The proponent transfers the
facility to the government agency
concerned at the end of the fixed term
not exceeding 30 Years
Build Operate Own Yes Yes Yes Yes
a contractual arrangement whereby a
private proponent is authorized to
finance, construct, own, operate and
maintain an infrastructure facility from
which the private proponent is allowed
to recover its total investments,
operating and maintenance costs plus
a reasonable return thereon by
collecting Tariff

2.1.3 Septage management is commercially viable and with manageable market

risk, as such is appropriate for the DOBT modality.

2.1.4 Key characteristics of the DOBT modality are private financing through
equity and debt, and the assumption of major risks by a private company. A
DOBT project structure for septage management is complex but not
complicated. It involves several stakeholders who are contractually bound,
as shown in Figure below.

2.1.5 The main contracting party with the Authority is the concessionaire. The
concessionaire manages several other agreements, such as the financing
agreement, the contract with the engineering, procurement and
construction (EPC) contractor and the contract with the operator; the latter
two are different from the concessionaire. The Authority has no direct
responsibility to the lender or contractors.

Page | 14
2.2 Key Stakeholders

Authority - The Authority is the government contracting entity. It is

responsible for preparing and procuring the project. It will provide the land
for the treatment plant and will be the off-taker.

Concessionaire- The concessionaire is responsible for the design,

construction, maintenance and operation of the septage management
services on behalf of the Authority. The concessionaire may commission a
contractor, through a turnkey Engineering Procurement Contract (EPC), to
construct the facility (civil, electrical works etc.). The contractor is
responsible for the construction of the project and for hiring subcontractors,
suppliers, and consultants.

Shareholders- The shareholders are the equity contributors or project

sponsors.

2.3 Payment Structure

2.3.1 Following an availability PPP arrangement, there will be a payment to the
private company as CAPEX and OPEX (covered through Septage
Management Fee). The payment structure is based on the following
considerations:

Construction Period: Milestone based payments to be made to the

contractor based on project construction stages.

Scheduled Service: refers to periodic desludging of households and

commercial establishments based on the schedule of the Authority, using a
five-year interval. Scheduled services will be paid through a monthly flat
fee3 from each household or commercial establishment connected to the
Authority. In the feasibility study the Authority will determine the revenue
requirement for the estimated capital cost and operation and maintenance
cost for the service. It will then
▪ The Authority to set the tariff that will be charged to all households
and commercial establishments it serves;
▪ provide the schedule of households and commercial establishments
that will be desludged on an annual basis;
▪ provide the projection of the additional number of households and
commercial establishments that will be served over the life of the
contract;
▪ prescribe the parametric rate adjustment formula.

3
The payment to the private company will be based on a flat fee considering that the cost of service will be
more or less the same. However the Authority can set a different pricing structure, such as percentage of the
water bill or house tax or utility.
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 The payment to the private company will be a percentage of the tariff cap
(Bid Value) multiplied by the number of households and commercial
establishments in the schedule provided by the Authority.

Unscheduled Service- refers to requests for service of households or

commercial establishments outside of the Authority’s schedule.
Unscheduled services will be paid lump sum on a “pay per service” basis.
The Authority will prescribe the lump-sum fee that the private company will
charge, as well as the parametric adjustment formula therefor. These
information will be disclosed in the bid terms of reference.

Third party Tipping/Disposal and Desludging Service- the private

company will be allowed collateral business by accommodating other
desludgers who will dispose septage in treatment plant. It can also opt to
offer desludging service to customers outside of the service area of the
Authority. The private company can set its tariffs for said service, provided
it takes on the risk for the capital investment for the additional capacity to
serve these customers, as well as the market risk.

2.4 Risk Identification, Assessment and Allocation

2.4.1 The basic tenet of risk allocation is: an identified risk should be borne by
the party best able to manage the specific risk at least cost. Deviation from
this principle defeats the purpose of a PPP arrangement.

2.4.2 This is not the same objective of maximizing the risk transfer to the private
proponent. To do so will be counter-productive as it could actually increase
the cost of the PPP project, because the private proponent will be forced to
attach a cost premium to manage that risk. This would raise the total costs
of the project, and ultimately the tariffs. Thus, a proper risk allocation
between the GoUP and the private sector entity should generate incentives
to and penalties on the private sector entity to supply cost-effective and
better infrastructure and service delivery.

2.4.3 There are three categories of project risks that occur within the different
stages of the project life. These are: (1) general risks, (2) pre-
commissioning risks, and (3) commissioning or project lifetime risks.
Generally construction is the riskiest phase of most PPP projects, tapering
off at operation phase. For septage management projects however, the
disparities are not big and risk levels relatively low.

2.5 G
e
n
e
r
al Risks

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2.5.1 General risks are project risks present at different phases of the project life.
Key examples include:

Type of Risk and Definition How can it be covered?

Procurement risk
This refers to the risk that the The Authority can conduct market
government approval and soundings once the Feasibility
procurement process will experience Study is completed, and prepare a
failure to attract sufficient qualified clear cut bid terms of reference to
bidders and/or responsive offers. avoid any ambiguous provisions
that could potentially be
contentious.
Force majeure Risk
FM events beyond the control of the Some of these risks are insurable,
parties- Examples of force majeure namely: fires, floods, and
events that could disrupt the project typhoons. Uninsurable FM events
at any stage of its life cycle are (1) can be shared by the Authority and
natural disasters - floods, storms or private proponent.
earthquakes; (2) man-made
disasters - fires, riots, mass strikes,
blockades by third-party
governments or terrorist attacks.
They may cause a temporary
interruption resulting in construction
delay, cost overruns or loss of
revenue or even destruction beyond
repair.
Political risks
These risks are caused by acts of These risks should be covered by
the government, that adversely affect the Authority
the project, namely: (1) traditional
political risks such as confiscation,
expropriation and deprivation of the
project company’s assets or the
imposition of new taxes that
jeopardize the project company’s
prospects of debt repayment and
investment recovery; (2) regulatory
risks such as introduction of more
stringent standards for service
delivery, the opening of the service
to competition, or the imposition of
tariffs which do not reflect full cost
recovery; and (3) quasi- commercial
risks such as breaches by the
Authority on contractual obligations
or project interruptions due to board
or management changes.
Non-performance of Authority The Authority can get a guarantee
Although this may be classified as a from State Government/concerned

Page | 17
political risk, it is also a major
commercial risk especially since
septage management contracts will
likely be structured as availability
PPPs. Under this arrangement the
Authority commits to pay a
predetermined amount based on a
minimum volume or level of service
provided. If its collection efficiency
falls, the Authority may not have
enough resources to pay for the
service.
Inflation and Financial risks
Inflation refers to price increases
over time. Financial market risks
commonly relate to fluctuations in
loan interest rates. If fixed rate
financing is unavailable, the project
company faces the possibility that
interest rates may rise and force the
project company to bear additional
financing costs. For certainty
proponents can get loans with fixed
interest rates.
Right of way risk
Septage management projects
require land acquisition for the
treatment plant. As per DOBT
Agreement the Authority to provide
the site. The footprint for the
treatment plan varies according to
the treatment option used. The
manual/low- technology option, using
a series of ponds requires at least
5000 square meters; while the semi
and the fully mechanized options
require much less; at least 1,000
square meters only.
Regulatory risks
The Authority will charge a tariff for
the septage management services.
Currently, there is no clear
guidelines for tariff setting for
septage projects.
Agency to cover its undertakings
under the availability (or off-take)
PPP arrangement. Effectively, if
the Authority is unable to buy the
pre- agreed level of service at the
contracted price, the private
proponent will be paid by State
Government/ concerned Agency.
The Authority pays an annual
premium for this guarantee, and
backs it up by assignment of
revenues.
The Authority should allow the
proponent fee adjustments based
on a pre-agreed parametric rate
adjustment formula for inflation
and financing costs. Proponents
should be advised to hedge.
Proponents will also be allowed to
re-finance loans if the conditions
are better. However the Authority
can require sharing of the
refinancing windfall.
Land acquisition is best
undertaken by the Authority, either
through a transfer from the State
Government/concerned
Departments or through direct
purchase of the lot. For
expedience, it is better for the
Authority to procure the lot so that
the timing of the procurement is
within its control. The cost of the
land can be recovered from the
tariffs.
With availability PPP arrangement,
the Authority necessarily takes on
the regulatory risk. Rightly so
because the Authority has the
knowledge and wherewithal to
submit to the tariff approval
process of State Government and
will be directly collecting the fees
from its concessionaires
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2.6 Pre-commissioning Risks
2.6.1 The main risks that the parties may face during the pre-commissioning
period are: (1) completion risks - the project cannot be completed at all; (2)
construction delay risks - the project cannot be delivered according to the
agreed schedule; (3) cost overrun risks - the actual construction cost
exceeds the original cost estimates; and (4) performance risks - the project
fails to meet the performance criteria at completion.

2.6.2 The project company, its contractors and suppliers, can in certain cases
create risks. For instance, construction cost overrun and delay in
completion may be the result of inefficient construction practices, wastes,
insufficient budgeting or lack of coordination among contractors. Failure of
the project to meet performance criteria may also be the result of defective
design, inadequacy of the technology used or faulty equipment delivered
by the project company’s suppliers.

2.6.3 However, some of these risks may also result from specific actions by the
Authority, Government or other public authorities. Performance failures or
cost overruns may be the consequence of the inadequacy of the technical
specifications provided by the Authority in the bid terms of reference.
Delays and cost overruns may also be brought about by actions of the
Authority subsequent to the award of the project (delays in obtaining
approvals and permits, additional costs caused by changes in requirements
due to inadequate planning, interruptions caused by inspecting agencies or
delays in delivering the land on which the project is to be built). General
legislative or regulatory measures, such as more stringent safety, labour or
environmental standards, may also result in higher construction or
operating costs.

2.6.4 Other risks that occur in the pre-commissioning period include delays in
project completion due to force majeure and the bankruptcy of
shareholders and suppliers.

Type of Risk and Definition How can it be covered?

Construction delay or failure to If the delay or failure to complete
complete the project construction is due to the fault of
the concessionaire, it shall
The inability of the concessionaire to remunerate the Authority for the
complete the project may be for a damage caused. Remuneration is
variety of reasons: lack of funds, assured through the posting of a
technical incompetence of the construction bond, in any of the
contractor, or negligence. following forms: cash bond, bank
guarantee or surety bond. As the
project is completed the value of
the construction bond can be
reduced accordingly.
Cost overrun If the concessionaire is hiring a
third party contractor to build the
The contractor incurs significant cost facility, it should require a lump
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 Type of Risk and Definition How can it be covered?
overrun sum, date certain, fixed price
turnkey contract. Any cost
overruns will then be the
responsibility of the contractor.
Performance risk This risk can be covered by a
warranty period and performance
The facility was built no in bond, also in the form of cash
accordance with the performance bond, bank guarantee or surety
specifications and standards bond. The performance bond
should be made enforceable
during the operating phase of the
project.

2.7 Commissioning/Project Lifetime risks

2.7.1 Commissioning risks may occur throughout the project’s operating period.
There are different risks that may crop up within or long after the warranty
period, as shown below.

Type of Risk and Definition How can it be covered?

Debt service interruption risks
Lenders may require an escrow
arrangement for a reserve fund to
cover forward debt service and
protect itself from sudden decreases
in cash flow that may disrupt
remittance of debt repayment.
Market or commercial risks
These relate to the possibility that
the project cannot generate the
expected revenue because of
changes in market prices or in
demand for the goods or services it
generates. Both constituents of
commercial risk may seriously impair
the project company’s capacity to
service its debt and may
compromise the financial viability of
the project.
Commercial risks vary greatly
according to the sector and type of
project. The risks may be regarded
as minimal or moderate where the
project company has a monopoly
over the service concerned or when
it supplies a single, or at best, a few
clients through a standing off-take
agreement. However, commercial
risks may be considerable in projects
For the extent of risks of a PPP
septage project, a reasonable
escrow account is three months’
worth of debt service.
At the minimum, the Authority will
have to set an environment in
which the local PPP project will
operate in. There are three general
approaches of mitigating this type
of risk.
First, the Authority undertakes a
pledge of no competition, i.e.,
promises not to set up or allow an
establishment of a competing
facility during the cooperation
period.
Second, there is a ‘take or pay’
arrangement wherein the Authority
commits to ‘buy’ a specific number
of units of the service being
provided by the PPP facility
whether or not there is sufficient
demand for such service. In this
case, cash transfer from the
Authority is set in place, and

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 that depend on market- based should be sufficient to at least
revenues, in particular where the cover the private proponent’s debt
existence of alternative facilities or payment.
supply sources makes it difficult to
establish a reliable forecast of usage On the part of the Authority, this
or demand. risk is mitigated by imposing a fee
included in the water bill; non-
payment of which can result to
disconnection of the water supply
service.
Operating risks
During the operational phase the
parties may face the risk that the
completed project cannot be
effectively operated or maintained to
produce the expected capacity,
output or efficiency (performance
risk); or that the operating costs
exceed the original estimates
(operation cost overrun risk). The This type of risk can be covered by
Authority and the users in the host performance guarantees in an
community may be severely affected operating and maintenance
by an interruption in the provision of contract, which is assumed
needed services. The Authority may primarily by the private partner.
have to deal with safety risks or The contractor should be asked to
environmental damages due to issue a performance bond in
improper operation of the project. favour of the Authority.
2.7.2 The most critical risks, based on past experience in this type of PPP
Project are those related to:

▪ Land availability and acquisition, if the former is not available at the

point of tender;
▪ The construction and operation of the infrastructure;
▪ Market or commercial viability of the infrastructure; and
▪ The regulatory environment.

2.7.3 Clearly, the degree of sharing market risk is a negotiation item, and
whether the Authority is willing to share such a risk in the first place
depends on the priority of the septage management project and on the
resources available to the Authority. Again the objective should not be
maximizing risk transfer to the private proponent rather judicious allocation
to the party who has the best ability to handle and mitigate the risk.

2.8 Risk Allocation Process

2.8.1 The choice of a PPP modality clearly dictates what risks are applicable;
therefore, the analysis of risks is in the context of a DOBT modality. In
particular, the key considerations in the allocation are:

Risks Who bears them Why

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 Pre-contract Authority They occur before contracting
risks
Site acquisition Authority Can procure in advance to avoid
delays
Design, Private Was awarded the contract based on
construction Proponent ability to manage the construction of
and the plant and installation of
commissioning equipment
Sponsor and Private Project is financially viable and
financial risk Proponent market risk is borne by the Authority
Operating risk Private Proponent is in control of the design
Proponent and construction and installation of
equipment
Demand risk Authority Service will be limited to Authority’s
customers
Industrial Private Proponent manages its work force
relations Proponent
Government Authority Outside of control or influence of the
policy private proponent
Force majeure Both Best practice is sharing of these
risks

2.9 Regulatory Aspects

2.9.1 The Environment (Protection) Act, 1986 and the Water (Prevention and
Control of Pollution) Act, 1974 apply to households and cities in regard to
disposing wastes into the environment. ULBs/Utilities/Authorities also have
to comply with discharge norms for effluent released from sewage
treatment plants and to pay water cess under the Water Cess Act, 1977.
The Authority is responsible for ensuring the safe handling and disposal of
septage generated within its boundaries, for complying with the Water Act
for meeting all state permit requirements and regulations.

2.9.2 There are no specific legal provisions relating to septage management, but
there are a number of provisions relating to sanitation services and
environmental regulations, following from the above Acts. Municipal Acts
and Regulations usually refer to management of solid and liquid wastes but
may not provide detailed rules for septage management. Therefore,
Authorities/ULBs formulate their own bye-laws and rules for management
of septage in the city.
Table: Legislative and regulatory provisions for septage management

Policy Existing Key Focus Provision for Septage

Management
National Urban Prioritizes state-wide Provision for septage
Sanitation Policy sanitation strategy management exists, but
(SSS) and CSP with a is not part of the service
focus on service-level level benchmarking.
benchmarking. The
policy envisages a city
sanitation task force.

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Policy Existing Key Focus Provision for Septage
Management
Advisory Note on Development of a Recommends septage
Septage Management, septage management management as an
2013 sub-plan as part of CSP essential component for
citywide sanitation
National Urban Faecal Recognition of faecal Focussed on areas with
Sludge and Septage sludge and septage no sewers, emphasis on
Management policy, management as a onsite and offsite
2017 sanitation solution sanitation systems need
to exist in tandem
Plan
Swachh Bharat Mission, Prioritise ODF, and also Focus on ending open
2014 emphasizes upon defecation with a little
provisions of focus on the treatment
containment system of septage and
with proper dimensions. wastewater
Pradhan Mantri Awas Provision of houses with No mention of
Yojna, 2015 a toilet, with no focus on integration of standard
any of the components designs for OSS
of the sanitation value
chain
Guidelines
Environment Impact Clearance for Key sources of pollution
Assessment (EIA), 1994 scheduled development like wastewater and
projects that are likely to septage are not
result in significant considered
environmental effects
Urban and Regional Proposed land use for Provides a relatively
Development Plans the bifurcation of wide scope under the
Formulation and different urban centres CSP by talking about
Implementation septage management
(URDPFI) Guidelines, and wastewater
2014
Model building by-laws, Tool used for Clearance by ULBs,
2016 construction and design with standard reference
aspects of buildings in a from the BIS codes
development area
Act
The water (Prevention Provides provisions for No dedicated mention
and Control of Pollution) prevention and control of septage management
Act, 1974 and of water pollution and
Environment Protection for maintaining or
Act, 1986 restoring
wholesomeness of
water in the country
Agency for defining
standards

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Policy Existing Key Focus Provision for Septage
Management
Bureau of Indian Provides Standards for Provides the standards
Standards (BIS) building materials and for building of a septic
their components tank along with user
interface description

2.9.3 The State and appropriate development authorities would need to review
the building regulations to ensure proper construction of adequate onsite
facilities for loads projected to be generated, and for ensuring safe
disposal. These will need to be disseminated to the construction industry
and households through periodically scheduled interactions like workshops.
Sites selected for sludge application by the ULB and by other parties (like
residential layouts) would need prior consent to operate from the
competent authority [like the Pollution Control Board (PCB)].

2.9.4 The septage management program for the cities should provide for issuing
licenses to private operators providing desludging services. All public and
private sector staff should adhere to safety norms as provided in the
Manual on Sewerage and Sewage Treatment published by the Ministry of
Urban Development and such other safeguards that the Authority may
provide under its own rules. For disposal of septage, the Authority will need
to follow the standards set out in the Environment (Protection) Act, 1986,
depending on the mode of disposal.

2.9.5 In case septage is collected, transported, treated and disposed in a

sewage treatment facility, the treated sewage and sludge shall comply with
relevant Minimal National Standards (MINAS) notified under Environment
(Protection) Act, 1986.

2.9.6 Reuse of treated sludge for agriculture application should comply with the
standards notified for compost under US EPA /WHO guidelines and MSW
Rules.

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2.10 Monitoring

Page | 25
 Department of Urban Development
Government of Uttar Pradesh (GoUP)

DRAFT CONTRACT
of a

Septage Management Project (FSTP

with Collection and Transport)
Under a Public Private Partnership (DBOT Model)
for
Uttar Pradesh State
Volume 2: Contract Document

August 2019

GOMTI POLLUTION CONTROL UNIT,

U.P. JAL NIGAM LUCKNOW

0
Contents

1 DEFINITIONS, PRINCIPLES OF INTERPRETATION, AND PRIORITY OF

PROJECT DOCUMENTS .................................................................................... 7
1.1 Definitions ................................................................................................................. 7
1.2 Principles of Interpretation ..................................................................................... 16
2 CONDITIONS PRECEDENT TO EFFECTIVE DATE ................................... 18
2.1 Conditions Precedent to Effective Date ................................................................. 18
2.2 Reasonable Efforts to Satisfy Conditions Precedent .............................................. 20
2.3 Non-Occurrence of Effective Date ......................................................................... 20
2.4 Specific Provisions Effective on the Signature Date ............................................. 21
3 TERM OF THE AGREEMENT .......................................................................... 21
3.1 Contract Term ......................................................................................................... 21
3.2 Provisions in Force .................................................................................................. 21
4 PROJECT IMPLEMENTATION ........................................................................ 23
4.1 Project Scope ........................................................................................................... 23
4.2 Grant of Rights ........................................................................................................ 23
4.3 Land Acquisition and Right-of-Way ...................................................................... 23
4.4 Consents and Approvals ......................................................................................... 23
5 CONSTRUCTION, TESTING, AND COMMISSIONING .............................. 24
5.1 Construction Responsibilities of the Contractor .................................................... 24
5.2 Further Responsibilities Related to Construction .................................................. 24
5.3 Design and Construction ......................................................................................... 25
5.4 Independent Consultant........................................................................................... 25
5.5 Design, Drawings and Other Documents ............................................................... 27
5.6 Testing and Commissioning ................................................................................... 28
5.7 Construction Security .............................................................................................. 30
5.8 Liquidated Damages for Delay in Meeting Project Milestones ............................. 30
5.9 Project Milestone Schedule .................................................................................... 31
5.10 Discovered Heritage Resources .............................................................................. 31
6 OPERATION AND MAINTENANCE ................................................................ 32
6.1 Operation and Maintenance Responsibilities of the Contractor ............................ 32
6.2 Operating Procedures .............................................................................................. 32
6.3 Contractor Staff ....................................................................................................... 33
6.4 Unplanned Downtime ............................................................................................. 33
7 SEPTAGE MANAGEMENT SERVICE ............................................................ 34
7.1 Desludging and Transport of Septage .................................................................... 34
7.2 Treatment and Proper Disposal of Septage ............................................................ 34
7.3 Quantity of Septage Treated and Properly Disposed ............................................. 34

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7.4 Quality of Treated Effluent and Bio-Solids ........................................................... 35
7.5 Service outside of the Authority service area ......................................................... 35
7.6 Improvement and Unplanned Expansion of Facilities ........................................... 35
8 PAYMENT ............................................................................................................. 36
8.1 Septage Management Fee ....................................................................................... 36
8.2 Calculation of Payment ........................................................................................... 37
8.3 Septage Management Fee Adjustment ................................................................... 39
8.4 Invoices.................................................................................................................... 39
8.5 Payment Terms ........................................................................................................ 39
8.6 Manner of Payment ................................................................................................. 40
8.7 Taxes ........................................................................................................................ 40
8.8 Mobilization Advance ............................................................................................. 40
9 CONTRACT MANAGEMENT, MONITORING, AND EVALUATION ........ 40
9.1 Contract Management Body ................................................................................... 40
9.2 Project Reports ........................................................................................................ 40
9.3 Monitoring and Reporting Obligations................................................................... 41
9.4 Regular Meetings .................................................................................................... 42
9.5 Regulation of the Contractor ................................................................................... 42
9.6 Right of Authority to Monitor ................................................................................ 42
9.7 Financial Reports .................................................................................................... 43
9.8 Financial Reports and Public Audit ........................................................................ 43
10 INSURANCE ......................................................................................................... 44
10.1 Required Insurance Policies; Endorsements .......................................................... 44
10.2 Insurance Certificates .............................................................................................. 44
10.3 Failure to Secure and Maintain Required Insurance .............................................. 44
10.4 Application of Insurance Proceeds ......................................................................... 44
11 REPRESENTATIONS AND WARRANTIES .................................................. 45
11.1 Corporate Existence and Authority ........................................................................ 45
11.2 Government Consents and Approvals .................................................................... 45
11.3 Non-contravention of Legal Requirements ............................................................ 45
11.4 Validity and Enforceability of Agreement ............................................................. 45
11.5 No Adverse Litigation ............................................................................................. 46
11.6 Due Authorization & Non-contravention of Other Agreements ........................... 46
11.7 Continuing Representations and Warranties .......................................................... 46
12 CONTRACTOR COVENANTS ......................................................................... 46
12.1 Conduct of Contractor ............................................................................................. 46
12.2 Compliance with Legal Requirements and Consents ............................................ 46
12.3 No Other Business ................................................................................................... 46

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12.4 Local Content .......................................................................................................... 47
12.5 Contractor’s Employees .......................................................................................... 47
12.6 Anti-Corruption Warranty ...................................................................................... 47
12.7 Transactions with Affiliates of Contractor ............................................................. 48
13 DELETED .............................................................................................................. 48
14 INDEMNITY ........................................................................................................... 48
14.1 Indemnification by the Contractor .......................................................................... 48
14.2 Indemnification by Authority ................................................................................. 48
14.3 Indemnification Procedures .................................................................................... 49
15 EVENTS OF DEFAULT ...................................................................................... 49
15.1 Contractor Events of Default .................................................................................. 49
16 LIMITATION OF LIABILITY .............................................................................. 51
16.1 Limitation of Consequential Damages; Other Rights, Remedies, etc. .................. 51
16.2 Limitation of Liability for Liquidated Damages .................................................... 52
17 AUTHORITY STEP-IN RIGHTS ........................................................................ 52
17.1 Step-in Rights .......................................................................................................... 52
17.2 Implementation of Authority Step-in Rights .......................................................... 53
18 ASSIGNMENT OF RIGHTS; OWNERSHIP OF THE CONTRACTOR ..... 54
18.1 No Assignment ........................................................................................................ 54
18.2 Permitted Assignment to Lenders ........................................................................... 54
18.3 Ownership of Capital Stock of Contractor ............................................................. 55
19 DISPUTE RESOLUTION .................................................................................... 56
19.1 Mutual Discussions ................................................................................................. 56
19.2 Expert Proceedings.................................................................................................. 57
19.3 Arbitration ............................................................................................................... 58
19.4 Expert Panel and Arbitral Award ........................................................................... 58
19.5 Enforcement of Award ............................................................................................ 58
19.6 Continuing Obligations ........................................................................................... 58
19.7 Exclusive Procedure for Resolving Disputes ......................................................... 59
20 TERMINATION ..................................................................................................... 60
20.1 SUSPENSION AND TERMINATION ................................................................. 60
21 GENERAL PROVISIONS ................................................................................... 61
21.1 Notices ..................................................................................................................... 61
21.2 Entire Agreement .................................................................................................... 61
21.3 Waivers .................................................................................................................... 61
21.4 Confidentiality and Disclosure ............................................................................... 62
21.5 Further Assurances .................................................................................................. 63
21.6 Severability .............................................................................................................. 63
21.7 Language ................................................................................................................. 63

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21.8 Counterparts ............................................................................................................ 63
21.9 Remedies Cumulative ............................................................................................. 63
21.10 Amendments ............................................................................................................ 64
21.11 Governing Law ........................................................................................................ 64
21.12 Survival.................................................................................................................... 64
21.13 Successor And Assigns: .......................................................................................... 64
21.14 Written Notice: ........................................................................................................ 64
21.15 Oral Agreement: ...................................................................................................... 64
21.16 Cleaning Up: ........................................................................................................... 65
21.17 Owner’s Right To Clean Up: .................................................................................. 65
21.18 Certificate: ............................................................................................................... 65
21.19 Special Risks: .......................................................................................................... 65
21.20 Fossils Etc: .............................................................................................................. 66
21.21 Vehicle, Site Office & Data Entry Operator: ......................................................... 66

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 Septage Management Project Agreement

This Septage Management Project Agreement (this “Agreement”) is made and

executed at __________ on this [____________] of [_______________], in the
year Two Thousand and ____ by and

Between

___________________, a [UP Jal Nigam / Urban Local Bodies], having its

registered office at ________________________________________, represented
herein by its [designation of the Nodal Officer] (hereinafter referred to as
“Authority”, which expression shall, unless it is excluded by or repugnant to the
context, include its successors and permitted assigns), OF THE ONE PART

And

[_____________________], a [______] incorporated under the Contractor’s Act,

1956/2013 acting through [_________________] having its registered office at [
___________________________] (hereinafter referred to as the “Contractor”,
which expression shall, unless it is excluded by or repugnant to the context, include
its successors and permitted assigns), OF THE OTHER PART;

The foregoing entities are hereinafter collectively referred to as the “Parties”.

A. WHEREAS, the Septage Management Project is a community wide waste-

water treatment intervention that will address growing water pollution that
affects quality of the water supply sources [state the rationale for and
background of the Project];

B. WHEREAS, on [date], the Authority obtained the approval of

[_______________________________] to develop, finance, design,
construct, commission, operate, manage and maintain the septage
management projects that is capable of processing up to [daily capacity]
cubic meters per day of waste water from [indicate service area], treat such
waste water and bio-solids to the standards prescribed by the
[_______________________________________] prior to disposal, under a
design-build-operate-transfer (“DBOT”) contractual arrangement;

C. The Directorate had accordingly invited Bids through an open competitive

bidding process by prescribing certain technical and commercial terms and
conditions vide its Request for Proposal No.
[_________________________] dated ___________________.
D. Pursuant to the competitive bidding process, the Authority, selected the bid of
the M/s _______________________ as the Selected Bidder and issued its

Page | 5
 letter of award No._________ dated ______________ (the “LoA”), requiring,
inter alia, the execution of this Agreement with the Authority.

E. By its letter dated _______the _____________ (Contractor) has accordingly

agreed to enter into this Agreement with Authority for execution of his rights
and responsibilities, subject to and on the terms and conditions set forth
hereinafter.

F. The Operator has submitted Performance Security of Rs.

_____________________________ in the form of Bank Guarantee from
________________ Bank in favour of the Authority as prerequisite for signing
of this Agreement.

G. The Authority and the Contractor are hereby entering into this Agreement to
implement the Project of in [service area].

NOW THEREFORE, for and in consideration of these premises and the mutual
commitments, obligations and undertakings assumed and accepted hereunder,
the Parties have agreed as follows:

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1 DEFINITIONS, PRINCIPLES OF INTERPRETATION, AND PRIORITY OF
PROJECT DOCUMENTS

1.1 Definitions
1.1.1 Unless the context otherwise requires, the following terms whenever used
in this Agreement shall have the following meanings:

Accounting Principles means the generally accepted accounting

principles applicable from time to time in India.
Affiliate means, with respect to any specified person, any
other person that directly or indirectly, through one
or more intermediaries, controls, is controlled by,
or is under common control with, such specified
person. For purposes of this definition, "control"
means the ownership, directly or indirectly, or as
trustee, personal representative or executor, of
more than fifty per cent (50%) of the outstanding
capital stock of such person, or other equity
interests having the power to elect a majority of
the board of directors, or similar body governing
the affairs of such person or the power to direct or
cause the direction of the business affairs or
management of such person.
Agreement means this Septage Management Project
Agreement signed by the Parties on the Signature
Date, including any amendments that may be
made from time to time in accordance with its
terms.
As-Built means, with reference to any drawing or
document, the final design drawing or design
document for an item which reflects as closely as
possible the actual condition and field location of
the item shown in the drawing or described in the
document taking into account actual field
measurements and observations and relevant
construction records.
Applicable Permits means all clearances, permits, no-objection
certifications, exemptions, authorisations,
consents and approvals required to be obtained
or maintained under Applicable Law, in
connection with the Project, during the
subsistence of this Agreement.
Applicable Law means all the laws, acts, ordinances, rules,
regulations, notifications, guidelines or byelaws, in
force and effect, as of the date hereof and which
may be promulgated or brought into force and
effect hereinafter in India, including judgments,
decrees, injunctions, writs or orders of any court
of record, as may be in force and effect during the
Page | 7
 subsistence of this Agreement and applicable to
the Project.
Auditor mean the duly licensed independent public
accountants appointed by the Contractor with the
prior written approval of the Authority.
Authority means the Officer signing the contract on behalf
of U.P. Jal Nigam i.e. General Manager, Gomti
Pollution Control Unit, U.P. Jal Nigam, Lucknow
Billing Month means (i) the period from the Provisional
Operations Start Date until the last Day of the
calendar month in which the Provisional
Operations Start Date occurs; (ii) each successive
period of one calendar month thereafter, exclusive
of the calendar month in which the Termination
Date occurs; and (iii) the period from the first Day
of the calendar month in which the Termination
Date occurs until the Termination Date.
Business Day means any Day other than a Saturday, a Sunday,
and any day which is a legal non-working holiday
in [locality where project is], India or any Day when
Commercial Banks in India are closed.
Change-in-Law means any of the following events occurring as a
result of any action by any Government of Uttar
Pradesh or Government of India:
a) A change in or repeal of a Legal
Requirement;
b) An enactment or making of a new Legal
Requirement; or
c) A change in the interpretation or
application of a Legal Requirement, which
in any case was not reasonably
foreseeable at the Signature Date, but not
a change in Taxation and an improvement
in septage management project
technology or operational policies or
practices which are generally regarded by
septage management project suppliers or
operators and regulatory authorities in
[advanced jurisdictions] as appropriate for
suppliers and operators to have to make.
Change of Ownership Change of Ownership means:
a) any sale, transfer or disposal of any legal,
beneficial or equitable interest in any or all
of the shares in the Contractor, including
control over the exercise of voting rights
conferred on those shares, control over the
right to elect, appoint or remove directors,
or the right to dividends; and

Page | 8
 b) any other arrangements that have or may
have or which result in the same effect as
paragraph (a) above.
Claims means with respect to any person, any and all
suits, sanctions, legal proceedings, claims,
assessments, judgments, damages, penalties,
fines, liabilities, demands, reasonable out-of-
pocket expenses of whatever kind (including
reasonable attorneys' fees and expenses) and
losses incurred or sustained by or against such
person but excluding any lost profits or other
special, incidental, indirect, punitive, or
consequential damages suffered by such person.
COA means the Commission on Audit.
Contractor Event of is defined in Section 15.1 (Contractor Events of
Default Default).
Contractor Invoice is defined in Section 8.4 (Invoices).
Contractor Parties is defined in Section 14.2 (Indemnification by
Authority).
Confidential Information is defined in Section 21 (Confidentiality).
Consent means any permit, license, approval, concession,
right, award, registration, certification, waiver,
exemption, or other authorization, including any
amendments thereto, that is required from any
Government Authority under the terms of or in
connection with this Agreement.
Continuous Construction means the date on which the Contractor
Date commences continuous construction activities to
build the Facilities at the Site, including clearing,
earthworks, excavation, formworks, pile driving,
laying of foundations, or other activities approved
in writing by the Authority as constituting
commencement of continuous construction
activities for the Project.
Contract Management is defined in Section 9.1 (Contract Management
Body Body).
Contract Year means (i) initially, the period starting on the
Provisional Operations Start Date and continuing
until the end of that calendar year (such initial
period being "Contract Year 1") and (ii) thereafter,
each successive period consisting of twelve (12)
consecutive monthly Billing Months (the first such
period being "Contract Year 2" and so on),
provided that the last Contract Year shall end on
the Termination Date.
Day means a 24-hour period beginning and ending at
midnight, Indian Standard Time
Delay Liquidated Damages is defined in Section 5.8(a) (Liquidated Damages
for Delay in Meeting Project Milestones).

Page | 9
Design and Technical means the design and technical specifications set
Specifications out in Schedule B (Design and Technical
Specifications) to be followed and complied with
by the Contractor in the design, engineering,
procurement, and construction of the Project.
Dispute means any difference or disagreement of any kind
whatsoever arising between the Parties in
connection with, arising out of, or relating to the
interpretation, implementation, breach,
termination, or validity of this Agreement.
ECC means the Environmental Compliance Certificate
issued by the [SPCB] for the Project.
Effective Date is defined in Section 2.1 (Conditions Precedent to
the Effective Date).
EIA means the Environmental Impact Assessment for
the Project conducted or caused by the Contractor
to be conducted in line with all Applicable Legal
Requirements.
EPC Contract means the turnkey engineering, procurement, and
construction contract made or to be made
between the Contractor and the EPC Contractor
for the design, engineering, procurement,
construction, start-up, testing, and commissioning
of the Facilities.
EPC Contractor means the contractor or person engaged by the
Contractor under the EPC Contract.
Equity means (i) the capital stock of any class issued by
the Contractor and subscribed by the
Shareholders of the Contractor, and (ii)
indebtedness of the Contractor given to it by a
Shareholder or an Affiliate of any Shareholder that
is subordinated to any indebtedness incurred by
the Contractor under the Financing Agreements.
Encumbrances means any encumbrance such as mortgage,
charge, pledge, lien, hypothecation, security
interest or other obligations and shall also include
physical encumbrances.
Event of Default is defined in Section 15 (Events of Default)
Event of Loss means any occurrence during the term of the
Financing Agreements which results in all or a
substantial portion of the Facilities being
damaged, destroyed, or rendered unfit for normal
operation in accordance with this Agreement.
Expert Panel is defined in Section 19.2.2 (Establishment and
Operation of Expert Panel).
Extraordinary Septage is defined in Section 8.3.2 (Septage Management
Management Fee Fee Adjustment Request and Approval).
Adjustment
Facilities means the water treatment facility and associated
equipment and facilities, as more fully described
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 in Schedule B (Design and Technical
Specifications).
Financial Model means the financial base case for the Project as
reflected in the computer model prepared by the
Contractor and submitted to the Authority and
agreed to by the Lenders, which model
incorporates the forecast cash flow statements of
the Contractor including all expenditures,
revenues, taxation and financing of the Project
together with the projected income statements
and balance sheets for the Contractor over the
Operating Period, and details of all assumptions,
calculations and methodology used in the
compilation thereof, as amended from time to time
in accordance with the Financing Agreements.
Financing Agreements means the agreements or instruments that make
available or extend loans, credit, notes, bonds,
subordinated debt, letters of credit, credit security,
swaps, derivatives, hedging instruments, and
other documents relating to the financing or
refinancing of the Project provided by any Lender,
including any amendments, supplements,
extensions, and renewals of that financing or
refinancing.
Force Majeure Event is defined in Section 13.1.1 (Definition of Force
Majeure Event).
GoI Government of India
Government Authority means any government, department,
commission, board, bureau, regulatory body,
instrumentality, fiscal, legislative, judicial, or
administrative, national or local, having
jurisdiction or authority over the matter in
question.
Independent Laboratory means the entity appointed by the Parties to take
samples of treated effluent and bio-solids and
perform required tests to verify conformance with
standards set for the quality of effluent and bio-
solids.
Independent Consultant means the person appointed by the Parties to
review the detailed design and to monitor and
verify the progress of the construction of the
Facilities pursuant to Section 5.4 (Independent
Consultant) hereof.
Initial Shareholders means all of the Shareholders of the Contractor
as of the Signature Date, the names of which are
set out in Schedule P (Ownership Interests in the
Contractor).
INR or Rs. or ₹ means the lawful currency of India
Intellectual Property means all rights of ownership recognized by law
Rights in inventions, technology, copyrighted material,
Page | 11
 computer software, and firmware, including (a)
patents, trademarks, service marks, rights in
designs, trade names, copyrights, rights to trade
secrets, proprietary information, and know-how in
each case whether registered or not; (b)
applications for their registration; (c) rights under
licenses and consents in relation to any of them;
and (d) all forms of protection of a similar nature
or having equivalent or similar effect to any of
them which may subsist anywhere in the world.
Invitation to Bid means the Request for Proposals dated
[26.08.2019] issued by the Authority calling for
bids to carry out the Project
Legal Requirements mean all laws, statutes, orders, decrees,
injunctions, Consents, agreements, EIAs, and
regulations of any Government Authority having
jurisdiction over the matter in question.
Lender means any person providing loans or other
financing or refinancing to the Contractor under
the Financing Agreements, including its
successors, assignees, agents and trustees, but
not including any Shareholder or Affiliate of a
Shareholder with respect to any indebtedness of
the Contractor that constitutes Equity in the
Contractor.
Lien means any mortgage, pledge, lien, security
interest, option agreement, claim, charge, or
encumbrances of any kind.
Lock-in Period is defined in Section 18.3.2 (Restriction on
Transfer of Capital Stock of Contractor).
Maintenance Schedule is defined in Section 6.5 (Planned Downtime;
Maintenance Program and Schedule).
Operating Period means the period commencing on the Provisional
Operations Start Date and ending on the
Termination Date.
Operating Procedures means the plans, methods and procedures for
operating the Facilities developed by the
Contractor pursuant to Section 6.2 (Operating
Procedures) and Schedule H (Delivery Schedule
and Operating Procedures).
Operating Security is defined in Section 6.3 (Operating Security).
Operating Standards means the service levels and performance
standards for the operation of the Facilities
prescribed in Schedule H (Delivery Schedule and
Operating Procedures).
Operations Start Date means the Day on which a final acceptance
certificate for the Facilities is issued by the
Authority to the Contractor in accordance with
Section 5.6.2 (Final Acceptance).

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Penalty Rate means [__________] percent ([_____]%) per
annum.
Performance Security is defined in Section 5.7 (Performance Security).
Planned Downtime means any normal maintenance, replacement or
servicing of equipment, or other work that is
planned or scheduled pursuant to Section 6.5
(Planned Downtime; Maintenance Program and
Schedule).
Planned Downtime Period is defined in Section 6.5(b) (Planned Downtime;
Maintenance Program and Schedule).
Political Force Majeure is defined in Section 13.1.2 (Political Force
Event Majeure Event).
Project means the undertaking, in line with the terms and
conditions of this Agreement and all Legal
Requirements, to prepare, develop, finance,
design, engineer, procure, construct, start up,
test, commission, implement, own, operate,
manage, and maintain the Facilities and to
provide the Services.
Project Agreements mean:
a) this Agreement;
b) the EPC Contract;
c) the Shareholders' Agreement;
d) the Financing Agreements; and
e) any other material agreement entered into
by the Contractor pursuant to the
agreements listed in sub-clauses (a)
through (d) above, for the purposes of the
implementation of the Project, including
any agreement or subcontract for the
management, operation and maintenance,
and provision of technical assistance for
the Project.
Project Milestones mean (i) the Effective Date; (ii) the Continuous
Construction Date; (iii) the Provisional Operations
Start Date; and (iv) the Operations Start Date.
Project Milestone means the timetable or required dates for
Schedule completing all the Project Milestones set out in
Schedule A (Project Milestone Schedule), as may
be amended from time to time in accordance with
this Agreement.
Project Report is defined in Section 9.2 (Project Report).
Provisional Operations means the Day on which a provisional acceptance
Start Date certificate is issued to the Contractor after
successful testing and commissioning of the
Facilities following the testing procedures
provided in Schedule D (Testing and
Commissioning).
Prudent Utility Practice means applying, in relation to the manner in which
the construction obligations and the performance
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 of Services are rendered under this Agreement,
the standards, practices, methods and
procedures conforming to all Legal Requirements,
and exercising that degree of skill, care, diligence,
prudence and foresight that would reasonably and
ordinarily be expected from a skilled and
experienced person engaged in a similar type of
undertaking under similar circumstances,
including taking reasonable steps to ensure that:
a) adequate materials, resources, and
supplies are available to meet the
Facilities' needs under normal conditions
and reasonably anticipated abnormal
conditions;
b) sufficient and duly licensed operating
personnel (i) are available, (ii) are
adequately experienced and trained to
operate the Facilities properly and
efficiently taking into consideration
manufacturers' guidelines and
specifications, and (iii) are capable of
responding to abnormal conditions;
c) preventive, routine, and non-routine
maintenance and repairs (i) are performed
on a basis that ensures reliable long-term
and safe operation taking into account
manufacturers' recommendations and (ii)
are performed by knowledgeable, trained,
and experienced personnel who are duly
licensed and are using proper equipment,
tools, and procedures;
d) appropriate monitoring and testing is done
to ensure the Facilities are functioning as
designed and to provide assurance that
equipment will function properly under both
normal and abnormal conditions; and
e) equipment is operated in a manner safe to
workers, the general public, and the
environment.
Required Continuous means the date prescribed in the Project
Construction Date Milestone Schedule for the occurrence of the
Continuous Construction Date, as such date may
be changed from time to time in accordance with
this Agreement.
Required Effective Date means the date prescribed in the Project
Milestone Schedule for the occurrence of the
Effective Date, as such date may be changed
from time to time in accordance with this
Agreement.

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Required Operations Start means the date prescribed in the Project
Date Milestone Schedule for the occurrence of the
Operations Start Date, as such date may be
changed from time to time following the terms of
this Agreement.
Required Provisional means the date prescribed in the Project
Operations Start Date Milestone Schedule for the occurrence of the
Provisional Operations Start Date, as such date
may be changed from time to time in accordance
with this Agreement.
Septage means the sludge siphoned out of septic tanks in
households or commercial establishments, as
more specifically described in Schedule G (Raw
Septage Sources and Quality).
Septage Collection Area means delineation of collection zones in the
Service Area, which shall be served for
desludging of household or commercial
establishment septic tanks pursuant to the
Septage Collection Frequency.
Septage Collection refers to the collection schedule or how often a
Frequency household or commercial establishment should
be served for desludging at an interval of every
five (5) years.
Septage Treatment Plant means a fully mechanized facility that will accept
raw septage and apply necessary treatment
processes to produce clean effluent and stabilized
bio-solids before being discharged to the
environment.
Services mean the operational services to be provided by
or on behalf of the Contractor for the Authority as
set forth in Section 7 (Septage Management
Service).
Service Area means the areas currently served by the
Authority, which refers to the entire jurisdiction as
authorized in its charter
Shareholder means any person owning any of the outstanding
capital stock, of any class, of the Contractor,
including any of the Initial Shareholders.
Signature Date means the date of signing of this Agreement as
indicated in the preamble.
Site is identified in Figure B-1 in Schedule B (Design
and Technical Specifications
Sponsor means each of the Initial Shareholders and any
transferee of the direct or indirect ownership of the
outstanding capital stock of the Contractor.
Septage Management Fee is defined in Section 8.1 (Septage Management
Fee).
Septage Management Fee is defined in Section 8.3.2.2 (Septage
Adjustment Request Management Fee Adjustment Request and
Approval)
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Tax means any net income, gross income, gross
receipts, sales, use, transfer, gains, ad valorem,
franchise, profits, capital gains, license, value-
added, withholding, payroll, employment,
professional, business, excise, stamp,
occupation, premium, property, environmental,
windfall profit, documentary, registration,
severance, custom duty, governmental fee, other
like assessment or charge of any kind whatsoever
imposed pursuant to the laws of any national,
local, or foreign jurisdiction or by any political
subdivision or taxing authority, together with any
interest, penalty or other payment charged, and
any liability for such amounts under all applicable
laws as a result either of being a member of a
combined, consolidated, unitary or affiliated group
or of a contractual obligation to indemnify any
person or other entity.
Total Project Cost refers to the total cost to be expended to plan,
develop and construct the project to completion
stage including but not limited to cost of feasibility
studies, engineering and design, construction,
equipment, land and right of way, taxes imposed
on said cost, and development cost.
Treated Effluent means one of the by-products extracted from raw
septage commonly termed as filtrate by the
Contractor, which will be discharged from the
Septage Treatment Plant to bodies of water.
Treated Waste Water means the quality specifications set out in
Specifications Schedule K (Treated Effluent and Biosolids
Quality Specifications).
Unplanned Downtime means any temporary loss of function of the
Facilities that is not a Planned Downtime and is
not the result of a breach by the Contractor or its
subcontractors of any of its obligations under this
Agreement.
Unplanned Downtime is defined in Section 6.6 (Unplanned Downtime).
Period
Wholly Owned Subsidiary means an entity that is fully owned by a person
except for the minimum or nominal ownership
interests that are held by other persons to satisfy
the Legal Requirements for the valid existence of
such entity.

1.2 Principles of Interpretation

1.2.1 In the interpretation of this Agreement, unless the context otherwise

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requires:

(a) Words importing a gender include any gender.

(b) Words importing the singular number shall include the plural and vice
versa.
(c) References to persons shall include individuals, sole proprietorships,
partnerships, associations, trusts, joint ventures, unincorporated
organizations, corporations, States, governments and governmental
entities.
(d) References in this Agreement to any statute, law, decree, regulation,
or other Legal Requirement shall be construed as a reference to such
statute, law, decree, regulation, or other Legal Requirement as re-
enacted, re-designated, amended, or extended from time to time,
except as otherwise provided in this Agreement.
(e) A reference to any person, Party, or entity includes its permitted
successors and assigns. A reference to any government
agency/authority shall include any authority succeeding to such
Authority’s or Authority’s powers and functions.
(f) The words “include” or “including” shall be deemed to be followed by
“without limitation” or “but not limited to,” whether or not they are
followed by such phrases or words with the same meaning.
(g) References to a number of days shall refer to calendar days and
references to “months” shall refer to calendar months.
(h) The division of this Agreement into articles, clauses and sections and
the insertion of headings are for convenience of reference only and
shall not affect the construction or interpretation of this Agreement.
(i) The term “this agreement” and similar expressions refer to this
Agreement and not to any particular article, clause, section or other
portion hereof and include any agreement supplemental hereto.
(j) Unless something in the subject matter or context is inconsistent
therewith, references to articles, clauses, sections and schedules are
to articles, clauses, sections and schedules of this Agreement.
(k) No provision of this Agreement shall be construed adversely to a
Party solely on the ground that that Party was responsible for the
preparation of this Agreement or that provision.

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ARTICLE I: CONDITIONS PRIOR TO EFFECTIVE DATE

2 CONDITIONS PRECEDENT TO EFFECTIVE DATE

2.1 Conditions Precedent to Effective Date

2.1.1 This Agreement shall be effective and the Parties shall be bound by all its
terms and conditions on the date (the “Effective Date”) when the following
conditions have been fully satisfied or waived by the Parties and a written
notice to such effect has been jointly signed by them:

a) Each of the Project Agreements shall have been duly signed by the
parties thereto, shall be in full force and effect, and all conditions
precedent to the effectiveness of each Project Agreement shall have
been satisfied. The Contractor shall have also delivered a true and
correct copy of each Project Agreement to the Authority.

b) Certified true copies of resolutions adopted by the Board of Directors

of the Contractor authorizing the signing, delivery, and performance
of this Agreement shall have been delivered to the Authority.

c) Certified true copies of the articles of incorporation and by-laws

including all amendments thereto) of the Contractor, shall have been
delivered to the Authority.

d) All consents that are required to have been obtained in connection

with the execution, delivery, exercise of rights, and commencement
of performance of this Agreement shall have been obtained and
continue to be in full force and effect, including but not limited to, the
relevant Consents listed on Schedule M (Consents).

e) A certificate in a form and substance reasonably satisfactory to the

Authority shall have been issued and delivered by the Lenders to the
Authority confirming that the Financing Agreements are in full force
and effect and all conditions precedent under the Financing
Agreements for the provision of debt financing for the Project have
been satisfied.

f) True and complete printed and electronic copies of the Financial

Model certified by the Lenders as part of the requirements to satisfy
the condition described in Section 2.1(e) (Conditions Precedent to
the Effective Date) shall have been submitted to the Authority.

g) A certificate in a form and substance reasonably satisfactory to the

Authority shall have been delivered by the Contractor to the Authority
either proving the infusion of or expressing the commitment and
undertaking of the Initial Shareholders to contribute the necessary
equity into the Contractor.

h) A true and complete copy, certified by the corporate secretary of the

Contractor, of the unconditional notice to proceed issued by the
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 Contractor to the EPC Contractor authorizing and directing the EPC
Contractor to start work under the EPC Contract.

i) The Performance Security required from the Contractor pursuant to

Section 5.7 (Performance Security) shall have been executed and
delivered to the Authority and shall be in full force and effect.

j) Certified true copies of certificates of insurance coverage evidencing

compliance with the requirements for insurance needed to be in force
as of the Effective Date shall have been delivered to the Authority in
line with Section 10.2 (Insurance Certificates) and Schedule N
(Insurance).

k) The representations and warranties of the Contractor in favor of the

Authority contained or incorporated herein by reference shall be true
and correct in all material respects on and as of the Effective Date
and the Authority shall have received a certificate to that effect dated
as of the Effective Date and signed by the corporate secretary of the
Contractor.

l) The Authority shall have received a legal opinion from the

Contractor’s external legal counsel, in a form and substance
reasonably acceptable to the Authority, concerning the due
organization and corporate good standing of the Contractor and the
validity and enforceability of each of the Project Agreements.

m) The Contractors appointed for the said overall project (FSTP in ULBs
of Uttar Pradesh) has cumulatively (pro-rata deduction from each
independent contractor) paid the Authority the cumulative amount
(50% of the total fee of Independent Engineer) as reimbursement for
the professional fees for the independent consultant.

n) No Legal Requirement shall have been enacted, entered,

promulgated, or enforced by any Government Authority having
jurisdiction over the matter that restrains, prohibits, or declares illegal
the consummation of the transactions contemplated in any of the
Project Agreements and no action, suit, inquiry, or proceeding shall
have been instituted or threatened that seeks to restrain, prohibit, or
declare illegal the consummation of the transactions contemplated
by any of the Project Agreements. Each Party, through its respective
corporate secretary or chief legal officer, shall issue a sworn
statement to this effect.

o) Certified true copies of resolutions adopted by the governing board

of the Authority authorizing the execution, delivery, and performance
of this Agreement shall have been delivered to the Contractor, if
applicable.

p) The Authority shall have obtained all land rights and rights-of-way in
respect of the Site in such form and substance sufficient to complete
Page | 19
 the Project and shall have legal, peaceful and unencumbered use
and possession of and access to the Site. Specifically, the Authority
should have (i) permit to enter and (ii) writ of possession.

q) The Authority shall have obtained necessary clearances/approvals

for undertaking the desludging of septic tanks of all households and
commercial establishments.

r) The representations and warranties of the Authority shall be true and

correct in all material respects on and as of the Effective Date and
the Contractor shall have received a certificate to that effect dated as
of the Effective Date and signed by the Representative of the
Authority.

s) The Authority shall submit to the Contractor a certification from the

Local Water Utilities Administration (Jal Nigam), in a form and
substance reasonably acceptable to the Contractor and the Lenders,
concerning the due organization and legal existence of the Authority
under the laws of the India/Uttar Pradesh and the validity and
enforceability of this Agreement.

2.2 Reasonable Efforts to Satisfy Conditions Precedent

2.2.1 Each Party shall use all reasonable efforts to satisfy the conditions
enumerated in Section 2.1 (Conditions Precedent to the Effective Date) on
or before the Required Effective Date. On each date that a Party believes
that any of the conditions precedent has been satisfied, it shall promptly
give written notice of that fact to the other Party together with copies of all
relevant documents which satisfy that condition.

2.2.2 Without prejudice to the rights of the Parties to terminate this Agreement
pursuant to Section 20 (Termination), if the occurrence of the Effective Date
is delayed by a Force Majeure Event, the Parties shall confer on the effects
of such delay and may mutually agree in writing to extend or otherwise
adjust the Required Effective Date. The Parties shall endeavour to
reschedule activities and resume the performance of their obligations in a
way that will avoid or minimize any further delay in the implementation of
the Project.

2.3 Non-Occurrence of Effective Date

2.3.1 Termination due to Non-Occurrence of Effective Date

a) The Authority may extend the period for the Contractor to comply
with its obligations under Section 2.1 (Conditions Precedent to the
Effective Date) or may terminate this Agreement with immediate
effect by giving written notice thereof to the Contractor at any time
after the Required Effective Date (unless the Effective Date occurs
before such notice is issued) if any of the conditions precedent set

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 forth in Sections 2.1(a) through (n) inclusive has not been satisfied
on or before the Required Effective Date.

2.3.2 Consequences of Termination

If this Agreement is terminated pursuant to Section 2.3.1 (Termination due
to Non-Occurrence of Effective Date):

a) If the Contractor is at fault, the Authority shall be paid liquidated

damages by the Contractor equal to ten percent (10%) of the Total
Project Cost For this purpose, the Authority shall draw down the
amount claimed as liquidated damages from the Performance
Security posted by the Contractor.

b) This Agreement shall have no further effect. The Parties shall have
no further rights and shall be released from all their obligations under
this Agreement except in respect of any rights or obligations arising
before the termination occurred.

2.4 Specific Provisions Effective on the Signature Date

2.4.1 The following sections shall be binding and effective on the Signature Date
and the Parties’ rights or obligations under those clauses shall not be
conditional on the occurrence of the Effective Date:

a) Section 1 (Definitions, Principles of Interpretation, and Priority of

Documents);
b) Section 2 (Conditions Precedent to Effective Date);
c) Section 11 (Representations and Warranties);
d) Section 13 (Force Majeure);
e) Section 14 (Indemnity);
f) Section 16 (Limitation of Liability);
g) Section 18 (Assignment of Rights; Ownership of the Contractor);
h) Section 19 (Dispute Resolution); and
i) Section 21 (General Provisions).

ARTICLE II: TERM OF THE AGREEMENT

3 TERM OF THE AGREEMENT

3.1 Contract Term

3.1.1 Subject to Section 2.4 (Specific Provisions Effective on the Signature Date),
the term of this Agreement shall be 7 years and 9 month.

3.2 Provisions in Force

3.2.1 From the Signature Date until the Effective Date, only the provisions
enumerated in Section 2.4 (Specific Provisions Effective on the Signature
Date) shall be in full force and effect. From the Effective Date until the
Termination Date, all of the provisions of this Agreement shall be in full force

Page | 21
and effect.

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ARTICLE III: CONDITIONS AFTER EFFECTIVE DATE

4 PROJECT IMPLEMENTATION

4.1 Project Scope

4.1.1 The Project shall comprise the planning, financing, development, design,
engineering, and construction of the Facilities in accordance with the scope
and specifications prescribed in Schedule B (Technical Specifications of the
Septage Treatment Plant) and as per the RFP document, and the
management, operation, repair, and maintenance of the Facilities and the
provision of the Services by the Contractor during the Operating Period,
including the transfer of the Facilities upon the Termination Date, in
accordance with this Agreement and all applicable laws.

4.2 Grant of Rights

4.2.1 On the terms and subject to the conditions set forth in this Agreement, the
Authority hereby grants to the Contractor in compliance with all Legal
Requirements the sole and exclusive right and responsibility during the
term of this Agreement to:

a) arrange financing for the Project;

b) plan, develop, design, build, test, commission, and decommission
the Facilities;
c) implement the Project in accordance with the Project Milestone
Schedule (Schedule A);
d) manage, use, occupy, operate, repair, maintain, decommission and
refurbish the Facilities; and
e) provide and manage the Services.

4.3 Land Acquisition and Right-of-Way

4.3.1 The Authority shall be responsible at its own cost and expense for obtaining
all land or land rights, including rights-of-way, required in order to build,
own, and operate the Facilities. Ownership of such land or land rights shall
be vested in and remain with the Authority.

4.3.2 The Authority shall assist the Contractor, using reasonable efforts, to
acquire temporary rights-of-way or construction easements which the
Contractor needs for the construction and operation of the Facilities in
addition to those that the Authority may have obtained on or before the
Effective Date.

4.3.3 The Contractor shall be entitled to the exclusive use and access to such
land or rights of way from the Effective Date or on the date the Authority
becomes legally entitled to enter upon the land, whichever comes earlier,
and until the Termination Date.

4.4 Consents and Approvals

4.4.1 The Contractor shall at its own cost be responsible for obtaining all
Consents required for the financing, building, construction, operation,
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 maintenance, and ownership of the Facilities and the Project other than the
Consents that the Authority itself is required to secure including
clearances/approvals pursuant to Section 2.1.1(q) (Conditions Precedent
to the Effective Date) and all permanent rights-of-way or other land rights
described in Section 4.3(a) (Land Acquisition and Right-of-Way) above. If
requested by the Contractor, the Authority shall provide reasonable
assistance in securing Consents from the relevant national and local
government agencies.

5 CONSTRUCTION, TESTING, AND COMMISSIONING

5.1 Construction Responsibilities of the Contractor

5.1.1 The Contractor shall design, engineer, procure, and construct the Facilities
in compliance with:

a) the Design and Technical Specifications;

b) Prudent Utility Practice;
c) all relevant design, engineering, and construction standards and
practices in India;
d) all applicable Legal Requirements; and
e) the Project Milestone Schedule (Schedule A).

5.2 Further Responsibilities Related to Construction

5.2.1 For the purpose of performing its obligations under Section 5.1
(Construction Responsibilities of the Contractor), the Contractor shall,
among other things, have the right to and be responsible for:

a) calling for tenders and awarding contracts with or without tender

subject to the Financing Agreements and the provision on
transactions with Affiliates of the Contractor set forth in Section 12.7
(Transactions with Affiliates of Contractor);
b) causing the preparation of final engineering designs and approving
or rejecting the same;
c) appointing and removing consultants and professional advisors;
d) purchasing and installing equipment in the Facilities;
e) hiring, organizing, removing and directing staff to manage and
supervise the Project;
f) entering into contracts for the supply of materials, equipment and
services including the connection to all utilities needed during
construction and operation at the Site;
g) taking the necessary measures to protect people and property, avoid
unnecessary interference caused by people and vehicles, minimize
traffic, prevent any nuisance and unreasonable noise and
disturbance, and ensure that emissions, discharges, and effluents

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 from the Contractor’s construction activities comply with all Legal
Requirements; and
h) doing all other things necessary or desirable for the timely completion
of the Facilities.

5.3 Design and Construction

5.3.1 General Provision
The Contractor shall undertake the construction of the Facilities, including
the works to be performed by the EPC Contractor and its sub-contractors
which shall be in conformity with the Design and Technical specifications
in all respects and free from defects and deficiencies.

5.4 Independent Consultant

5.4.1 Role
The parties shall appoint an Independent Consultant for the overall project
of establishing FSTPs in 31 ULBs of Uttar Pradesh, with the appropriate
national or international standing having relevant experience in the
planning, design, development, construction, and operation of similar
projects, to review the detailed design to be submitted by the Contractor
to the Authority pursuant to Section 5.5 (Design, Drawings and Other
Documents), and to monitor and check the progress of the construction
and operation (for of the Facilities.

5.4.2 Appointment Process

The Independent Consultant shall be appointed through an open,
transparent and competitive bidding process to be conducted by the
Parties as follows:

a) Within thirty (30) Days from the Effective Date, the Authority shall
prepare the terms of reference and request for proposals for the
selection of the Independent Consultant, and shall submit those
documents to the Contractor for comment and approval, which
approval shall not be unreasonably withheld.
b) The Contractor shall publish an open invitation for qualified persons
to apply for eligibility and to submit bids.
c) The Contractor shall receive all proposals submitted by candidates
for appointment as Independent Consultant and a group comprised
of an equal number of representatives from the Authority and the
Contractor shall evaluate the proposals.
d) The candidate submitting the most responsive proposal shall be
selected as the Independent Consultant for the Project.
e) Any dispute between the Parties arising from the selection of the
Independent Consultant shall be resolved following the procedures

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 for the settlement of disputes stipulated in Section 19 (Dispute
Resolution).

5.4.3 Specific Tasks

The Independent Consultant shall carry out the following tasks and as
further set out in the Independent Consultant Contract:

a) Review and determination whether the detailed designs meet the

Design and Technical Specifications;
b) supervision, monitoring, and inspection of work required of the
Authority under this Agreement;
c) monitoring, inspection and verification of the state and progress of
the construction including performance by the Authority of its
construction-related obligations under this Agreement;
d) participation in testing and commissioning, and deciding whether the
Contractor should be issued a provisional or final acceptance
certificate;
e) determination of any time extensions for completing the Project
Milestones; and
f) Submission of reports and analyses that the Authority or the
Contractor may reasonably request.
g) Monitoring of the project during the operation phase post completion
of the construction and testing phase for the specific amount of time.
The Independent Consultant shall be required to owe a duty of care to
each of the Parties and to act professionally and independently of the
Parties, suppliers and consultants and to exercise the standard of care,
skill and diligence which would be expected of an expert professional
service provider.

5.4.4 Period of Appointment

The Independent Consultant shall serve as such from the date of signing
of the Independent Consultant Contract and for the initial duration of 3
years (1 year construction period and 2 years of initial operation period),
further extensible upto 2 years based on the performance evaluation by
the authority at the end of 3 years period.

5.4.5 Cost
The fees and expenses of the Independent Consultant shall be shared
and paid equally by the Authority and the Contractor. The Independent
Consultant Contract shall set out the fee of the Independent Consultant
and the terms and conditions of payment, provided that the amount of the
fee shall not exceed [____________].
The cost to be borne by the contractors is equal to 50% of the amount of
total professional fee of the consultant and this cost is to be distributed on
pro rata basis among all the contractors under this project i.e. Establishing
FSTP in 31 ULBs of the State. The same is to be deposited to the authority
by 20th of Each Month cumulatively.

5.4.6 Access and Confidentiality

a) The contract for the retention of the Independent Consultant shall
include confidentiality and non-disclosure provisions that provide a
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 level of protection for the intellectual property and other proprietary
information of the Contractor and the Authority, which shall be
commensurate with the level of protection provided in Section 21.4
of this Agreement.

b) The Contractor shall provide the Independent Consultant with access

to all job sites, installations, documents, personnel and such other
information as the Independent Consultant may request for the
purposes of carrying out its tasks provided in this Agreement and as
more specifically described in Section 5.4.3.

5.5 Design, Drawings and Other Documents

5.5.1 Submission
The Contractor shall provide the Authority and the Independent
Consultant with four printed copies and one (1) electronic copy each of the
final detailed engineering designs and plans not later than 30 Days prior
to the Required Continuous Construction Date, subject to any agreement
of the Parties to submit other designs and plans at a specified period after
the Required Continuous Construction Date. These main drawings and
technical plans shall include the following:

a) final drawings for the general layout of the Project including

permanent access roads;
b) general and detailed drawings of the Facilities, including all ancillary
facilities, structures and civil works;
c) final arrangements of plans for the general layout of machineries and
equipment; and
d) test procedures that meet the requirements for testing provided in
Schedule D (Testing and Commissioning).

5.5.2 Review and Comment

a) The Authority may, but shall have no obligation to, raise comments
or questions on any of the documents submitted in line with this
Section 5.5 (Design, Drawings and Other Documents) within [15]
Days from their submission, provided that such comments or
questions relate to compliance of the documents with the Design and
Technical Specifications including Prudent Utility Practice or the
other engineering and design requirements of this Agreement.
Following the receipt of those comments or questions, the Contractor
shall modify the documents and submit the revised documents to the

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 Authority and Independent Consultant within [10] Days for final
review.

b) If a written comment is not received by the Contractor on the original

or revised design plans, the Authority shall be deemed to have no
comments or further questions thereon.

c) The Independent Consultant shall be fully engaged by the Parties in

the review, evaluation and analysis of the design plans to ensure that
they comply with the Design and Technical Specifications.
Independent Consultant shall raise comments or questions on any of
the documents submitted in line with this Section 5.5 (Design,
Drawings and Other Documents) within [15] Days from their
submission, provided that such comments or questions relate to
compliance of the documents with the Design and Technical
Specifications including Prudent Utility Practice or the other
engineering and design requirements of this Agreement. The
Contractor shall consider the findings of the Independent Consultant
in any revision of the documents regardless of the fact that the
Authority may not have made any comments on the original design
plans. If there is an inconsistency in the findings of the Independent
Consultant and the comments of the Authority, the matter shall be
resolved through mutual discussion involving the Parties and the
Independent Consultant.

5.5.3 Disclaimer
The submission of design plans for comment and the review by the
Authority of such plans shall not constitute an approval or a warranty on
its part of the technical soundness of the final detailed engineering design
done by the Contractor. The Contractor acknowledges that the Authority
does not assume any responsibility for the engineering or construction
soundness, safety, or reliability of any part of the Facilities or the Project.
A review done by the Authority or the Independent Verifier shall not relieve
the Contractor of any obligation or liability under this Agreement or any
other Project Agreement. It shall not also be construed as a waiver by the
Authority of any of its rights under this Agreement. Neither the Authority
nor the Independent Consultant shall have any liability to the Contractor
or any other person by reason of its review of the design plans in line with
this Section 5.5 (Design, Drawings and Other Documents).

5.6 Testing and Commissioning

5.6.1 Testing Procedure; Provisional Acceptance

a) The Contractor shall carry out the testing and commissioning of the
Facilities at its cost in accordance with Schedule D (Testing and
Commissioning). The Contractor shall give the Authority and the

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 Independent Verifier not less than thirty (30) Days’ prior written notice
before commencing any testing and commissioning of the Facilities.

b) The Contractor shall procure and bear the cost of obtaining

chemicals and other consumables required for testing and
commissioning of the Facilities.

c) The Authority shall accept the service for the treatment of the
septage into clean effluent and bio solids by the Contractor during
testing and commissioning of the Facilities free of charge without
payment of the Septage Management Fee for such services. If the
quality of the effluent and bio solids does not meet the Treatment
Specifications, the Contractor shall be responsible for disposing such
effluent and bio solids properly. The Contractor shall not be subject
to any of the penalties provided under Section 8.2 (Calculation of
Payment) during the testing and commissioning of the Facilities.

d) Within five (5) Business Days of the Contractor carrying out the
testing and commissioning, the Independent Consultant shall be
required to determine whether the testing has been done in
accordance with the relevant testing and commissioning procedures
and whether or not the Facilities have satisfied the applicable
commissioning and acceptance standards provided in Schedule D
(Testing and Commissioning). The determination made by the
Independent Consultant shall be final and binding on the Parties,
except in case of fraud or manifest error.

e) If the Independent Consultant certifies that the Facilities fully meet

the commissioning and acceptance standards, the Authority shall
issue a provisional acceptance certificate in favour the Contractor
within five (5) Business Days from the receipt of such certification.

f) If the Independent Consultant certifies that the Facilities do not fully

meet the commissioning and acceptance standards, it shall issue a
report to the Parties detailing the reasons why the Facilities do not
comply with the commissioning and acceptance standards and
specifying the actions that the Contractor must take to meet such
standards. Notwithstanding the assessment made by the
Independent Consultant, the Contractor shall be solely responsible
for the engineering or construction soundness, safety, or reliability of
any part of the Facilities or the Project.

g) The Contractor shall immediately take the remedial actions

necessary to ensure that the Facilities meet the commissioning and
acceptance standards, taking into account the report of the
Independent Consultant, and shall notify the Authority and the
Independent Consultant when they have been carried out. As soon
as reasonably practicable, the Contractor shall conduct further

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 testing and commissioning until a provisional acceptance certificate
has been issued.

h) If the Contractor fails to obtain a provisional acceptance certificate

on or before the Required Provisional Operations Start Date, such
failure shall constitute a delay and a Contractor Event of Default.

5.6.2 Final Acceptance

If the Facilities meet the Commissioning, Operating and Acceptance
Standards for a period of six (6) months from the Provisional Operations
Start Date as certified by the Independent Consultant, the Authority shall
issue a final acceptance certificate and the Facilities shall thereafter be
operated by the Contractor in accordance with the Operating Procedures
and Operating Standards.

5.7 Construction Security

5.7.1 On or before the Signature Date, the Contractor shall provide and deliver
to the Authority a surety bond callable on demand in the form set out in
Schedule F of Volume 3: List of Schedules as security for the construction
period by the Contractor of its obligations under this Agreement from the
Signature Date until thirty (30) days after the Provisional Operations Start
Date (the “Construction Security”). The Construction Security shall have a
value equivalent to ten per cent (10%) of the Total CAPEX and shall be
issued by a Construction Security Issuer in favour of the Authority. The
construction security shall be released once the contractor submits the
Operating Security.

5.8 Liquidated Damages for Delay in Meeting Project Milestones

5.8.1 The Contractor undertakes to complete the Facilities and start the Services
on or before the Required Provisional Operations Start Date. If the
Provisional Operations Start Date does not occur on or before the Required
Provisional Operations Start Date, the Contractor shall pay the Authority
liquidated damages in the amount of [1% of construction performance
security] for each Day of delay from the Day immediately following the
Required Provisional Operations Start Date to and including the Day on
which the Provisional Operations Start Date occurs (“Delay Liquidated
Damages”). This is subject to maximum capping of delay damage amount
at 10% of the contract value for the construction phase.

5.8.2 The Authority shall claim payment of Delay Liquidated Damages accruing
under Section 5.8.1 (Liquidated Damages for Delay in Meeting Project
Milestones) above through invoices. The Contractor shall pay any amount
due not later than thirty (30) Days after its receipt of each invoice, which
may be issued no more frequently than every fifteen (15) Days. If the
Contractor fails to pay on the due date, then the Authority shall be entitled
to draw from the Construction Security the amount of Delay Liquidated
Damages due. Notwithstanding Section 15.1 (Contractor Events of
Default), if the Contractor’s liability for Delay Liquidated Damages exceeds
the amount available to be drawn under the Performance Security, the
Contractor shall pay the excess upon written demand by the Authority. The
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 Authority shall also have the right to deduct any unpaid amount from any
amount otherwise due the Contractor under this Agreement.

5.9 Project Milestone Schedule

5.9.1 Compliance with Project Milestone Schedule
The Contractor undertakes to complete the construction and
commissioning of the Project in accordance with the Project Construction
Milestone in Schedule A, as they may be amended in line with Section
5.9.2 (Extension of Project Milestone Schedule) below. To meet the
timetable, the Contractor shall cause the EPC Contractor to immediately
start work on the Project when the Effective Date occurs.

5.9.2 Extension of Project Milestone Schedule

a) Dates in the Project Construction Milestone Schedule may be
extended only if any of the following events causes or will cause a
material delay in achieving one or more Project Milestones:

i. an Authority Event of Default;

ii. a Force Majeure Event;
iii. a delay or failure on the part of the Authority to carry out an
obligation under this Agreement, other than an obligation
related to payments by the Authority, and which failure or
delay directly and proximately prevents the Contractor from
meeting a Project Milestone unless the delay or failure on the
part of the Authority is excused under this Agreement, or is
attributable to an action or inaction of the Contractor, its
subcontractors, or agents that is inconsistent with this
Agreement;
iv. in case of discovered articles described in Section 5.10
Discovered Heritage Resources); or
v. upon mutual agreement by the Parties.

b) When any of the foregoing events occurs, the Contractor shall

promptly submit to the Authority and the Independent Consultant a
written report setting forth in detail reasonably satisfactory to the
Authority the reasons for and the expected length of the delay. The
Contractor shall also recommend measures to minimize the period
of the delay and provide a supplemental plan that demonstrates that
the Project will be completed within the shortest period possible
taking into account the effects of the delay. After submission of the
report, the Parties and the Independent Consultant shall meet within
five (5) Days to consult about the delay and the supplemental plan.
The Parties may thereafter agree to equitably adjust the Project
Milestone Schedule to the extent that the Contractor is able to
demonstrate that such delay is attributable to any of the events listed
in Section 5.9.2(a) (Extension of Project Milestone Schedule).

5.10 Discovered Heritage Resources

If the Contractor, the EPC Contractor or any subcontractor finds any a
fossil, antiquity or other object having artistic, cultural, historic or monetary

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 value or importance discovered on the Site during construction, the
Contractor shall promptly notify the Authority of such discovery and shall
take all reasonable steps (including temporary stoppage of work) to
prevent its loss or damage. The Contractor shall also consult with the
Authority before incurring any substantial cost in relation to the discovered
articles. If the Project Milestone Schedule is affected as a result of any
direction given by the Authority, then the Project Milestone Schedule shall
be equitably extended. The Contractor shall be reimbursed for any
additional costs reasonably incurred in order to prevent the loss, removal
or damage of the discovered articles.

6 OPERATION AND MAINTENANCE

6.1 Operation and Maintenance Responsibilities of the Contractor

6.1.1 The Contractor shall be responsible for the management, operation,
maintenance, safety and repair of the Facilities from the Provisional
Operations Start Date until the Termination Date and shall ensure during
such period that the Facilities operate in accordance with all Legal
Requirements, Prudent Utility Practice, and the Operating Procedures and
Operating Standards.

6.2 Operating Procedures

6.2.1 Submission of Operating Procedures

a) The Contractor shall devise and implement Operating Procedures for

the Facilities consistent with Prudent Utility Practice that incorporate
the operating and maintenance procedures specified or
recommended by equipment suppliers and manufacturers and that
will enable the Contractor to comply with Schedule L (Desludging
Schedule and Operating Procedures).

b) The Contractor shall submit the Operating Procedures to the

Authority not later than one hundred eighty (180) Days before the
expected Provisional Operations Start Date. The Authority shall
review and may comment on the Operating Procedures following the
same steps provided in Section 5.5.2 (Review and Comment).

6.2.2 Disclaimer – Operating Procedures

a) The review or approval by the Authority of the Operating Procedures
shall not relieve the Contractor from any liability under this
Agreement or any other Project Agreement nor shall it be considered
a waiver by the Authority of any of its rights. The Authority shall not
be liable to the Contractor or any other person by reason of any
review or approval of the Operating Procedures.

6.2.3 Operating Security

a) Within five (5) Days from the Operations Start Date, the Contractor
shall provide and deliver to the Authority a surety bond callable on
demand in the form set out in Schedule E Volume 3: List of
Schedules as security for the performance by the Contractor of its
obligations under this Agreement from the Provisional Operations
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 Start Date until the Termination Date (the “Operating Security”).
The Operating Security shall have a value equivalent to [10%] of the
total Operations and Maintenance contract duration value calculated
as Septage Management Fee per household multiplied by average
of 5000 households per year and shall be issued by a Performance
Security Issuer in favour of the Authority. The Contractor shall ensure
that the Operating Security is always valid and regularly renewed or
extended.

6.3 Contractor Staff

The Contractor shall ensure that a sufficient number of its personnel or
those of its subcontractors with the necessary qualifications, expertise and
experience most appropriate to provide the Services are on duty at the
Facilities at all times in accordance with Prudent Utility Practice and the
Operating Procedures.

6.3.1 Planned Downtime; Maintenance Program and Schedule

a) The Contractor shall conduct all regularly scheduled maintenance of

the Facilities, including repairs, overhauls, improvements, and
replacements, in accordance with the maintenance plans and
schedules developed pursuant to this Section 6.5.

b) The Contractor shall submit to the Authority, not later than sixty (60)
Days prior to the start of each Contract Year (in the case of Contract
Year 1, prior to the Required Provisional Operations Start Date), a
maintenance plan and schedule for the Facilities for that Contract
Year. The maintenance schedule for a Contract Year shall indicate
the dates and times during which the normal delivery of Services will
be interrupted for each Planned Downtime during that Contract Year
(the “Planned Downtime Period” for such Planned Outage). The
Contractor shall coordinate the maintenance schedules with the
Authority so as to maximize overlap of any Planned Downtime
Period with any scheduled maintenance of the Authority System.
The Planned Downtime Period during any Contract Year shall not
exceed fifteen (15) days per year.

c) A Planned Downtime shall be confirmed by the Parties sixty (60)

Days prior to such downtime and reconfirmed twenty-one (21) Days
in advance. The Authority may request the Contractor to reschedule
a Planned Downtime for any valid reason and the Contractor shall
make reasonable efforts to accommodate the request consistent
with Prudent Utility Practice. If the Contractor cannot accommodate
the request, it shall inform the Authority in writing as early as
possible, which should not be later than fifteen (15) Days after its
receipt of a request for rescheduling any Planned Downtime.

6.4 Unplanned Downtime

6.4.1 In case any Unplanned Downtime occurs or is foreseen to occur, the
Contractor shall immediately notify the Authority in writing specifying the
date and time of the commencement of the Unplanned Downtime and its
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 expected duration. The period of time from the commencement of an
Unplanned Downtime until the resumption of normal delivery of the
Services shall be termed as an “Unplanned Downtime Period”. Any
Unplanned Downtime Period with a duration of more than 10 days shall be
treated as a Non-Political Force Majeure Event affecting the Contractor.

7 SEPTAGE MANAGEMENT SERVICE

Septage Management is defined by three service components: (i)
desludging of septic tanks to take out the raw septage, (ii) transport of the
raw septage to a treatment plant, and (iii) separation of the filtrate and the
bio-solid, treatment and disposal thereof.

7.1 Desludging and Transport of Septage

7.1.1 The Contractor shall be responsible for desludging of septic tanks of
households and establishments identified by the Authority based on the
agreed zoning and schedule of desludging service (See Schedule L). The
desludging frequency shall be every 5 years. For example, if the first zone
is served in the first year of operation, it will be served again on the [6th]
year of operation. The desludging operation and the transport of the raw
septage to the septage treatment plant shall comply with the requirements
and standards set forth in Volume 3: List of Schedules. The Contractor
should have adequate truck capacity to meet the projected volumes as
provided for in Schedule J of Volume 3: List of Schedules.

7.2 Treatment and Proper Disposal of Septage

7.2.1 From the Provisional Operations Start Date until the Termination Date, the
Contractor shall treat raw septage delivered by desludging trucks and
properly dispose the resulting effluent and bio-solids through reuse as soil
conditioner at their premises. The effluent and bio solids should pass the
quality standards prescribed in Volume 3: Schedules Document.

7.2.2 The Septage Treatment Plant should have the capacity and minimum
specifications standard of operations provided in Schedule B (Technical
Specifications of the Septage Treatment Plant).

7.2.3 The Authority shall accept and pay for the septage management service in
accordance with Section 8 (Payment). If due to its fault or negligence, the
Contractor fails to provide the service conforming to the quantity and quality
required in this Agreement, the Authority shall be entitled to impose a
penalty provided for in Section 8.2 (Calculation of Payment) and Schedule
P (Septage Management Fee) and may enforce payment through the
Operating Security if the Contractor is unable to pay the penalty when due.

7.3 Quantity of Septage Treated and Properly Disposed

7.3.1 Nomination by Authority
Within the first twenty one (21) days of each year, the Authority shall
nominate the households and commercial establishments for the
desludging of septic tanks in the given Zone of operations. The Authority

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 shall furnish the Contractor the list of current customers’ names and
addresses for each year of operation.

7.3.2 Acceptance of Nomination and Off-Take Obligation of Authority

a) The Contractor must accept the nomination made by the Authority if

the number of households and commercial establishments conform
with Volume 3: List of Schedules.
b) The Contractor shall accept or reject a nomination by the Authority
within ten (10) days of receiving the Nomination and Acceptance
Form of the Authority. If the Contractor fails to accept or reject the
nomination within this period, the nominations shall be deemed
accepted by the Contractor.
c) Upon the acceptance or deemed acceptance of a Nomination and
Acceptance Form, the Authority shall be obligated to take and pay
for the service based on Volume 3: List of Schedules.

7.3.3 Relief from Off-take Obligation

For 60 days in each Contract Year, the Authority shall have the option to
reject the take or pay obligation without incurring any penalty under the
following conditions:

7.4 Quality of Treated Effluent and Bio-Solids

7.4.1 The Contractor shall dispose treated effluent and bio solids which meet the
Treated Water Specifications as determined in accordance with Schedule
G (Raw Septage Sources and Quality), Volume 3: List of Schedules.

7.5 Service outside of the Authority service area

7.5.1 Tipping of Septage in Treatment Plant by Third Parties
The Contractor shall be allowed to accept septage from private desludgers
and charge a tipping fee for it subject to the consent of the Authority, which
consent shall not be unreasonably withheld, and provided the service
requirements of the Authority are met in accordance with this Agreement.

7.5.2 Request for Unscheduled Desludging

The Contractor may accept request for unscheduled desludging of
households or commercial establishments within the service area of the
Authority and charge a lump sum fee for the service as provided for in
Section 8 of this Agreement.

7.6 Improvement and Unplanned Expansion of Facilities

7.6.1 Right to Request for Improvement

The Authority may at any time, by written notice to the Contractor, propose
an upgrade, expansion or alteration to the Facilities or an improvement of

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 the Treated Water Specifications for any reason, including, without
limitation, the following:

a) the availability of new proven technology in India or abroad;

b) a change in the demand from the Authority’s customers; or
c) to comply with any Change in Law.

7.6.2 Principles Governing Negotiations

Upon the giving of notice by the Authority, the Parties must negotiate in
good faith the terms required to implement the improvement proposed in
accordance with the following principles:
a) The Contractor shall be entitled to recover all costs incurred by it to
carry out the improvement and to make a reasonable rate of return
on any additional investment made for that purpose having regard to
existing market conditions at the time the improvement is done.

b) Except when a Septage Management Fee adjustment is authorized

under Section 8.3.2 (Extraordinary Septage Management Fee
Adjustments), the Authority shall be entitled to determine the method
of compensating the Contractor for the expansion or improvement in
the Facilities or the Waste Water Treatment Specifications, including
but not limited to an adjustment to the Septage Management Fee
pursuant to Section 8.3.2 (Extraordinary Septage Management Fee
Adjustments) or an extension of the Operating Period.

c) The essential commercial terms and risk distribution embodied in this

Agreement shall also apply to the works carried out in the adoption
of the improvement.

7.6.3 Implementation of Improvement

Upon agreement by the Parties, the improvement to the Facilities or the
Effluent Treatment Specifications shall be implemented in accordance
with the agreed terms and the principles in Section 7.6.2 (Principles
Governing Negotiations).

8 PAYMENT

8.1 Septage Management Fee

8.1.1 In consideration for the septage management service by the Contractor, the
Authority will pay the Contractor a Septage Management Fee per
household monthly, expressed in INR per household or commercial
establishment served by the Authority for each Billing Month which shall be
computed by applying the formulas and procedures described in this
Section 8. The Septage Management Fee, as computed, shall include the
Goods and Services Tax that the Contractor may be required to pay in

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 relation to provision of the septage management service to the Authority.

8.2 Calculation of Payment

8.2.1 Regular Septage Management Fee
The Septage Management Fee per household for each Billing Month that
shall be paid to the Contractor shall be based on the pre-agreed schedule
of desludging services for households and commercial establishments in
pre-determined zones (Household cleaning list with exact numbers to be
provided each year by the Authority). The Septage Management Fee is
defined as:

Septage Management Fee = Percentage fee quoted for the estimated

septage management fee (In the bid singular percentage will be
quoted for CAPEX as well as Septage Management Fee)
(Estimated septage management fee per household is suggested at
INR 2500/-)

At any given year, the maximum chargeable regular Septage

Management Fee shall be the Septage Management Fee adjusted using
the Septage Management Fee Adjustment Formula in Section 8.3.

8.2.2 Capex Payment

The payment for various items under the schedule will be made based on
the actual work completed satisfactorily. For payment under schedule the
payment conditions will be as under (Excluding cost of Operations and
Maintenance):-
Stage No. 1: Mobilization Advance (recoverable), Survey and
Investigation, Site development – 10%
Stage No. 2: Supply of Equipment - 50%
Stage No. 3: Civil, mechanical and electrical works – 20% (Pro-rata basis
in 2 parts. post 50% completion and post 100% completion)
Stage No. 4: Installation of Equipment – 15%
Stage No. 5: Post Trial Run and Commissioning – 15%
NOTE: The total is 110% including recoverable mobilization advance
(10%). If Mobilization advance is not required then Payment will start from
Stage No. 2.

8.2.3 Pay per Service

In addition to the Septage Management Fee, payment to the Contractor
shall include the following payment per service, as they are actually
collected:

a) Pay per unscheduled request for desludging service of a household

or commercial establishment in the pre-determined zones – This
shall be equivalent to the Septage Management Fee as per
prescribes in emptying schedule by the authority.
b) Tipping fee for septage treatment of the septage collected by private
desludging companies (where applicable) –. The tipping fee to be

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 decided by the contractor but should not exceed the overall Septage
Management Fee per household quoted in the budding process.

8.2.4 Septage Management Fee Reduction due to failure of the Contractor

The Septage Management Fee to be paid to the Contractor shall be
reduced in the event the following occur:

a) failure of the Contractor, due to its own action or inaction, to provide

desludging service to scheduled households or commercial
establishments;
b) failure of the Contractor, due to its own action or inaction, to treat the
waste water or bio-solids according to the agreed specifications and
standards; or
c) failure of the Contractor, due to its own action or inaction, to deliver
septage management service in accordance with the Agreement due
to a Political Force Majeure Event.

The Septage Management Fee reduction to be imposed as a

consequence of the above failures by the Contractor shall be based on
the percentage reduction in service or standards as evaluated by the
Authority and as compared with the service schedule, specifications and
standards in this Agreement.

8.2.5 Payment during Political Force Majeure Events

In the event of a Political Force Majeure Event due to causes not
attributable to either Party (example, floods), the Authority shall pay the

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 Contractor a fixed fee of Rs 40 per household for each Billing Month that
the Force Majeure Event occurs.

8.3 Septage Management Fee Adjustment

8.3.1 Regular Septage Management Fee Adjustment

The Septage Management Fee shall be adjusted every other year (not
applicable during first year of operations) using the following Septage
Management Fee Adjustment Formula:

where Septage Management Feet = Septage Management Fee for the

current adjustment period t

Septage Management Feet-1 = Septage Management Fee for the last

adjustment period

CPIt-1 = Consumer Price Index at the end of the last adjustment period
CPIt-2 = Consumer Price Index at the end of the adjustment period prior to
the last adjustment period.

Septage Management Feet = Septage Management Feet-1  CPIt-2 / CPIt-1

8.3.2 Extraordinary Septage Management Fee Adjustments

Septage Management Fee Re-Opener Event

Each of the following shall be a “Septage Management Fee Re-Opener
Event”:

a) Improvement and unplanned expansion of services as defined in

Section 7.6;
b) Non-realization of projected households for desludging that results in
high reduction in operating and maintenance expenses;
c) The occurrence of a Force Majeure Event that results in losses that
are not covered by insurance that the Contractor is required to obtain
and maintain under this Agreement; or
d) A change in the waste water treatment specifications due to a
Change in Law.

8.4 Invoices
8.4.1 At the end of each Billing Month, the Contractor shall submit to the Authority
an invoice (each, a “Contractor Invoice”) in the form set out in Schedule
K (Form of Invoice) showing the computation for the Septage Management
Fee and stating the total amount due and payable from the Authority for the
previous Billing Month.

8.5 Payment Terms

8.5.1 The Authority shall pay the amount due in each Contractor Invoice within
(30) Days after the date of receipt by the Authority of such invoice. If the
last day for payment is not a Business Day, then payment shall be made

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 on the next Business Day.

8.6 Manner of Payment

8.6.1 All sums payable by the Authority under this Agreement shall be paid in
Rs./INR/₹ and remitted in same-day funds on the due date to an account
maintained in a bank doing business in Uttar Pradesh, India to be specified
in writing by the Contractor to the Authority.

8.7 Taxes
8.7.1 The Contractor shall be liable for all taxes imposed on the Project and the
Facilities. However, any Goods and Services tax on the fee for the septage
management service shall be passed on by the Contractor to the Authority
and shall be separately stated in the Contractor Invoices.

8.8 Mobilization Advance

8.8.1 Authority shall be releasing mobilization advance after receiving the request
for the same from the Bidder. The mobilization advance shall be provided
against a separate Bank Guarantee to the value of 100% of the Mobilization
Advance. This advance shall (at 8% CI) be later recovered from the invoices
raised by the contractor on monthly basis during the first 6 months period
(construction period) of the project in equal instalments.

9 CONTRACT MANAGEMENT, MONITORING, AND EVALUATION

9.1 Contract Management Body

9.1.1 Within twenty one (21) Business Days after the Effective Date, each Party
shall form a contract management body, either through the appointment of
a contract manager or the creation of a contract management unit, which
shall be responsible for monitoring, managing and evaluating the full
implementation of the Project (“Contract Management Body”). Within
seven (7) Business Days from its creation, each Party shall immediately
send written notice to the other naming the members of its Contract
Management Body.

9.2 Project Reports

9.2.1 Within fifteen (15) Business Days from receipt of the notice referred to in
Section 9.1, the Contract Management Bodies of the Parties shall meet and
agree on the form of the report which the Parties shall use as a tool to
exchange information and to monitor, manage and evaluate the
implementation of the Project (“Project Report”). At the same meeting, the
Parties shall also agree on:
a) the Party responsible for monitoring and reporting on each of the
indicators; and
b) the frequency that each indicator should be monitored and reported.

9.2.2 The Parties shall ensure that Project Report will have the following basic

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 information:

a) Performance indicators to determine the Contractor’s compliance with its

obligations under the Agreement;
b) Performance indicators to determine the Authority’s compliance with its
obligations under the Agreement;
c) Major risk factors for the Project and the indicators to determine how such
risk factors are affecting the Project;
d) The costs of the Project and the Services measured against their expected
costs;
e) Any information required by relevant Government Authorities including
government oversight agencies and public regulators in accordance with
applicable Legal Requirements;
f) Significant contract management actions taken by each Party;
g) Any event or condition that has occurred which materially affects the
h) Project or a Party’s ability to comply with its obligations under the
Agreement or if any of the representations made or warranties given by a
Party ceases to be true in any material respect; and
i) All other material information that may be included by the Parties.

9.3 Monitoring and Reporting Obligations

9.3.1 The Parties shall comply with their monitoring and reporting obligations
mutually agreed upon pursuant to this Section 9 and embodied in the
Project Report.

9.3.2 For this purpose, the Contractor shall establish appropriate monitoring and
reporting systems to obtain data and perform calculations in order to
measure compliance with the Operating Standards and Procedures and
other key performance indicators provided in the Project Report.

9.3.3 Performance of the Facilities and compliance with the Operating Standards
and Procedures shall be measured and calculated by the Contractor on a
quarterly basis. The Contractor shall gather the results and make them
available to the Contract Management Bodies.

9.3.4 The Project Reports shall be prepared in English and shall be submitted
within [7] Business Days after the end of the calendar month to which they
apply. Source data applicable to a Project Report shall be retained by the
Parties for a period of at least sixty (60) months after the report is submitted
and shall be furnished to the other Party upon demand. All reports and
source data for purposes of validation shall also be stored electronically by
the Parties.

9.3.5 Where a Project Report shows that the operation of the Facilities is below
the Operating Standards and Procedures or other performance indicators,
the Contractor shall also separately submit: (i) a full explanation of the
reasons for the below-target performance; (ii) the steps that it has or will be
taking to ensure that performance is improved to meet the standard; and
(iii) the timeframe for their implementation. In case the cause of the below-
target performance is not entirely the responsibility of the Contractor, it shall

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 include a recommended solution in its report that identifies the proposed
steps to remedy the other factors that contributed to the below-target
performance.

9.3.6 At the request of the Authority, the Contractor shall prepare and submit
supplemental reports related to the performance of the Facilities or
compliance with the Operating Standards and Procedures.

9.3.7 Since payments will be made as per actuals (No oh households serviced in
the month) hence a detailed desludging template format needs to be
obtained from each household where desludging service is provided by the
Contractor/Firm. The format for the same is attached in the Schedules as
Septage Manifest Form.

9.4 Regular Meetings

9.4.1 The Contract Management Body of the Parties shall meet once a month or
more frequently if necessary in order to discuss the progress of the Project,
including but not limited to the following:

a) the indicators and information reported using the Project Report;

b) any problems or issues in the implementation of the Project and
solutions to the same, including preventive or remedial actions which
should be taken when the agreed outputs or costs of the Project
deviate from their expected values;
c) methods for managing significant Project risks; and
d) lessons learned from the monitoring and management of the Project
and, based on such lessons, the necessary adjustments that can be
made in the implementation of the Project in order to improve Project
outcomes.

9.5 Regulation of the Contractor

9.5.1 The Parties acknowledge that the Contractor is subject to regulation by the
Central Pollution Control Board on Environment Sanitation Clearance
(ESC) and Pollution Control Board on Environment Compliance Certificate
(ECC) and Discharge Permit (DP). The Contractor shall fully comply with
all applicable regulatory issuances and orders of NGT and CPCB on
septage management services and effluent discharges and Ministry of
Agriculture if the bio-solids are used as fertilizer.

9.6 Right of Authority to Monitor

9.6.1 The Authority shall be entitled to inspect, check, test and monitor the Project
and the Facilities during the construction period and the Operating Period.
The purpose of such monitoring shall be to determine whether the Facilities
are being designed, constructed, tested, commissioned, operated and
maintained in accordance with the terms of this Agreement.

9.6.2 The Contractor shall allow the Authority or its duly authorized
representatives to conduct such inspection and monitoring during normal
business hours upon reasonable prior written notice to the Contractor. The
monitoring and review shall be conducted in the presence of a duly
designated representative of the Contractor. All costs incurred by the
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 Authority in exercising its monitoring rights pursuant to this Section shall be
borne solely by the Authority.

9.6.3 However, the Authority may also authorize the Independent Consultant to
do random, unscheduled inspection and monitoring of the quality of treated
effluent and bio-solids.

9.6.4 The Parties shall use all reasonable efforts to minimize any disruption to
the delivery of the Services during a Service inspection.

9.6.5 The Contractor shall ensure that the Authority or its agent or representative
is given sufficient access to any part of the Facilities to carry out a Service
inspection. For this purpose, the Contractor shall:

a) provide assistance and make available equipment or materials as

may be reasonably required;
b) not make any part of the Facilities inaccessible; and
c) promptly correct any deficiency identified by the Authority or its agent
during such Service inspection.

9.7 Financial Reports

9.7.1 Fiscal Year Accounting Principles
The Contractor shall have a fiscal year ending on March 31 of each year.
The Contractor shall at all times comply with the Accounting Principles and
maintain proper books and records in accordance with applicable Legal
Requirements.

9.8 Financial Reports and Public Audit

9.8.1 The Contractor shall keep accurate records of all receipts and expenses
related to the operation of the Facilities and to any activity performed on the
Facilities by the Contractor.

9.8.2 It shall prepare unaudited quarterly financial statements in accordance with

the Accounting Principles consistently applied. The quarterly unaudited
financial statements shall be duly signed by the Contractor’s chief
accountant and shall be submitted to the Authority within thirty (30)
Business Days after the end of each quarter for the duration of the
Operating Period.

9.8.3 The Contractor shall prepare audited annual financial statements in

accordance with the Accounting Principles consistently applied. The annual
financial statements shall be audited by the Auditors within one hundred
twenty (120) Business Days after the end of each fiscal year for the duration
of the Operating Period (including the fiscal year in which the Termination
Date occurs), the Contractor shall submit to the Authority an annual report
on the Contractor’s management, operations, and finance during the
preceding year, including copies of the audited financial statements with the
Auditors’ notes and comments.

9.8.4 In addition to the foregoing reports, the Contractor shall provide the

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 Authority at its request and on a timely basis all financial information in
respect of the Contractor’s operations reasonably required to permit the
Authority to satisfy its financial, tax, and other reporting requirements.

9.8.5 The Contractor acknowledges that the Authority is subject to public audit
by the Accountant General, UP. For this purpose, the Contractor shall
provide on timely basis pertinent information as may be requested by the
Authority or CAG or Ministry of Corporate Affairs for purposes of such audit.

10 INSURANCE

10.1 Required Insurance Policies; Endorsements

10.1.1 The Contractor at its cost shall obtain and maintain or cause its sub-
contractors to obtain, at a minimum, the insurance coverage and policies
described in Schedule Q (Insurance) and required by the Legal
Requirements, the Financing Agreements, and Prudent Utility practice. The
Contractor may procure additional insurance coverage not called for under
this Agreement.

10.1.2 The insurance policies required to be obtained by the Contractor shall be

issued by reputable and financially sound insurers or reinsurers duly
licensed by the IRDAI and reasonably acceptable to the Authority. All
policies shall have the endorsements and other terms set out in Schedule
N (Insurance) but the Contractor shall not be required to obtain any
insurance policy at a time when such policy or coverage is not available on
reasonable commercial terms in the international or domestic insurance
market.

10.2 Insurance Certificates

10.2.1 The Contractor shall provide true and certified copies of insurance policies
or certificates of coverage required to be obtained in accordance with this
Agreement within ten (10) Days after the date such insurance policies are
obtained Authority or renewed.

10.3 Failure to Secure and Maintain Required Insurance

10.3.1 If the Contractor fails to obtain or maintain any insurance policy or
endorsement required by this Agreement, the Authority shall have the right
but not the obligation to procure such insurance policy or endorsement at
the Contractor’s expense. If the Contractor fails to reimburse the Authority
within seven (7) Days after being notified of the Authority’s payment of any
insurance premium to obtain the needed insurance cover, the Authority can
enforce reimbursement from the Performance or Operating Security in
effect at that time. If the Performance or Operating Security is insufficient,
the Authority shall deduct the cost of insurance from any amount due and
payable by the Authority to the Contractor under this Agreement.

10.4 Application of Insurance Proceeds

10.4.1 Loss While the Financing Agreements are Effective

If all or a portion of the Facilities is damaged, destroyed, or rendered unfit
for normal operation, all insurance proceeds received under any insurance
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 policy other than proceeds of business interruption insurance shall be
applied in accordance with the applicable terms of the Financing
Agreements.

10.4.2 Loss after the Financing Agreements Have Expired

If after the expiration of the Financing Agreements all or a portion of the
Facilities is damaged, destroyed, or rendered unfit for normal operation,
the Contractor shall apply the insurance proceeds (except the proceeds
of business interruption insurance) in accordance with the following
provisions:

a) If the Contractor determines that the Facilities can be rebuilt,

repaired, and restored to permit operation on a commercially viable
basis and the insurance proceeds are sufficient to restore such
facilities, then all the proceeds shall be applied toward the cost of
rebuilding, repairing, and/or restoring the Facilities.

b) If the Contractor determines that the Facilities cannot be rebuilt or

can only be partially rebuilt, repaired, and restored or that the
insurance proceeds are insufficient to restore such Facilities, then
either Party may elect to terminate this Agreement and all of the
insurance proceeds shall be distributed in the following order of
priority:

i. to the payment of any amount that may be due by the

Authority under this Agreement; then,
ii. any remaining amount from such proceeds shall be given to
the Authority.

11 REPRESENTATIONS AND WARRANTIES

Each Party represents and warrants to the other Party that as of the
Signature Date and the Effective Date:

11.1 Corporate Existence and Authority

11.1.1 It is a corporation duly organized and validly existing under the laws of India
and it has all requisite legal power and authority to conduct its business, to
own its properties, and to execute, deliver and implement this Agreement.

11.2 Government Consents and Approvals

11.2.1 All Consents required to authorize the execution, delivery, and performance
of this Agreement have been obtained and are in full force and effect except
for those Consents identified in Schedule Q (Consents) that the Parties
have agreed to obtain at a later time.

11.3 Non-contravention of Legal Requirements

11.3.1 The execution, delivery, and performance of this Agreement do not conflict
with any Legal Requirements applicable to such Party.

11.4 Validity and Enforceability of Agreement

11.4.1 This Agreement constitutes its legal, valid, and binding obligation,
enforceable in accordance with its terms, except to the extent that its
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 enforceability may be limited by applicable bankruptcy, insolvency,
reorganization, moratorium, liquidation or other similar laws affecting
creditors’ rights generally.

11.5 No Adverse Litigation

11.5.1 There is no litigation, arbitration, investigation or proceeding pending, or to
its best knowledge, threatened, against or affecting such Party that could
reasonably be expected to materially adversely affect its ability to fulfil its
obligations under this Agreement or that may affect the legality, validity, or
enforceability of this Agreement.

11.6 Due Authorization & Non-contravention of Other Agreements

11.6.1 The execution, delivery, and performance of this Agreement have been
duly authorized by all requisite corporate action, and will not: (i) require any
further consent or approval of its board of directors, shareholders, or any
other third party, other than those that have been obtained, or ii) violate its
charter or incorporation documents, or other agreement or instrument to
which it is a party or by which it or its property may be bound, or violate any
law, judgment, order, writ, injunction, determination, or award presently in
effect and applicable to it.

11.7 Continuing Representations and Warranties

11.7.1 The representations and warranties in Sections 11.1 to 11.6 shall be
deemed to be repeated by each Party as of the Effective Date and as of
March 31 of each Contract Year. Each Party shall immediately notify the
other Party in writing if any of the representations and warranties given
under Sections 11.1 to 11.6 ceases to be true in any material respect.

12 CONTRACTOR COVENANTS

12.1 Conduct of Contractor

12.1.1 The Contractor shall exercise complete control over its employees,
contractors and subcontractors and require them to comply with this
Agreement, all applicable Legal Requirements, and all applicable policies
of the Contractor. The Contractor shall also require its employees,
contractors and subcontractors to conform to the highest standards of
professionalism and ethical conduct. To the extent permitted by applicable
Legal Requirements, the Contractor shall dismiss or discipline any of its
employees, contractors or subcontractors who do not conform to such
standards and shall take immediate action at its own expense to correct
any violations of such standards.

12.2 Compliance with Legal Requirements and Consents

12.2.1 The Contractor shall comply with all applicable Legal Requirements and
shall comply in all material respects and shall keep in full force and effect
all Consents required to be in its name for the performance of its obligations
under this Agreement.

12.3 No Other Business

12.3.1 Except with the prior written consent of the Authority, the Contractor shall
not (a) engage in any business activity except those which are reasonably
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 required to implement this Agreement, (b) enter into any merger,
consolidation, or amalgamation with any entity or person, or (c) dispose of
all or substantially all of its assets except as may be required by the Lenders
to enforce any security interest permitted to be granted by the Contractor
to such Lenders pursuant to Section 18.2 of this Agreement

12.4 Local Content

12.4.1 In cases where goods or services required for the Project are available from
both Indian and non-Indian suppliers, the Contractor shall, and shall cause
each of its contractors and subcontractors to, assure the participation of
such Indian suppliers, in the call for tenders. When the goods or services
of such Indian suppliers are reasonably comparable in cost, quality, and
delivery time to non-Indian suppliers of goods or services, the Contractor,
or its contractors or subcontractors, shall acquire such goods or services
from such Indian suppliers.

12.5 Contractor’s Employees

12.5.1 Employment of Indian Nationals
The Contractor shall employ qualified Indian citizens to the maximum
extent possible. The Contractor shall cause its EPC Contractor to do the
same.

12.5.2 Status of Contractor’s Employees upon Termination of Agreement

The Authority shall have no obligation to employ or hire any employees of
the Contractor upon the termination of this Agreement. The Contractor
shall be liable for all costs and expenses associated with the termination
of the employment or contract of the Contractor’s employees.

12.5.3 Education and Training

The Contractor shall implement education and training programs designed
to upgrade the skills of its employees with a view to bringing the skills of
such employees to international standards in accordance with Prudent
Utility Practice.

12.6 Anti-Corruption Warranty

12.6.1 The Contractor warrants that neither it nor its representatives have offered
any officer, official or employee of any Government Authority any
consideration or commission for this Agreement nor has it or its
representatives exerted or utilized any corrupt practice or unlawful influence
to secure or solicit this Agreement for any consideration or commission.
The Contractor shall not subcontract any portion or portions of its
obligations under this Agreement to any public officer or Authority official or
employee or to persons known by the Contractor to be relatives within the
third degree of consanguinity or affinity of any public officer or Authority
official or employee directly or indirectly involved in the award of this
Agreement or the implementation of the Project. If any consideration or
commission is paid to any private person, the Contractor shall disclose the
name of the person and the amount paid. Any breach of the warranties and
undertakings in this Section 12.6 shall constitute sufficient ground for the
rescission or cancellation of this Agreement or the deduction of the
consideration or commission paid from payments otherwise owed to the
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 Contractor under this Agreement, without prejudice to the filing of civil or
criminal actions against the Contractor and/or its representatives and
officials and employees of the Authority under the Prevention of Corruption
Act (1988) and other applicable laws.

12.7 Transactions with Affiliates of Contractor

12.7.1 Any contract or other transaction entered into by the Contractor with any of
its Affiliates in connection with the Project, whether for the purchase of
goods or services or otherwise, shall be entered into on an arms-length
basis and on commercial terms that would reasonably be expected to apply
in the open market between contracting parties that are not Affiliates.
Without limiting the generality of the foregoing, in no event shall the
Contractor, directly or indirectly, pay more than the fair market value for
goods or services supplied to it by its Affiliates.

13 DELETED

14 INDEMNITY

14.1 Indemnification by the Contractor

14.1.1 The Contractor shall indemnify, defend, and hold harmless the Authority,
its directors, officers, employees, and representatives, its Affiliates, agents,
advisors, contractors, or licensees and their respective directors, officers,
and employees (the “Authority Parties”), from and against all Claims
asserted against the Authority or any Authority Party by any third party as
a result of the following:

a) For any loss of or damage to property or death or injury to persons

(except for workers’ compensation claims), resulting from any
negligent act or omission of the Contractor or any Contractor Parties
that results from the performance of this Agreement;

b) Failure of the Contractor to comply with any Legal Requirement in

the performance of its obligations under this Agreement;

c) Failure of the Contractor to comply with its representations and

warranties under Section 11 (Representations and Warranties) of
this Agreement; or

d) Failure of the Contractor to comply with its covenants under Section

12 (Contractor Covenants) of this Agreement.

14.1.2 The Contractor shall not be obliged to indemnify the Authority to the extent
that any of the matters referred to in paragraphs (a) to (d) above is caused
by the negligence, misconduct, or breach of this Agreement by the Authority
or any Authority Parties or arises as a direct result of the Contractor acting
upon the instruction of the Authority.

14.2 Indemnification by Authority

14.2.1 The Authority shall indemnify, defend, and hold harmless the Contractor,
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 its shareholders, directors, officers, employees, and representatives, its
Affiliates, agents, contractors, or licensees and their respective directors,
officers, and employees (the “Contractor Parties”), from and against all
Claims asserted against the Contractor or any Contractor Parties for any
loss of or damage to property or death or injury to persons (except for
workers’ compensation claims) resulting from any negligent act or omission
of the Authority or any Authority Parties that results from the performance
of this Agreement by the Authority, except to the extent such loss, damage,
injury, or death is attributable to the negligence, misconduct, or breach of
this Agreement by the Contractor or any Contractor Parties.

14.3 Indemnification Procedures

14.3.1 Notice of Claim

Each Party shall provide the other Party with written notice of any matter
constituting or that may lead to a Claim under this Agreement which may
give rise to a request for indemnification under this Section 14 (Indemnity)
as soon as such Party becomes aware of the potential Claim.

14.3.2 Defence of Claim

a) The indemnifying Party may, at its option and at its expense, control
the contest and defence of any claim with respect to which it is or
may be obligated to indemnify the indemnified Party under this
Agreement and with respect to which it or the indemnified Party is
named as a party.

b) If the indemnified Party is also named as a party to any such

proceeding, the indemnified Party shall have the right to retain its
own counsel at its own expense. Except when the interests of the
Parties with respect to such Claim are adverse, the indemnifying
Party shall (i) keep the indemnified Party and its counsel reasonably
informed as to the progress of such contest and defence, (ii) to the
extent reasonably practicable give the indemnified Party and its
counsel the opportunity to review and comment in advance on all
written submissions and filings relevant to the Claim, and (iii)
consider in good faith any reasonable suggestions made by the
indemnified Party or its counsel or permit the indemnified Party and
its counsel to submit documentation or attend those portions of any
meetings and proceedings that relate to the Claim.

14.3.3 Payment of Claim

The indemnifying Party shall pay the indemnified Party within thirty (30)
Days after notice to the indemnifying Party of the actual payment of a
Claim by the indemnified Party.

15 EVENTS OF DEFAULT

15.1 Contractor Events of Default

15.1.1 The occurrence of any of the following events shall constitute a “Contractor

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Event of Default”:

a) The Provisional Operations Start Date has not occurred by Two

hundred and seventy (270) Days after the Required Provisional
Operations Start Date.

b) The Operations Start Date has not occurred by two hundred and
seventy (270) Days after the Required Operations Start Date.

c) The Contractor fails to perform any of its obligations under this

Agreement (other than a failure that constitutes a Contractor Event
of Default under any other clause of this Section 15.1) which
materially and adversely affects the performance of the Service.

d) At any time prior to the Operations Start Date, the aggregate amount
(without double-counting) of all costs, expenses, and liabilities
incurred or reasonably expected to be incurred in order to achieve
the Operations Start Date exceeds the amounts available to the
Contractor under the Financing Agreements and any other sources
of funding including Equity that are conditionally available to the
Contractor.

e) The Contractor (i) becomes voluntarily or involuntarily the subject of

rehabilitation, receivership, or suspension of payment proceedings
under any bankruptcy or insolvency law or other law or procedure for
the relief of financially distressed debtors; (ii) does not, is unable, or
admits in writing its inability to pay its debts when due or as they
mature; or (iii) becomes insolvent, takes or suffers any action for its
liquidation or dissolution, or has a receiver or liquidator appointed for
all or any substantial part of its assets and, in the event any such
occurrence is involuntary, it results in the entry of an order for relief
or the adjudication of the Contractor or any such guarantor of the
Contractor as bankrupt or insolvent and it remains undismissed or
undischarged for a period of thirty (30) Days.

f) The Contractor ceases to prosecute and carry out the Project for
more than fifteen (15) Business Days within any period of twenty (20)
consecutive Business Days, and with no manifest intention of
resumption either in whole or material part.

g) The Contractor ceases to provide all or a substantial part of the

Services in accordance with this Agreement for more than fifteen (15)
Business Days within any period of twenty (20) consecutive Business
Days.

h) The Contractor defaults in the payment of any amount due and

payable (which amounts are not in dispute) under this Agreement,
which amount exceeds the sum of Rs. 1,00,000 and such default
continues unremedied for a period of sixty (60) Days from receipt by

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 the Contractor of a notice in writing from the Authority of the amount
due and payable.

i) The Contractor fails to provide a suitable replacement Performance

Security Issuer with the required qualifications under this Agreement
within sixty (60) Days when such Performance Security Issuer (i) fails
to satisfy the requirements for the Performance Security Issuer set
out in Section 1.1 (Definition of “Performance Security Issuer”) of this
Agreement, (ii) becomes voluntarily or involuntarily the subject of
rehabilitation, receivership, or suspension of payment proceedings
under any bankruptcy or insolvency law or other law or procedure for
the relief of financially distressed debtors, (iii) does not or is unable
to pay its debts when due or as they mature, or (iv) becomes
insolvent, takes or suffers any action for its liquidation or dissolution,
or has a receiver or liquidator appointed for all or any substantial part
of its assets and in the event any such occurrence is involuntary, it
results in the entry of an order for relief or the adjudication of the
Contractor’s guarantor as bankrupt or insolvent and it remains
undismissed or undischarged for a period of thirty (30) Days.

j) A representation or warranty by the Contractor under Section 11

(Representations and Warranties) is incorrect in any material respect
and is reasonably likely to have a material adverse effect on the
ability of the Contractor to carry out the Project.

k) The Contractor breaches any provision of Section 12.6 (Anti-

Corruption Warranty).

l) The Contractor assigns or transfers any of its rights or obligations

under this Agreement, except as permitted by Section 18.2
(Permitted Assignment to Financing Parties).

m) There is a transfer of an interest in the Contractor that does not

comply with Section 18.3 (Ownership of Contractor).

n) The Operating Security originally provided pursuant to Section 6.3

(Operating Security) or any replacement Operating Security has
been fully drawn and the Contractor has failed to procure within
twenty-one (21) Business Days thereafter replacement Operating
Security in the amount of 100% of the initial value and otherwise
satisfying the requirements of Section 6.3 (Operating Security).

16 LIMITATION OF LIABILITY

16.1 Limitation of Consequential Damages; Other Rights, Remedies, etc.

16.1.1 Neither Party shall be liable to the other Party whether in contract, tort,
negligence, warranty, strict liability, breach of a statutory duty, or otherwise
for (i) any special, consequential, moral, or punitive damages, (ii) indirect
losses, costs, or expenses, or (iii) loss of actual or anticipated profits, loss
of opportunities (including opportunities to enter into arrangements with

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 third parties), or loss of use or production. However, this Section shall not
limit the liquidated damages specifically provided in this Agreement and the
termination payments set forth in Schedule S (Termination Buy-Out and
Transfer Provisions).

16.2 Limitation of Liability for Liquidated Damages

16.2.1 The total liability of the Contractor for liquidated damages if the Authority
terminates this Agreement pursuant to Sections 2.3.1 (Termination due to
Non-Occurrence of Effective Date) and 2.3.2 Consequences of
Termination) due to non-occurrence of the Effective Date on or before the
Required Effective Date shall be the amount of the Performance Security.

16.2.2 The total liability of the Contractor for Delay Liquidated Damages pursuant
to Section 5.8 (Liquidated Damages for Delay in Meeting Project
Milestones) shall not be more than 10% of the contract value.

17 AUTHORITY STEP-IN RIGHTS

17.1 Step-in Rights

17.1.1 The Authority shall have the option to assume operational responsibility for
the Facilities (in the capacity of an operator only) in order to continue
operation of the Facilities or complete any necessary repairs to assure the
continued delivery of the Services (“Authority Step-in Rights”). Authority
Step-in Rights shall arise only upon the occurrence and continuance of a
Contractor Event of Default that could reasonably be expected to materially
adversely affect the Contractor’s ability to operate and maintain the
Facilities in accordance with this Agreement.

17.1.2 The Authority shall notify the Contractor in writing of the following: (i) its
intention to exercise Authority Step-in Rights (ii) the reason for its exercise
of Authority Step-in Rights; and (iii) the date it will commence exercise of
Authority Step-in Right.

17.1.3 The Authority may only exercise the Authority Step-in Rights under the
following conditions:

a) Any applicable cure period specified in Section 15 (Events of Default)

and Section 20 (Termination) has expired, unless the Authority is
requested by the Lenders to step in earlier on their behalf pursuant
to the Financing Agreements.

b) For so long as the Financing Agreements remain in effect, the

Authority must first obtain the consent of the Lenders.

17.1.4 During the period of the Authority’s exercise of the Authority Step-in Rights,
the Authority shall be the operator of the Facilities. The Contractor’s
obligation to provide part of the Services covered by the exercise of the
Authority Step-in Rights shall be suspended, but the Authority shall retain
the right to terminate the Agreement due to a Contractor Event of Default.
The exercise of the Authority Step-in Rights shall not be deemed as or

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 result in a transfer of title to the Facilities or a transfer of the Contractor’s
obligations as owner of the Facilities.

17.2 Implementation of Authority Step-in Rights

17.2.1 Authority’s Contracts, Consents, etc.

a) Within three (3) Days of the Contractor’s receipt of the Authority’s

notice of its exercise of Authority Step-in Rights, the Contractor shall
assign to the Authority the Contractor’s rights under all agreements
necessary to operate the Facilities, provided that such assignment
shall automatically cease upon the reversion of operation
responsibility to the Contractor.

b) The Contractor shall promptly take all steps necessary to permit the
Authority to exercise as operator of the Facilities the Contractor’s
rights under all Consents to the extent such rights are necessary for
the Authority to operate the Facilities during the Authority’s exercise
of Authority Step-in Rights. The Contractor shall give the Authority
access to all design manuals, construction drawings, and other
documentation required to operate the Facilities.

17.2.2 Payments to Contractor and Authority

a) During any period in which the Authority exercises the Authority

Step-in Rights, the Authority shall continue making payments to the
Contractor in accordance with the terms of this Agreement.

b) During the exercise of the Authority Step-in Rights, the Authority shall
be entitled to remuneration for the Authority’s reasonable costs as
an operator.

17.2.3 Payment of Contractor’s Obligations

a) The Authority shall have the right to make any payments due from
and on behalf of the Contractor which are necessary to operate the
Facilities, including payments for fuel, maintenance, repairs,
insurance, taxes, and other operating costs of the Facilities, together
with all regularly scheduled payments under the Financing
Agreements (pro-rated for the amount attributable to such period),
but only to the extent that the Contractor is unable to meet any such
payments.

b) The Parties shall cooperate with each other and shall execute and
deliver all documents necessary or desirable to make those
payments in a timely and proper manner. The remuneration and
payments referred to in Section 17.2.2 (Payments to Contractor and
Authority) and Section 17.2.3 that become payable during this period
shall be regarded as funds advanced by the Authority to the
Contractor. The Authority shall send invoices for such amounts and
the Contractor shall promptly reimburse the Authority. The Parties
shall resolve disputed amounts on the same terms and conditions as
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 the settlement of disputed invoices provided in Section 8.10
(Disputed Invoices). Notwithstanding the provisions of Section 8.8
(No Set-Offs or Deductions), the Authority may obtain payment by
making deductions from any amounts due to the Contractor pursuant
to this Agreement, provided that such payments shall be
subordinated to sums owed to the Lenders.

17.2.4 Standards of Operation

During any period when the Authority is operating the Facilities, the
Authority shall operate and maintain the Facilities in accordance with
Prudent Utility Practice. The Contractor shall have the right to monitor the
Authority’s operation of the Facilities to the extent reasonably required to
ascertain whether the Authority is operating and maintaining the Facilities
in accordance with that standard. The Authority shall have no more liability
to the Contractor than would a third party operation and maintenance
contractor with respect to the operation and maintenance of the Facilities
by the Authority during the exercise of such step-in rights.

17.2.5 Reversion of Operational Responsibility to Contractor

The Authority shall return operational responsibility for the Facilities to the
Contractor following any exercise by the Authority of the Authority Step-in
Rights reasonably promptly following the cure of the Contractor Event of
Default that led to the exercise of the Authority Step-in Rights. The
Authority shall return the Facilities to the Contractor in a physical condition
no worse than the condition of the Facilities at the time the Authority
assumed operational responsibility for the Facilities pursuant to such
exercise of the Authority Step-in Rights, ordinary wear and tear excepted.
The Authority shall not be responsible for or have any liability resulting
from any condition of the Facilities or the Site that existed prior to such
exercise of Authority Step-in Rights.

18 ASSIGNMENT OF RIGHTS; OWNERSHIP OF THE CONTRACTOR

18.1 No Assignment
18.1.1 Neither Party may sell, assign, or transfer its rights or obligations under or
pursuant to this Agreement without the prior written consent of the other
Party, except that the Contractor may assign its rights to the Lenders in
accordance with Section 18.2 (Permitted Assignment to Lenders).

18.2 Permitted Assignment to Lenders

18.2.1 The Authority consents to the collateral assignment of the Contractor’s
rights under this Agreement to the Lenders pursuant to the Financing
Agreements and agrees:

a) To afford the Lenders a reasonable opportunity to remedy any

default by the Contractor or any other event or occurrence which
gives the Authority the right to terminate or suspend this Agreement;

i. In the event of a default under the Financing Agreements and

a foreclosure sale of the Contractor’s interest in the Facilities,
to accept the purchaser of the Contractor’s interest as the
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 successor to the Contractor under this Agreement, provided
that such purchaser (A) if the Operations Start Date has not
occurred, has reasonable access to funding necessary to
achieve the Operations Start Date on or before the Required
Operations Start Date, and (B) meets all legal, technical, and
financial qualifications of an operator set by the Authority for
the Project, assumes the performance of the Contractor’s
obligations under this Agreement (except those obligations
that by their nature cannot be performed by any person other
than the Contractor), cures all outstanding payment defaults
of the Contractor under this Agreement, and makes provision
reasonably satisfactory to the Authority for the cure of all
other outstanding defaults of the Contractor under this
Agreement; and
ii. In the event of an acceleration of the loans under the
Financing Agreements, to enter into, at the request of the
Lenders, a replacement agreement substantially similar to
this Agreement but that in no event increases the Authority’s
liabilities with the Lenders or their designee. The Contractor
acknowledges and agrees that any collateral assignment to
the Lenders pursuant to the Financing Agreements shall not
relieve the Contractor of its obligations to the Authority under
this Agreement.
18.2.2 The Authority agrees to enter into an acknowledgment and consent
agreement with the Lenders as to the foregoing matters and as to such
other matters of a type customarily dealt with in consent to an assignment
for security purposes of a borrower’s interest in a contract as the Lenders
may reasonably request.

18.3 Ownership of Capital Stock of Contractor

18.3.1 Contractor’s Capital Stock
Subject to the rights of the Lenders under the Financing Agreements and
except as otherwise provided in Section 18.3.2 (Restrictions on Transfer
of Capital Stock of Contractor), the Contractor covenants that:

a) The proportionate direct and indirect ownership of the capital stock

of the Contractor held by each of the Initial Shareholders shall be as
set out in Schedule P (Ownership Interests in Contractor) , Volume
3: List of Schedules;

b) Each Initial Shareholder is the registered, legal, and beneficial owner

of the number of shares of the Contractor set out opposite its name
in Schedule P (Ownership Interests in Contractor) , Volume 3: List of
Schedules;

c) All issued shares shall, when issued, have been authorized, allotted,
and called-up and validly issued and registered and fully paid; and

d) There are no outstanding liens, options, warrants, rights, calls,

commitments, conversion rights, rights of exchange, plans, or other

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 agreements of any character (including rights of first refusal or rights
of first offer of any Initial Shareholder with respect to other Initial
Shareholders) providing for the purchase, issuance, or sale of any
shares of the capital stock in, or the voting of, the Contractor, other
than as created under the Financing Documents.

18.3.2 Restriction on Transfer of Capital Stock of Contractor

a) From the Signature Date until the second (2 nd) year of the Operations
Start Date (the “Lock-in Period”) no Change of Ownership may
occur, except a Change of Ownership arising as a consequence of:

i. the grant or enforcement of security in favour of the Lenders

over or in relation to any of the shares of the Contractor
pursuant to the terms of the Financing Agreements;

ii. any transfer by an Initial Shareholder to its Affiliate of such

Initial Shareholder’s capital stock in the Contractor; or

iii. any change in legal or beneficial ownership of any shares

that are listed on a registered securities exchange.

b) After the Lock-in Period, any Initial Shareholder may transfer its
direct and indirect ownership interests in the capital stock of the
Contractor, provided, however, that collectively and at any given time
the Contractor’s Shareholders shall have the legal, financial, and
technical capabilities of successfully carrying out the implementation
and operation of the Project that are equal to or better than those of
the Initial Shareholders’ legal, financial, and technical qualifications.

c) If a Shareholder desires to transfer any part of its direct or indirect

ownership of the capital stock of the Contractor, the Contractor must
first submit to the Authority a description of: (i) The proposed transfer
of the Shareholder’s direct or indirect interest in the capital stock of
the Contractor; (ii) The identity of the proposed transferee; and (iii) If
applicable, any proposed amendment to the articles of incorporation
and by-laws of the Contractor. The Authority may request the
Contractor to and the Contractor shall provide the Authority within
five (5) Days following such request, any additional information that
the Authority considers necessary for its evaluation of the proposed
transfer.

19 DISPUTE RESOLUTION

19.1 Mutual Discussions

19.1.1 In case any Dispute occurs, the Parties shall attempt in good faith to settle
such Dispute by mutual discussions between the Parties held at the
principal office of the Authority and beginning not later than seven (7) Days
after the receipt by one Party of a written notice from the other Party of the

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 existence of the Dispute.

19.2 Expert Proceedings

19.2.1 Referral of Disputes to Expert Panel
If a Dispute cannot be settled by mutual discussion within thirty (30) Days
or such longer period as may be agreed in writing by the Parties after the
commencement of such discussions under Section 19.1 (Mutual
Discussions), then the Dispute shall be referred to the Expert Panel for
determination, which shall be the appointed by UPJN/Authority and State
government as appropriate.

19.2.2 Establishment and Operation of Expert Panel

a) Not later than sixty (60) Days after the Signature Date, each Party
shall nominate and ensure availability of six (6) independent experts
comprising: (i) two (2) septage management engineers, (ii) two (2)
regulatory economists, and (iii) two (2) financial analysts (the “Expert
Panel”). The Parties will agree on the panel of experts selected from
the experts so nominated by the Parties. The Expert Panel shall be
constituted and called upon only when required within thirty (30)
Days from receipt of a Party of the written notice of the other Party’s
decision to refer a matter to the Expert Panel. If the Parties are
unable to agree on the composition of the Expert Panel within such
thirty (30) Day period, then either Party may request the International
Chamber of Commerce's International Centre for Expertise to
appoint the members of the Expert Panel.

b) Decisions of the Expert Panel shall be made by simple majority vote

of the members. The members of the Expert Panel shall develop
their own internal conduct and procedural rules based upon
principles of transparency, impartiality, and efficiency. Proceedings
of the Expert Panel shall not be required to follow the procedural laws
related to formal dispute resolution processes. The Expert Panel
need not be bound by strict rules of law where it considers the
application thereof to particular matters to be inconsistent with the
spirit of this Agreement and the underlying intent of the Parties.

c) All costs incurred in connection with the convening of the Expert

Panel and the referral and resolution of a Dispute before it, including
reasonable compensation of the members of the Expert Panel, shall
be equally shared by the Parties.

19.2.3 Decisions of Expert Panel

Except as otherwise expressly provided in this Agreement, all decisions

of the Expert Panel shall be taken within not more than sixty (60) Days
after the receipt by the Expert Panel of a request by either Party for a

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 decision of the Expert Panel pursuant to this Agreement or by such later
time as may be agreed by the Parties.

19.3 Arbitration
19.3.1 If a Dispute cannot be settled by mutual discussion within thirty (30) Days
after the commencement of such discussions under Section 19.1 (Mutual
Discussions) and either:

a) The Parties agree in writing to refer the Dispute to arbitration rather

than to the Expert Panel, or

b) There was fraud or manifest error in connection with the decision of

the Expert Panel,

then either Party may submit such Dispute to arbitration in accordance

with the Rules of Arbitration of the International Centre for Alternative
Dispute Resolution, New Delhi (the “Rules”), or such other rules as may
be mutually agreed by the Parties, and shall be subject to the provisions
of the Arbitration and Conciliation Act, 1996 or any amendment thereof,
which rules are deemed to be incorporated by reference in this
Agreement. The arbitration proceedings shall be conducted in the English
language.

19.4 Expert Panel and Arbitral Award

19.4.1 All Expert Panel and arbitral awards shall be in writing and shall state the
reasons upon which they are based. The awards shall be final and binding
on the Parties. The awards may include an award of costs, including
reasonable attorneys’ fees and disbursements. Judgments upon the
awards may be entered by any court having jurisdiction thereof or having
jurisdiction over the Parties or their assets.

19.5 Enforcement of Award

19.5.1 By execution and delivery of this Agreement each Party hereby accepts
and consents to the jurisdiction of the aforesaid Expert Panel and arbitral
panel and, solely for purposes of the enforcement of an Expert Panel and
arbitral award under this Section 19 (Dispute Resolution), to the jurisdiction
of any court of competent jurisdiction, for itself and in respect of its property,
and waives in respect of both itself and its property any defence it may have
as to or based on sovereign immunity, jurisdiction, improper venue, or
inconvenient forum. Each Party hereby irrevocably consents to the service
of any process or other papers by the use of any of the methods and to the
addresses set for the giving of notices in Section 21.1 (Notices). Nothing
herein shall affect the right of any Party to serve such process or papers in
any other manner permitted by law.

19.6 Continuing Obligations

19.6.1 Pending settlement of any Dispute pursuant to this Section 19 (Dispute
Resolution), the Parties shall continue to comply with and perform their
obligations under this Agreement without prejudice to a final adjustment in
accordance with a final award rendered by the Expert Panel or by an arbitral

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 panel in accordance with this Section 19 (Dispute Resolution).

19.7 Exclusive Procedure for Resolving Disputes

19.7.1 This Section 19 (Dispute Resolution) sets forth the sole procedures for
resolving any Dispute between the Parties, and neither Party may
commence or maintain any suit or legal or equitable proceeding concerning
a Dispute hereunder until the Dispute has been determined in accordance
with the arbitration procedure provided for herein, and then only to enforce
or facilitate the execution of the award rendered in such arbitration.

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ARTICLE IV: CONTRACT TERMINATION

20 TERMINATION
20.1 SUSPENSION AND TERMINATION

20.1.1 If at any time after the execution of the Contract Documents, the Engineer
shall for any reason whatsoever (other than fault on the part of the
Contractor for which the Engineer is entitled to rescind or determine the
Contract) desires that the whole or part of the work specified in the tender
should be suspended for any period or that the whole or part of the work
should not be carried out at all, he shall give the Contractor, a notice, in
writing of such desire and upon the receipt of such notice, the Contractor
shall forth-with suspend or stop the work wholly or in part as required after
having due regard to the appropriate stage at which the work should be
stopped or suspended so as not to cause any damage or injury to the work
already done or endanger the safety thereof, provided that the decision of
the Engineer as to the stage at which the work or any part of it could be
or could have been safely stopped or suspended shall be final and
conclusive against the Contractor. The Contractor shall have no claim to
any payment or compensation whatsoever, by reason or in pursuance of
any notice as aforesaid, on account of any suspension, stoppage or
curtailment.

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ARTICLE V: GENERAL PROVISIONS

21 GENERAL PROVISIONS

21.1 Notices
21.1.1 Addresses
All notices, requests, agreements, or consents shall be in writing and in
English and shall be deemed to have been duly given: (i) upon delivery if
delivered by hand against written acknowledgment of receipt; (ii) on the
Business Day following confirmed transmission if sent by e-mail; provided
that such e-mail shall be followed by notification by mail postmarked within
three (3) Days; and (iii) upon delivery if sent by certified, registered (return
receipt requested), or express mail, first-class postage prepaid, or by an
express courier service, marked for overnight delivery. The word “notify”
shall be construed accordingly. All notices shall be addressed as follows:

To the Authority:
[Full Authority Name]
[Authority Address]
Telephone: [.]
Email: [.]
Attention: [.]

To the Contractor:
[Full Contractor Name]
[Contractor Address]
Telephone: [.]
Email: [.]
Attention: [.]

21.1.2 Change of Address

A Party may change its address by giving the other Party written notice of
such change pursuant to Section 21.1.1 (Addresses), provided that any
such change shall not be effective until notice of such change has been
received by the other Party in accordance with Section 21.1.1
(Addresses).

21.2 Entire Agreement

21.2.1 This Agreement, together with its Schedules, constitutes the entire
agreement between the Parties with respect to the transactions
contemplated herein. All previous documents, undertakings, and
agreements, whether oral, written or otherwise, between the Parties
concerning the subject matter of this Agreement are hereby cancelled and
shall not affect or modify any of the terms or obligations set forth in this
Agreement.

21.3 Waivers
21.3.1 The failure of a Party to insist upon a strict adherence to any term of this
Agreement on any occasion shall not be considered a waiver of any right
thereafter to insist upon a strict adherence to that term or any other term of

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 this Agreement. No waiver by a Party of any default or breach of this
Agreement shall be construed as a waiver of any other provision, condition,
or term hereof or of any other default or breach of the same provision,
condition, or term. No delay in the exercise and no single or partial exercise
by a Party of any right, remedy, or power hereunder, in equity, or at law,
shall preclude any other or further exercise thereof or the exercise of any
other right, remedy, or power existing hereunder, in equity, or at law. Any
waiver must be in writing and signed by a duly authorized representative of
the Party issuing the waiver.

21.4 Confidentiality and Disclosure

21.4.1 Confidentiality
Each Party shall hold in strict confidence from any other person all
documents and information concerning any other Party or any of its
Affiliates furnished to it or its advisors, consultants, contractors, or agents
by the other Party in connection with this Agreement or the transactions
contemplated hereby (“Confidential Information”), unless that Party is:
REQUIRED TO DISCLOSE ANY SUCH INFORMATION BY JUDICIAL
OR ADMINISTRATIVE PROCESS (INCLUDING IN CONNECTION WITH
OBTAINING FROM GOVERNMENT AUTHORITIES THE NECESSARY
APPROVALS OF THIS AGREEMENT AND THE TRANSACTIONS
CONTEMPLATED HEREBY)OR BY OTHER LEGAL REQUIREMENTS;

a) Disclosed to persons providing or proposing to provide financing to

Seller; or

b) Disclosed in an action or proceeding brought by either Party in

pursuit of its rights or in the exercise of its remedies hereunder.
Notwithstanding the foregoing, this Section 21.4.1 shall not apply to
such documents or information that were (i) previously known by the
Party receiving such documents or information, (ii) in the public
domain (either prior to or after the furnishing of such documents or
information hereunder) through no fault of such receiving Party, or
(iii) later acquired by such receiving Party from another source so
long as such receiving Party is not aware that such source is under
an obligation to the other Party to keep such documents and
information confidential.

21.4.2 Required Disclosure

Any Party required by any Legal Requirement or in the course of
administrative or judicial proceedings or in accordance with required
disclosures of publicly-listed companies by registered securities
exchanges to disclose information that is otherwise required to be
maintained in confidence pursuant to Section 21.4.1 (Confidentiality), may
disclose such information notwithstanding the provisions of Section 21.4.1
(Confidentiality); provided, however, that the Party making the disclosure
shall give prior notice to the other Party of the requirement and the terms
thereof and shall cooperate to the maximum extent practicable to resist or
minimize the disclosure of the information. The Party disclosing such
information shall use reasonable efforts, at the other Party’s cost, to obtain

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 proprietary or confidential treatment of such information by the third party
to whom the information is disclosed, and to the extent such remedies are
available, shall use reasonable efforts to seek protective orders limiting
the dissemination and use of the information at the other Party’s cost. For
avoidance of doubt, this Agreement does not alter the rights of the Parties
to object to the Legal Requirement or proceedings requiring the
disclosure.

21.5 Further Assurances

21.5.1 The Parties will do, execute, and deliver, or will cause to be done, executed,
and delivered, all such further acts and such other things as each Party may
reasonably request for the purpose of giving effect to this Agreement or for
the purpose of establishing compliance with the representations,
warranties, and covenants of this Agreement. The Parties further assure
that they shall perform their obligations in a highly professional and diligent
manner, with due efficiency and economy and timely execution of works
and other obligations, in all respects with that degree of skill, diligence,
prudence and foresight required from them, and with due attention to the
need for fairness, openness and good faith in their dealings.

21.6 Severability
21.6.1 The validity of the remaining articles, clauses, provisions, terms, and parts
of this Agreement shall not be affected by a court, administrative board, or
other proceeding of competent jurisdiction deciding that an article, section,
provision, term, or part of this Agreement is illegal, unenforceable, in conflict
with any law, or contrary to public policy. In such event the Parties hereto
shall, by amendment of this Agreement, properly replace such provision by
a reasonable new provision or provisions that, as far as legally possible,
approximate what the Parties intended by such original provision and the
purpose thereof.

21.7 Language
21.7.1 This Agreement is being executed in the English language only. All
documents, notices, waivers, and all other communications written or
otherwise between the Parties in connection with this Agreement shall be
in the English language. Any translation of this Agreement or any such
communication, if any, shall be for convenience only and shall not be
binding upon the Parties.

21.8 Counterparts
21.8.1 This Agreement may be executed in one or more duplicate counterparts
and when signed by each of the Parties shall constitute an original and a
single binding agreement. Any Party hereto may execute this Agreement
by signing any such counterpart (including by facsimile). Signature pages
may be detached from multiple separate counterparts and attached to a
single counterpart so that all signatures are physically attached to the same
counterpart.

21.9 Remedies Cumulative

21.9.1 Except with respect to liquidated damages payable pursuant to this
Agreement for non-occurrence of the Effective Date and for delay in
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 achieving the Provisional Operations Start Date, no remedy or right herein
conferred is intended to be exclusive of any other remedy or right, but every
such remedy or right shall be cumulative and shall be in addition to every
other remedy or right herein conferred or now or hereafter existing at law
or in equity.

21.10 Amendments

21.10.1 No amendments or modifications of this Agreement shall be valid

except by written agreement signed by duly authorized representatives of
the Parties. Minutes of meetings or other informal documents shall not
constitute a written agreement for purposes of the preceding sentence.

21.11 Governing Law

21.11.1 This Agreement shall be construed and interpreted in accordance
with and governed by the laws of India, and the High Court at Prayagraj
shall have exclusive jurisdiction over matters arising out of or relating to this
Agreement.

21.12 Survival
21.12.1 All express representations, warranties, indemnities, and limitations
of liability included in this Agreement shall survive its completion or
termination for any reason.

21.13 Successor And Assigns:

21.13.1 The Engineer and the Contractor each binds himself his partner,
successors, assign and legal representative to the owner party hereto and
the partners, successors, assigns and legal representatives of such other
party in respect to all convenience, agreements and obligations contained
in the contract Agreement; they shall not assign the contract Agreement or
subject it as a whole without the written consent of the other, nor shall the
contractor assign any money due or to become due to him hereunder
without the previous written consent of the Engineer.

21.14 Written Notice:

21.14.1 Written notice shall be deemed to have been duly served or
delivered in person to individual or the member of the firm or to the officer
of the corporation for whom it was intended, or if delivered at or sent by
registered mail to the last business address known to him who gives the
notice. The address given in Contractor‟s Tender or which is found in
Contract Documents, is hereby designated as the place to which all notice,
letter and other communications to the Contractor shall be mailed or
delivered, except in case the said address has been subsequently changed
by the Contractor by notifying the Engineer in writing under registered post.
This shall not preclude the service of any notice, letter or other
communication upon the Contractor personally on getting a formal receipt.

21.15 Oral Agreement:

21.15.1 No oral order, objection, claim or notice by any party to the other
shall effect or modify any of the terms or obligations contained in any of
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 the Contract Documents, and none of the Contract Documents shall be held
to be waived or modified by reason of any act whatsoever, other than
by definitely agreed waiver or modification there of in writing, and no other
evidence shall be introduced in any proceeding of any other waiver or
modification.

21.16 Cleaning Up:

21.16.1 The Contractor shall at all times during the work keep the site and
premises, adjoining property and public property free from accumulations
of waste materials, rubbish and other debris, resulting from the works, and
at the completion of the work shall remove all waste- materials, rubbish and
debris from and about the site and premises as well as all tools,
construction equipment’s and machinery and surplus materials and shall
leave the site and premises clean, tidy and ready for occupancy by the
Engineer. The Contractor shall restore to their original condition those
portions of the site not designated for alteration by the Contract
Documents. Paved walkways, parking areas and roadways shall be swept
and boomed clean.
21.16.2 Cleaning up operations shall include the removal and disposal of
earth that tenders surplus after filling of resulting excavations with sound
compacted earth as directed and approved by the Engineer. No waste
material shall be buried or disposed off on the owner‟s property unless
so approved in writing by the owner. Before the Contractor applied for final
inspection and acceptance of the work, all items of work shall be complete,
ready to operate and in a clean condition as determined by the Engineer.

21.17Owner’s Right To Clean Up:

21.17.1 If the Contractor fails to satisfactorily clean up or if a dispute arises
between the Contractor and any separate Contractor as to their
responsibility for cleaning up, the Engineer may clean up and charge the
cost thereof to the Contractor for his failure, or to the several Contractors
as the owner shall determine to be just.

21.18Certificate:
21.18.1 Each certificate required under the Contract Documents shall be
signed by the individual, officer or agent lawfully authorized to execute the
certificate and such authority shall be cited in the certificate by title,
description, or other acceptable evidence.

21.19 Special Risks:

21.19.1 If during the currency of contract, there shall be an out break of
war (whether war is declared or not), a major epidemic, earthquake or
similar occurrence in any part of the world beyond the control of either party
to the contract, which either financially or otherwise materially affects the
execution of the contract, the owner shall unless and until the contract is
terminated under the provisions of this article, use his best endeavors to
complete the execution of the work, provided always that the owner shall
be entitled by any time after the onset of such special risk to terminate the
contract by giving the written notice, to the Contractor and upon such notice
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 being given, this contract shall terminate but without prejudice to the rights
of either party in respect of antecedent breach thereof.

21.20 Fossils Etc:

21.20.1 All fossils: coins, articles of value or antiquity and structures or other
remains or things of geological or archeological interest discovered on the
site shall be deemed to be the property of the owner and the Contractor
shall take reasonable precautions to prevent his workmen or any other
persons from removing or damaging any such article or things and shall
immediately upon discovery thereof and before removal acquaint the
Engineer of such discovery and carry out at the expense of the owner /
Engineer‟s order as to the disposal of the same.

21.21 Vehicle, Site Office & Data Entry Operator:

21.21.1 On acceptance of the tender the contractor shall provide temporary
site office and one four wheeler vehicle on each site(including driver, fuel
etc.). The site office should be of portable material and shall have sufficient
furniture & fixtures. All relevant I.S. codes and Manuals should be kept in
by the contractor. Other requirements of the site office should be as per
description mentioned in this document elsewhere.

Name: Name:
Designation:
Designation: For <Authority>
For <Contractor> Address:
Address:

Date: Date:
Place: Place:

Witness 1: _______________________ Witness 2: _______________________

Name:____________________ Name:____________________

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 Department of Urban Development
Government of Uttar Pradesh (GoUP)

Septage Management Project (FSTP with

Collection and Transport -32KLD)
Under Design Build Operate & Transfer Model (DBOT)
For ULBs

Uttar Pradesh State

Volume 3: List of Schedules

August 2019

GOMTI POLLUTION CONTROL UNIT,

U.P. JAL NIGAM LUCKNOW

1
 List of Schedules
Septage Management Project

2
Contents
1 SCHEDULE A: PROJECT MILESTONE SCHEDULE ........................................... 5
1.1 Definitions .......................................................................................................................... 5
1.2 Project Milestones .............................................................................................................. 5
2 SCHEDULE B: TECHNICAL SPECIFICATIONS OF SEPTAGE TREATMENT
PLANT ............................................................................................................................... 6
2.1 Definitions .......................................................................................................................... 6
2.2 Overview ............................................................................................................................. 6
2.3 Components and Capacities of the Facilities ..................................................................... 6
2.4 Responsibility of Company ................................................................................................ 8
2.5 Compliance and Compatibility .......................................................................................... 8
2.6 Structural Design Specifications ........................................................................................ 9
3 SCHEDULE C: VACUUM TRUCKS SPECIFICATIONS ..................................... 13
3.1 Specifications of Vacuum Trucks .................................................................................... 13
3.2 Desludging of Septic Tanks ............................................................................................. 14
3.3 Transport to/from Septage Treatment Plant .................................................................... 15
4 SCHEDULE D: TESTING AND COMMISSIONING ............................................. 16
4.1 Definitions ........................................................................................................................ 16
4.2 Construction Completion ................................................................................................. 16
4.3 Commissioning Tests ....................................................................................................... 16
4.4 Provisional Operations Start Date and Operations Start Date......................................... 16
5 SCHEDULE E: MINIMUM QUALIFICATIONS OF AN INDEPENDENT
CONSULTANT .............................................................................................................. 17
6 SCHEDULE F: FORM OF PERFORMANCE SECURITY .................................... 18
7 SCHEDULE G: RAW SEPTAGE SOURCES AND QUALITY ............................. 22
7.1 Definitions ........................................................................................................................ 22
7.2 Raw Septage Sources and Quality ................................................................................... 22
7.3 Raw Septage Quality ........................................................................................................ 22
7.4 Reported Values ............................................................................................................... 22
7.5 Characteristics of Septage ................................................................................................ 22
8 SCHEDULE H: ZONING AND FREQUENCY OF DESLUDGING SERVICE .. 24
9 SCHEDULE I: STANDARDS FOR DESLUDGING AND TRANSPORT OF
SEPTAGE ....................................................................................................................... 25
10 SCHEDULE J: PROJECTED SEPTAGE VOLUME OF HOUSEHOLDS AND
COMMERCIAL ESTABLISHMENTS TO BE SERVED WITHIN THE
CONTRACT PERIOD .................................................................................................. 27
11 SCHEDULE K: TREATED EFFLUENT AND BIO-SOLIDS QUALITY ............ 28
11.1 Definitions ........................................................................................................................ 28

3
11.2 Treated Effluent and Bio-Solids Specifications .............................................................. 28
11.3 Treated Effluent Sampling ............................................................................................... 30
11.4 Treated Water Testing Procedure .................................................................................... 30
11.5 Monitoring Program ......................................................................................................... 33
11.6 Non-Compliance with Treated Effluent Specifications .................................................. 33
12 SCHEDULE L: DESLUDGING SCHEDULE AND OPERATING PROCEDURES
........................................................................................................................................... 34
13 SCHEDULE M: MONITORING AND EVALUATION PROCEDURES ............. 35
13.1 Definitions ........................................................................................................................ 35
13.2 Raw Septage Measurement .............................................................................................. 35
13.3 Treated Effluent Meters .................................................................................................... 35
13.4 Treated Bio-Solids Measurement ..................................................................................... 35
14 SCHEDULE N: FORM OF INVOICE ........................................................................ 36
15 SCHEDULE O: SEPTAGE MANAGEMENT FEE .................................................. 37
15.1 Definitions ........................................................................................................................ 37
15.2 Septage Management Fee Computation Formulae .......................................................... 37
16 SCHEDULE P: CONSENTS ........................................................................................ 38
16.1 Definitions ........................................................................................................................ 38
16.2 List of Anticipated Consents ............................................................................................ 38
17 SCHEDULE Q: INSURANCE ..................................................................................... 39
17.1 Definitions ........................................................................................................................ 39
17.2 Insurance Policies and Terms ........................................................................................... 39
18 SCHEDULE R: TERMINATION BUY-OUT AND TRANSFER PROVISIONS. 41
18.1 Definitions ........................................................................................................................ 41
18.2 Buy-Out Price upon Termination by Company ............................................................... 41
18.3 Buy-Out Price upon Termination by Authority ............................................................... 41
18.4 Termination at end of 8 years of Provisional Project Start Date (6 months construction 3
months commissioning and testing and 7 years O&M) .................................................. 41
18.5 Computation and Payment of Buy-Out Price .................................................................. 41
18.6 Termination Costs ............................................................................................................ 41
18.7 Transfer of Facilities and Project ..................................................................................... 41
19 SCHEDULE S: OWNERSHIP INTERESTS IN COMPANY ........................................ 44

4
1 SCHEDULE A: PROJECT MILESTONE SCHEDULE

1.1 Definitions
1.1.1 Except as otherwise defined in this Schedule A, capitalized terms used in this
Schedule A have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule A is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “A” are references to Sections within this Schedule A.

1.2 Project Milestones

1.2.1 As of the Signature Date, the Project Milestones and the required dates for
achieving them are as follows:
Project Milestone Required Project Milestone Completion
Date
(As of Signature Date)
Required Effective Date 1 months after Signing Date

Required Continuous 6 months after Effective Date

Construction Date
Required Provisional 6 months after Effective Date
Operations Start Date
Required Operations Start 9 months after Effective Date
Date

1.2.2 These dates shall be subject to amendment only in accordance with this
Agreement.

5
2 SCHEDULE B: TECHNICAL SPECIFICATIONS OF SEPTAGE
TREATMENT PLANT

2.1 Definitions
2.1.1 Except as otherwise defined in this Schedule B, capitalized terms used in this
Schedule B have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule B is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “B” are references to Sections within this Schedule B.
2.2 Overview
2.2.1 The Facilities shall be designed and constructed to accept septage from vacuum
trucks, treat it to the standards specified in Schedule G (Treated Effluent and Bio-solids
Specifications). It is the intent that the Septage Treatment Plant shall be suitable in every
way for the service required, and the Company shall design the treatment process; supply
all materials, labour, equipment; and do all work which may be reasonably implied as
being required to meet the prescribed standards.
2.3 Components and Capacities of the Facilities
2.3.1 The Facilities shall include the following major components (not limited to the
same):
Septage Treatment Plant Components
Septage Acceptance Unit
This unit shall be a mechanized equipment that will allow the removal of solid wastes,
grits, rocks and other inert solids associated with the septage. The unit must be provided
with a solid waste collection and storage system.
Septage Dewatering Unit
a) Oil and Grease Removal System. The oil and grease removal may be a stand-
alone unit or integrated in the acceptance or storage tanks. The purpose of this is to
remove substantial amount of floating grease and oil associated in septage prior to
downstream treatment.
b) Biological Treatment System (for filtrate treatment). The biological treatment
system shall be mechanized aerobic/anaerobic system. The primary objective is to
remove most of the organic content (in terms of BOD and COD) of the raw septage or
filtrate.
c) Disinfection System. This must include a chlorination system that will dose
appropriate amount of chlorine for disinfection of the treated effluent prior to discharge to

6
receiving body of water. The disinfection unit must provide sufficient contact time using a
properly designed contact chamber.
d) Excess/Waste Sludge Digester/Stabilization Unit. This unit will handle solids
generated from the biological treatment of the raw septage or filtrate.
Sludge Drying Facilities
a) Septage Baking unit or conveyer based blow dryer (Mechanical Systems) –
Significant water reduction from the end product
Support Systems
a) Flow meters (influent, effluent and sludge recycling)
b) Potable, service and recycle water supply systems
c) Chemical dosing systems (alkali/acid, coagulant, flocculant, chlorine, etc.)
d) Odour control system
e) Effluent pipe line systems
f) Electrical and control systems
g) Generator

Facilities
a) Operations and Maintenance Office
b) Laboratory Room including Laboratory Equipment, Apparatus and Glassware
(including minimum required manpower)
c) Blower Room/Stand-by Generator Set Room
d) Chemical Storage Room
e) Control and Instrumentation Room
f) Storm Drainage
g) Landscaping
h) Fence/Perimeter/Plant Lighting
i) Security Office
j) Parking Space
The design and construction of the facilities shall be based on the total septage collected
from the agreed coverage areas. The design parameters of the Septage Treatment Plant
were based on previous septage reported values. The Company shall
design/construct/supply/install all civil works and electro-mechanical facilities to meet the
following design capacity.
Table B-1: Design Capacity
Year of Operation Design Capacity (KLD)
1-7 Minimum 32

7
2.4 Responsibility of Company
2.4.1 The Company shall be solely responsible in ensuring that harmful elements found
in Raw Septage are removed, destroyed, neutralized, or rendered harmless at the
Septage Treatment Plant such that after processing therein it meets the requirements
specified in Schedule K.
2.4.2 The Company shall be solely responsible for determining the nature, quantities,
and concentrations contained in and carried by the Raw Septage and for providing the
structures, means, processes, plant, energy, labor, and materials and any other
provisions necessary for the transformation of Raw Septage into Treated Effluent and
Bio-solids at the Facilities at all times of the year.
2.4.3 The Company shall design, construct, operate, and maintain the Facilities such
that they are capable of transforming the Raw Septage into Treated Effluent and Bio-
solids of acceptable quality during the term of this Agreement.
2.4.4 The Company shall be solely responsible for Raw Septage Sampling and Data
Collection which the Company will use for designing the Facilities. Schedule F shows the
typical characteristics of raw septage.
2.5 Compliance and Compatibility
2.5.1 Compliance with Legal Requirements, etc. The Company shall design, construct,
operate and maintain the Facilities in accordance with all applicable Legal Requirements
(including all applicable Legal Requirements arising as the result of a Change-in-Law),
Prudent Utility Practice, best international practice and standards, and manufacturers’
recommendations, and, without limitation, the Indian and International Standards listed
below.
2.5.2 Non-Exclusive List of Indian Standards
1. National Building Code (NBC)
2. Indian Standard Codes
3. Model Building Bye-Laws (MBBLs), 2016 framed by the Town and Country
Planning Organisation
4. Manual on Sewerage and Sewage Treatment Systems”, Central Public Health and
Environmental Engineering Organization (CPHEEO), MoUD
5. IS: 2470 (Part I and II). Indian Standard Code of Practice for Installation of Septic
Tanks and Disposal of Septic Tank Effluent, (Latest Edition)
6. National Policy on Faecal Sludge and Septage Management (FSSM), February
2017
2.5.3 Environment Laws and Regulations
1. Water Cess Act, 1977
2. The Water (Prevention and Control of Pollution) Act, 1974
3. The Environment (Protection) Act, 1986
4. Environment Impact Assessment (EIA), 1994

8
 5. Solid Waste Management (SWM) Rules, 2016
6. The Employment of Manual Scavengers and Construction of Dry Latrines
(Prohibition) Act, 1993
2.5.4 Resolution of Conflict between Standards
a) In the event of conflict between the foregoing standards, the regulations of the
appropriate Government/Authority shall take precedence.
b) Any reference to a specification, standard, or publication shall be understood to
refer to the latest edition of the specification, standard, or publication in effect as of the
date of the Request for Proposals. Internationally accepted standards equal to or better
than specified standards or specifications are acceptable.
Design Provisions for Testing of Standby Devices
The Company shall design the electrical wiring and instrumentation system such that all
standby devices are operated on a duty rotation basis.
2.6 Structural Design Specifications
2.6.1 Design Loads
The Company shall be responsible for the selection of the appropriate design loads or
pressures that the structures must be designed to withstand. In no case, however, shall
the design loads and factor of safety be less than the values specified in the reference
standards listed below.
2.6.2 Design for Durability
System Components Economic Design Life
(years)
Concrete structures such as buildings, 30
basins, storage, tanks, etc.
Pipes, Valves and Mechanical 30
Electro-mechanical works/ Instrumentation 15
Works
Access Road 15
Pavement(Asphalt) 15
The Company shall submit to the Authority evidence of track record showing that the
proposed materials have a safety factor of at least 1.25 on design parameters required to
achieve the economic design life specified above. For this purpose concrete materials
shall be designated by design mix and compressive strength. The rest shall be designated
by the appropriate industry standard quality classification. Materials or equipment without
appropriate industry standard quality classification shall not be used.
2.6.3 Strength of Materials

9
Where applicable, the Company shall determine for the Facilities the optimal strength of
materials and combinations thereof considering water tightness, durability, and other
serviceability requirements.
Construction Methods and Quality Assurance System
The documents to be submitted under this Section shall present the construction methods
and procedures including the reason for choosing them. The choice of the construction
methods shall be consistent with the Quality Assurance System, the Health and Safety
Management Program, and the Environmental Management Program described in this
Schedule.
The Quality Assurance System (QAS) shall conform to ISO 9001/9002:2000. The QAS
shall include the following components:

a) Inspection procedures and guidelines;

b) Test procedures and guidelines;
c) List of Do’s and Don’ts in construction operations;
d) Organizational chart showing the flow of documents;
e) Manning schedule;
f) List of equipment and vehicles needed;
g) Documentation system that shall provide audit trail and cover the entire spectrum
of quality control including but not limited to the following:

a) Forms needed in recording results of tests and inspections;

b) Accountability of the certifying officers or employees;
c) Systematic recordkeeping, with at least one back-up file at the Authority Project
Management Office, of all inspection and test results that will allow easy retrieval
and identification of the location of the structural element represented by each
inspection or test certificate; and Periodic performance audit of the documentation
system.

Health and Safety Management Program

a) The Health and Safety Program to be submitted under this Section shall be in
accordance with Occupational Health and Safety Standards (ISO 18001).
b) The Health and Safety Program shall include but not limited to the following:
A construction work plan, which must discuss the merits of the planned construction
methods and sequencing of activities with respect to safety and health management;
1. Emergency response procedures;
2. Telecommunication system;
3. Routine inspection check list;
4. Responsibility assignments;

10
 5. Safety job instructions;
6. Safety paraphernalia;
7. Safety training program;
8. Medical and first-aid system;
9. Recording system that will provide audit trail;
10. Manning schedule; and
11. Budget allocation for the Health and Safety Program spread over the cooperation
period.
c) As a minimum requirement, the Health and Safety Program must be administered
by the following practitioners:
• one (1) Chief Safety Officer;
• two (2) Safety Officer;
• one (1) physician; and
• two (2) first-aid nurses.
Environmental Management Program
a) The Environmental Management Program shall be in accordance with ISO 14001
and shall implement the requirements under Environment Laws and Regulations,
including but not limited to the following concerns:
• Maintenance of ecological balance; and
• Provision of drainage and sanitation facilities for the staff that will prevent human
and animal waste from draining into the water stream to be tapped
b) The Environmental Management Program shall include:
• Bar chart of the implementation of sanitation facilities and other activities to be
done;
• Manning schedule;
• List of equipment and vehicles needed in the program;
• Budget allocation for the Environmental Management Program spread over the
cooperation period.
c) As a minimum requirement, the Environmental Management Program must be
administered by one (1) Environmental Engineer.

11
 Figure 1. The Site

[Insert location map of the Site.]

12
3 SCHEDULE C: VACUUM TRUCKS SPECIFICATIONS
3.1 Specifications of Vacuum Trucks
3.1.1 Category – A 1 m3 Vacuum Trucks
• A) Suction Machine - 1000. capacity suction machine with blow back
arrangement, mounted on 2.70 - 2.80 ton GVW chassis, which can be operated
by auxiliary diesel engine having accessories less.
• A.1 - Tank 1000 lt. capacity IS 2062 grade A 4 mm thick steel plate with 2 inch
suction/drain valve with arrangement for storage of about 10 mt. single hose
length, 100 mm dia compound pressure gauge.
• A.2- 2600 LPM free air flow capacity exhauster/compressor mounted on the front
end of the chassis, capable of creating a maximum vacuum of 90%, maximum
operating vacuum: 200 mbar (80% Vacuum) and shall empty the chamber from
the maximum depth for 4 to 6 m. with provisions of air cooling / forced oil
lubrication cooling, lube oil pump, check valve, 4 way valve, make M/s JUROP
spa-Italy, Black Decker- United States, Aerzen – Germany. origin make type ;
Rotary sliding vanes ; positive displacement.
• Suction Hose – 5 Mtrs x 2 nos. Dunflex /PVC Hose
• A.3 - The exhauster/compressor unit shall be driven by PTO or a single cylinder
10-HP, 4 Stroke handle start, kirloskar/Field Marshal diesel engine.
• A.4 - Pump inlet filter for protection of pump against any ingress of foreign
particles, in both the suction and the overpressure modes of operation.
• A.4 chassis for sewer suction machine 1000 ltrs capacity, Ashok Leyland Dost or
Eq. chassis with cabin.
• Control System – All necessary Indicators such as pressure Gauge, Acrylic Tube
Etc.
• Control System – All necessary Indicators & Instruments.
• Drive System – Drive for Vacuum Pump will be done by PTO.
• Painting – 2 coat of Anticorrosive primer & Enamel metal Paint of Reputed make
as per color choice of Customer.
• Service Facility – We are having on site service facility at Lucknow and nearby
area itself.
•
3.1.2 Category - B 4 m3 Vacuum Truck
Sewer Jetting Cum Suction Machine 4000 Ltrs.
• Technical specifications –
• Suction Machine - 4000 lt. capacity suction machine with blow back
arrangement, Sewer Jetting, mounted on 7.5 ton GVW Van chassis having
accessories less.
• Chassis – 7.5 Ton GVW of Tata LPT 709 WB3800/CAB/PTO
• Body & System –
• Tank Capacity – 4000 Ltrs
• Clean Water Tank – 1000 Ltrs
• Sewage Tank – 3000 Ltrs

13
 • Material – Mild Steel sheet of Grade IS: 2062 with 5 mm Thick for Body & 6 mm
Thick for Rear Dished Ends along with Rust Free Rubberized Coating.
• Tank Mounting on ISMC 125.
• Jetting Pump – Imported ANNOVI Italy
• Upto 30 LPM @ 180 Bar capacity or Eq. for Operations Vacuum Pump – M/s
JUROP spa-Italy, Black Decker- United States, Aerzen – Germany.
• Upto 5300 LPM @ 1.5 Bar capacity or Eq. for Operations Jetting Hose –
15 Mtrs & ½ Inch size along with Auto Twist Reel & Hand Held Gun of 1
Mtrs Length.
• Suction Hose – 10 Mtrs x 2 nos. Dunflex /PVC Hose
• Hydraulic Plant – Hyd. Cylinder, Hyd. Pump, Valves, Filters of ample capacity to
drive the system efficiently.
• Control System – All necessary Indicators such as pressure Gauge, Acrylic Tube
Etc.
• Drive System – PTO Gearbox of VAS make for Drive Pumps. PZB Italy ,GM-
USA,OMSI-USA.
• Painting – 2 coat of Anticorrosive primer & Enamel metal Paint of Reputed make
as per color choice of Customer.
• Jetting Facility to be included in the vehicle.

3.2 Desludging of Septic Tanks

3.2.1 Company to submit to the Authority before start of month schedule of septic tanks
of customers for desludging;
3.2.2 Company and the Authority to notify concerned customers of schedule of
desludging of their septic tanks at least one (1) week in advance;
3.2.3 Household/establishment to open the access manholes of the septic tank;
3.2.4 Company to desludge all accessible chambers of customer’s septic tank but to
leave liquid portion to about 1/3 of the total septage volume of the septic tank;
3.2.5 Company to fill out Customer’s Septic Tank Desludging Form for information on
date and time of desludging, number of chambers, accessibility of each chamber, total
volume desludged, and Customer’s certification on the service rendered;
3.2.6 If there is no septic tank, Customer shall also certify visit by the Company;
3.2.7 Inaccessible households/establishments shall be reported by the Company,
stating why Company is unable to service said households/establishments; better if
Company can get the customer to certify visit;
3.2.8 List of alternate households/establishments should be ready to substitute for
customers without septic tank; Advance notice should also be done;
3.2.9 Three (3) copies of Customer’s Septic Tank Desludging Form: for Customer, for
Company, and for Authority;
3.2.10 May need random inspection

14
3.3 Transport to/from Septage Treatment Plant
3.3.1 Every trip to the FSTP shall be recorded on “Septage Delivery Form” containing
date and time, and volume delivered as verified through the vacuum truck’s contents
level/volume indicator along with a certified government ID proof of the company.
3.3.2 Two (2) copies: for Company and for Authority
3.3.3 May need representative/guard to verify entries
3.3.4 The Company shall be responsible for assessing the route conditions, hauling
distances and volume of traffic in the locality from the various septic tanks to be serviced
to the Septage Treatment Plant.

15
4 SCHEDULE D: TESTING AND COMMISSIONING
4.1 Definitions
4.1.1 Except as otherwise defined in this Schedule D, capitalized terms used in this
Schedule D have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule D is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “D” are references to Sections within this Schedule D.
4.2 Construction Completion
4.2.1 [Describe the steps and procedures for determining completion of all construction
activities including civil works and structures, buildings, installation of mechanical and
electrical equipment, and instrumentation, communication and control systems.]
4.3 Commissioning Tests
4.3.1 [Describe the steps and procedures to demonstrate that all items of infrastructure,
plant, equipment and systems that form part of the Facilities are capable of operating in
accordance with this Agreement. There can be separate pre-commissioning and
commercial operation tests.]
4.4 Provisional Operations Start Date and Operations Start Date
4.4.1 [Describe the particular events, circumstances and test results that will lead to the
issuance of the provisional and final acceptance certificate by the Authority in accordance
with the Agreement.]

16
5 SCHEDULE E: MINIMUM QUALIFICATIONS OF AN INDEPENDENT
CONSULTANT

Position Education Background Experience Requirement

Independent Consultant Graduate in Civil Minimum 10 years of
Engineering (B.E/B.Tech) experience and expertise
in developing and/or
designing and constructing
and operating waste water
/ septage management
/waste to compost/ Bio-
methanation / DEWATS
projects in India or abroad

17
6 SCHEDULE F: FORM OF PERFORMANCE SECURITY
The forms of the Construction Security and the Operating Security are set out below:
SURETY BOND
Know All Men By These Presents:
That we, [COMPANY], a corporation duly organized and existing under and by virtue of
the Companies Act 1956/2013, with office address at [address] and represented by [name
of representative], as PRINCIPAL, and [PERFORMANCE SECURITY ISSUER], a
corporation duly organized and existing under and by virtue of the laws of [country], with
office address at [address] and represented by [name of representative], as SURETY,
are held and firmly bound unto AUTHORITY in the sum of Rs. [__________] for the
payment of which sum, well and truly to be made, we bind ourselves, our successors and
assigns, jointly and severally, firmly by these presents.
The conditions of this Surety Bond are as follows:
WHEREAS, PRINCIPAL, on [date], executed a Septage management project Agreement
(“Agreement”) with AUTHORITY to develop, finance, design, construct, test, commission,
own, operate, manage and maintain facilities required to abstract up to [32] Kilo Liters per
day of Faecal Sludge from the [insert raw water source and location], Uttar Pradesh, to
treat such Faecal Sludge into potable water and Biosolids.
WHEREAS, except as otherwise defined in this Surety Bond, capitalized terms used
herein shall have the meanings assigned to them in the Agreement.
WHEREAS, this section of the Agreement requires PRINCIPAL to post and deliver a
surety bond callable on demand in favour of AUTHORITY for the faithful performance by
PRINCIPAL of its obligations under the Agreement from the Provisional Operations Start
Date until the Termination Date of the Agreement;
NOW THEREFORE, if PRINCIPAL shall faithfully perform all the undertakings,
covenants, terms, conditions and agreements under the Agreement from Provisional
Operations Start Date until the Termination Date of the Agreement, then this Surety Bond
shall be null and void; otherwise, it shall remain in full force and effect. This bond is a
penal bond callable on demand by AUTHORITY upon the failure of PRINCIPAL faithfully
to perform its obligations under the Agreement from the Provisional Operations Start Date
until the Termination Date.
The AUTHORITY is hereby irrevocably authorized to make one or more claims for
payment against this Surety Bond by presenting to SURETY, at its address set forth
above, a written notice, in substantially the form attached as Annex A hereof, that
PRINCIPAL has failed to faithfully to perform any of its obligations under the Agreement
from the Provisional Operations Start Date until the Termination Date. The aggregate
amount of all claims for payment made by AUTHORITY shall not exceed Rs
[__________]. Upon receipt of a written notice, SURETY shall pay the amount specified

18
in the notice at the opening of business on the first or second Business Day succeeding
the date of such claim for payment notwithstanding any objection which PRINCIPAL might
raise against AUTHORITY’s entitlement to payment. The liability of SURETY under this
Surety Bond shall expire on termination of the Agreement and SURETY does not assume
responsibility for any liability incurred or created thereafter. This Surety Bond will be
cancelled ten (10) days after the expiration unless SURETY is notified in writing of any
existing obligation hereunder. This Surety Bond shall be governed by and construed in
accordance with the laws of India.
IN WITNESS WHEREOF, we have set our hands and signed our names on the [date]
day of [month] [year] at [city], Uttar Pradesh.

[COMPANY]
Principal
By:

Authorized Representative

[PERFORMANCE SECURITY ISSUER]

Surety
By:

Authorized Representative

ACKNOWLEDGMENT
[City])
BEFORE ME, a Notary Public for and in [City] this [date] day of [month] [year] personally
appeared:
Date of Issue Place of Issue
Company Registration No..

19
[Company]
[Authorized Representative of Company]
[Performance Security Issuer]
[Authorized Representative of Performance Security Issuer]

all known to me and to me known to be the same persons who executed the foregoing
Surety Bond and they acknowledged to me that the same is their own free voluntary act
and deed.

WITNESS MY HAND AND SEAL, on the date, year and place written above.
Notary Public
Doc. No. ______;
Page No.______;
Book No.______;
Dated __/__/20__.

20
Annex A. Surety Bond
NOTICE OF DEMAND
To: [PERFORMANCE SECURITY ISSUER]
[Address]
Attn: [.]
Re: Surety Bond No. [.]
The undersigned, a duly authorized officer of [Authority], with its principal office at
[__________________________________], make reference to the Septage
management project Agreement (“Agreement”) dated as of [.] between Authority and
[Company], a corporation duly organized and existing under and by virtue of the laws of
[.], with office address at [.]. Authority hereby demands payment under the Surety Bond
in the amount of Rs. [____________________] as penalty payment by [Company] under
the Agreement for one or more of the following reasons:
[specify breach by Company and proof of consequent damages]
The aggregate amount of this claim and the other previous claims paid under the Surety
Bond do not exceed the amount of Rs. [____________________].
IN WITNESS WHEREOF, Authority has executed and delivered this notice on the [date]
day of [month] 200[.] at [city], Uttar Pradesh.

AUTHORITY
By:
[Name of Authorized Representative]
[Title]

21
7 SCHEDULE G: RAW SEPTAGE SOURCES AND QUALITY
7.1 Definitions
7.1.1 Except as otherwise defined in this Schedule F, capitalized terms used in this
Schedule F have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule F is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “F” are references to Sections within this Schedule F.
7.2 Raw Septage Sources and Quality
7.2.1 The Septage Treatment Plant is basically intended to accept raw septage only from
septic tanks receiving wastes from domestic sources. Other sources such as commercial,
industrial, hospital sources, etc. can only be accepted if they have CPCB-approved on-
site primary treatment facilities prior to septage collection.
7.3 Raw Septage Quality
7.3.1 Aside from sewage, Raw Septage contains silts, grits, plastics, rags, hair, grease,
scum, and “uncommon” material such as cans, sanitary napkins and dead animals.
Septage is highly malodorous due to its low reduction-oxidation (i.e., anaerobic
conditions) coupled with the presence of methane, sulphur compounds (hydrogen
sulphide) and volatile fatty acids.
7.4 Reported Values
7.4.1 Septage can contain over 30 times the BOD concentration of sewage and 70 times
the amount of solids and 80 times the amount of grease. The COD to BOD ratio in
domestic waste water typically ranges from about 1.8 to 2.2. Septage has a COD to BOD
ratio of 4 to 9, indicating the presence of a significant non-biodegradable/ inorganic
component. Hence, septage must be treated more extensively than ordinary sewage.
7.5 Characteristics of Septage
7.5.1 The factors which influence the characteristics of septage are the design of the
OSS (On Site Sanitation), food habits of users, the performance of septic tanks, tank-
emptying technology and pattern, the intrusion of groundwater, temperature, admixtures
to septage like grease, kitchen, or solid waste, and the storage duration, which can last
from months to years. These characteristics have practical implications for treatment. For
example, septage which is still rich in organic matter and has not undergone significant
degradation is difficult to dewater. Conversely, septage that has undergone significant
anaerobic degradation such as from septic tanks or anaerobic baffled reactors (ABRs) -
in other words, which is stabilized - is more easily dewatered. All these factors influence
the characteristics of faecal sludge. Septage is a very variable material. Consequently,
management systems need to be designed on a case-by-case basis. The Table given
below compares characteristics of septage from onsite sanitation facilities and
wastewater sludge.

22
Table: Characteristics of Septage (Fresh Faecal Sludge) – Sample collected at Jhansi on
24th April 2019.
S.No. Sample Parameters CPCB Standard Sample Value
for effluent (Fresh Faecal
discharge (w.e.f. Sludge)
13th October 2017)
1 pH 6.50-9.00 7.2 ± 0.2%
2 TS ± Error% (95% C.I.) (mg/L) <2100 17490.0 ± 0.8%
3 TDS ± Error% (95% C.I.) (mg/L) 2090.0 ± 0.2%
4 TSS* ± Error% (95% C.I.) (mg/L) <50 15400 ± 1.0%
5 COD ± Error% (95% C.I.) (mg/L) 23500.0 ± 0.5%
6 BOD (mg/L) <50 665
7 TKN ± Error% (95% C.I.) (mg/L) <100 713.4 ± 2.4%
8 Ammonical Nitrogen ± Error% <50 269.9 ± 0.5%
(95% C.I.) (mg/L)
9 Total Phosphate ± Error% (95% <4.5 121.0 ± 2.8%
C.I.) (mg/L)
10 Faecal Coliform <1000 2.4 × 106

23
8 SCHEDULE H: ZONING AND FREQUENCY OF DESLUDGING
SERVICE
[To be filled in by Authority at a later stage]

24
9 SCHEDULE I: STANDARDS FOR DESLUDGING AND TRANSPORT
OF SEPTAGE
Typical Duties and Responsibilities:
Typical duties and responsibilities of FS (Faecal Sludge) collection and transport service
providers include those that occur prior to the FS removal, the FS collection itself, and the
subsequent transportation of the FS to the treatment facility.
When emptying the FS from onsite systems, a number of tasks are performed in
accomplishing the job.
Ideally, a typical job requires the service provider to:
a) interact with customers prior to removing FS to arrange logistics and inform
them of procedures;
b) share the standardised fee or negotiate one, depending on the business
model;
c) locate onsite sanitation systems that are to have sludge removed;
d) determine the accessibility of the system once it is located;
e) open the system to facilitate the process;
f) collect the FS;
g) evaluate the condition of the system post-collection;
h) close and secure the system once the FS removal has been completed;
i) clean up after the process is completed; and
j) perform the final inspection and report any issues with the system to the
customers after the service is completed
Tools Requirements
Some tools common to all service providers include:
a. shovels, pry bars and probes to locate tanks and manholes;
b. screwdrivers and other hand tools to open manholes and access port lids;
c. long handle shovels and buckets which may be necessary to remove solids
that cannot otherwise be
d. removed;
e. hooks to remove non-biodegradable solids;
f. hoses for FS pumping as well as for adding water to tanks if available; and
g. safety equipment including:
i. wheel chocks to prevent the vehicle from moving when parked;
ii. personal protective equipment such as hardhat, face protection, eye
protection, boots, gloves, Jump Suit (protective Clothing) etc.;
iii. disinfectants, barriers, sorbents and bags for cleaning up and
collecting spilled material.
iv. Employees of the collection and transport company should be
responsible for maintaining tools and

25
 v. equipment in proper working order, and reporting to supervisors
when repairs are required.
Transportation
The following emptying/desludging equipment’s can be employed:
a) Vacuum truck as per Specifications given under Schedule C.
b) Vehicle already purchased by the ULB post maintenance and subject to
clearing the specifications as per the document, over and above the
mandatory 3 vehicles.
Further, the transport trucks should be able to reach out to every house and the collection
mechanism for inaccessible toilets due to poor road access also needs to be considered
during the preparation of the FSSM plan (Contractor has to prepare a comprehensive
FSSM plan).
Further, the transport trucks should be leakage free. Considering the distance of the
treatment plant the transportation supervision and easiness in transportation also needs
to be looked upon. It is essential to ensure that desludging trucks are disposing the faecal
sludge only at the designated treatment facilities.
In addition to the above it is to be noted that there should be strict adherence to operating
guidelines as described in the following Toolbooks/Guidelines:
a. CPHEEO Guidelines on Standard Operating Procedure (SOP) for Cleaning
of Sewers and Septic Tanks
b. Primer on faecal sludge as prescribed under the Swachh Bharat Mission
c. Guidelines on Septage Management by CPCB

26
10 SCHEDULE J: PROJECTED SEPTAGE VOLUME OF
HOUSEHOLDS AND COMMERCIAL ESTABLISHMENTS TO BE SERVED
WITHIN THE CONTRACT PERIOD

List of Cities for FSTP project in Uttar Pradesh (32 KLD Each)
S.No. Cities Population (Census
2011)
1 Aligarh 8,74,408
2 Moradabad 8,87,267
3 Ayodhya 4,50,899
4 Pandit Deendayal Upadhyay Nagar 1,09,650
5 Pilibhit 1,30,428
6 Shahjahanpur 3,39,452

27
11 SCHEDULE K: TREATED EFFLUENT AND BIO-SOLIDS QUALITY
11.1 Definitions
11.1.1 Except as otherwise defined in this Schedule K, capitalized terms used in this
Schedule K have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule K is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “K” are references to Sections within this Schedule K.
11.2 Treated Effluent and Bio-Solids Specifications
11.2.1 Treated Effluent from the Septage Treatment Plant discharging to water bodies
should meet the standards set by the CPCB/SPCB for all parameters as listed in Table
10:1.
Table 10:1: Treated Effluent Specifications
SN Parameter Concentration not to exceed
1 BOD <=10 ppm
2 COD <=50 ppm
3 TSS <=20 ppm
4 TN (Total Nitrogen) <=10 ppm
5 TP (Total Phosphorous) <=1 ppm
6 C/N ratio 20-40
7 PH 5.5-8.5
8 Faecal coliform <100MPN/100ml and permissible 230MPN/100ml
(FCO) as per SWM Rules, 2016 and Dept. of Fertilizers.
Dewatered septage if, to be used as a fertilizer it should satisfy the following criteria of
Class-A Bio-solids of US EPA (CEPT, 2015).
• Salmonella sp. Density < 3 MPN/ 4 g of total dry solids
• Helminth egg concentration of < 1/g total solids (WHO, 2006)
• E coli of 1000/g total solids (WHO, 2006).

28
The requirements for the quality of Treated Bio-solids are shown in Table 10:2.
Table 10:2: Recommended Specifications for Bio-solids, as per usage, if required.
(a)
Parameter Plain Organic Compost or Soil Fortified
Fertilizer Conditioner Organic
Fertilizer
Total NPK 5-7% 3-4% Min 8%
C:N 12:1 12:1 12:1
Moisture Content <= 35% <= 35% <= 35%
Organic Matter >= 20% >= 20% >= 20%

(b)
Parameter Dry weight concentration, mg/kg
Lead (Pb) 750
Copper (Cu) 300

(c)
Parameter Limit
Fecal Streptococci < 5 x 10^3/g compost
Fecal Coliforms < 5 x 10^2/g compost
Salmonella 0
Infective Parasitic 0

(d)
Classification Requirements
Class B (External a) Treatment by processes to significantly reduce
Use i.e. Bathing, pathogens or equivalent processes.
Washing etc.) b) At least seven samples should be collected at the
time of use or disposal and analyzed for fecal
coliform during the monitoring period. The geometric
mean of the densities of these samples will be
calculated and should meet the following criteria:
less than 2.0 x 10^6 MPN/g total solids or less than
2.0 x 10^6 colony forming units (CFU)/g total solids.
(As per CPHEEO/SBM Guidelines)

29
11.3 Treated Effluent Sampling
11.3.1 Basic Considerations in Sampling
The basic considerations should be taken into account in the selection of the sampling
location:
a) The location must provide a sample that is representative of the final effluent
discharged to receiving body of water.
b) It must be downstream of all treatment processes.
c) The station should be such that the flow rate of the effluent can be measured.
d) The station must be accessible. Safety of the person conducting the sampling must
be considered in selecting the site.
Sampling stations or discharge outlets established by the Company must be clearly
reflected in the Drainage Layout of the Septage Treatment Plant. This will facilitate
sampling by the Company, Authority, Independent Laboratory and CPCB.
11.4 Treated Water Testing Procedure
11.4.1 Routine Sampling and Testing by the Company
Routine sampling and testing of Treated Effluent shall be undertaken by the Company
according to the schedule and methods specified in Table 10:1. The Company may
analyze the samples at a laboratory forming part of the Facilities or at an external
laboratory or a combination of the two provided only that the competence of the
equipment, staff, procedures and record-keeping of the laboratory shall be certified for
each analysis required by the Company to be performed there by regular inspection and
testing by an internationally recognized laboratory testing organization or, by
CPCB/SPCP. Copies of the certification and renewal of accreditation of each laboratory
shall be provided to the Authority within one (1) week of their receipt by the Company.
The results of the sampling and testing of Treated Effluent shall be fully reported to the
Authority at weekly intervals. Any sample failing to meet the specification for Treated
Effluent shall be reported to the Authority within 48 hours of the analysis results becoming
available.
The Company shall allow the Authority unrestricted access to the records of the taking
and testing of Treated Effluent samples and to the original records of the results of the
laboratory analyses, which the Company shall keep for a minimum of three (3) years
before archiving.
The Company shall bear the cost of all routine taking and analysis of Treated Water
samples in accordance with Table 10:1.
In the event that the Company shall be found to have omitted to take a sample of Treated
Effluent or to have omitted to perform a test required in accordance with Table 10:1 then
for the purposes of this Agreement each Treated Effluent parameter listed in Table 10:1
that is untested as a consequence of such omission shall be deemed to have exceeded

30
its maximum permitted value and the consequent provisions of this Agreement shall
apply.
11.4.2 Sampling and Testing by the Authority
The Company shall allow the Authority or its nominee’s access to the Facilities for the
purpose of taking samples of Treated Water for testing at the Authority’s laboratory or at
an external laboratory. The Authority shall give the Company at least two (2) hours- notice
of its intention to visit the Facilities for the purpose of taking samples of Treated Water
and shall at all times respect and obey the same written safety and hygiene procedures
that the Company requires of its own staff.
The Authority shall bear the full cost of the taking and analysis of its own samples of
Treated Water, whenever it desires to self test the samples.
11.4.3 Joint Sampling and Testing by the Company and the Authority
In the event that the Authority shall assert and the Company shall deny that the
concentration at the discharge point of any parameter has exceeded its maximum
permitted value the Company and the Authority shall in the first instance within 24 hours
constitute a sampling and analysis team made up of equal number of suitably qualified
staff nominated by the Company and the Authority respectively (the “Joint Sampling And
Analysis Team”). The Joint Sampling and Analysis Team shall together immediately take
samples for testing at the laboratories used by the Company and the Authority for the
analysis of Treated Water for the Critical or Non-Critical Parameters whose concentration
in Treated Water is contested. The Joint Sampling and Testing Team or its
representatives shall jointly certify the validity and accuracy of the results obtained or shall
in writing describe the shortcomings in equipment or procedures that shall have given
them cause to refuse such certification and shall have the right to undertake or witness
the analysis of the samples at each laboratory.
In the event that the two results obtained by the Joint Sampling And Analysis Team are
both certified and in agreement that the concentration of any parameter asserted by the
Authority to have exceeded its maximum permitted value has or has not exceeded its
maximum permitted value then this result shall be binding on both the Company and the
Authority and the applicable terms of this Agreement shall apply. Otherwise the Company
and the Authority shall agree to either request the Joint Sampling and Analysis Team to
take and analyze two additional samples or the dissenting party shall invoke and bear the
cost of the procedure for Independent Sampling and Testing specified in Section 10.4.4.
11.4.4 Independent Sampling and Testing
If the procedure for Joint Sampling and Testing specified in Section 10.4.3 is inconclusive
and either the Company or the Authority refuses to request the Joint Sampling and
Analysis Team to take and analyze additional samples then the dissenting Party shall
invoke the requirements of this Section 10.4.4 by notifying the other Party in writing. The
written notification shall include the name, address and contact details of a laboratory,

31
certified and accredited to the standards required by Section 10.4.1 (the “Independent
Laboratory”), that the dissenting Party proposes to employ at its sole cost to take and
analyze definitive samples of Treated Water. The non-dissenting Party shall within one
(1) working day from the receipt of the dissenting Party’s notification give its written
agreement to the engagement of the proposed Independent Laboratory or shall propose
an alternative and similarly accredited laboratory to be the Independent Laboratory.
If within a further two (2) working days the Company and the Authority are unable to agree
on the nomination of the Independent Laboratory then the dissenting Party shall have the
right to invoke the process for the independent selection of the Independent Laboratory
set out in Section 10.4.5. The Independent Laboratory shall be required to immediately
take a sample of Treated Water in the quantities and conditions for the analyses required
to determine the concentrations of the Critical or Non-Critical Parameters whose
concentration in Treated Water is contested (the “Independent Sample”).
The Company and the Authority shall immediately grant the Independent Laboratory
access to the Facilities for the purpose of taking the Independent Sample. The Company
and the Authority may witness but shall on no account interfere with or obstruct the taking,
labelling and dispatch of the Independent Sample by the Independent Laboratory for
analysis. The Independent Laboratory shall be required to transmit the results of the
analysis of the Independent Sample simultaneously to the Company and the Authority
within one (1) working day of completion of the analysis. The results of the analysis by
the Independent Laboratory shall be binding on both the Company and the Authority in
the determination of whether the Treated Water is or is not compliant with the
requirements of this Agreement.
11.4.5 Independent Selection of the Independent Laboratory
If the Company and the Authority are unable to agree on an Independent Laboratory
fulfilling the requirements of Section 10.4.4 above within three (3) working days of the
receipt by the other Party of the dissenting Party’s first notification in accordance with
Section 10.4.4 then the dissenting Party invoking the provisions of Section 10.4.4 shall
notify the other Party in writing of its intention to nominate two experts to carry out the
selection of the Independent Laboratory in accordance with the provisions of this Section
10.4.5. This written notification shall include the names and contact addresses of two
experts who shall be independent of both the Company and the Authority and shall hold
internationally recognized qualifications in water chemistry and analysis (the
“Independent Experts”). Upon receipt of this written notification the other Party shall have
one (1) working day to require that the dissenting Party replace one of the proposed
Independent Experts with an Independent Expert of its own choosing by giving written
notification to the dissenting Party of the name of the Independent Expert it wishes to be
replaced and the name and contact details of the Independent Expert it proposes as a
substitute or it shall be deemed to have accepted both of the Independent Experts
nominated by the dissenting Party. The dissenting Party shall then engage the services
of the Independent Experts to select the Independent Laboratory in accordance with the

32
remaining provisions of this Section 10.4.5. The two Independent Experts shall jointly
select a third similarly qualified Independent Expert and by simple majority the three
Independent Experts shall between themselves and without consultation with the
Company or the Authority:
a) select and engage a sampling team consisting of one or more individuals meeting
the requirements of Section 10.4.5 but not including employees of the Company and the
Authority who shall be competent and available to take samples of Treated Water in
accordance with the provisions of this Section 10.4.5 (the “Independent Sampling Team”)
b) commission the Independent Sampling Team to take two samples of Treated
Water in the quantities, conditions and containers required for the analyses required to
determine the concentrations of the Critical or Non-Critical Parameters whose
concentration in Treated Water is contested (the “Independent Sample”)
c) identify and engage the services of a laboratory certified by an internationally
recognized laboratory testing and certification organization as competent to determine
the concentrations of the Critical or Non-Critical Parameters whose concentration in
Treated Water is contested that shall analyze the Independent Sample (the
“Internationally Certified Independent Laboratory”).
11.4.6 Manpower
All personnel involved in the water quality analysis shall be qualified and trained to
perform all works related to the day to day operations of the laboratory accredited by the
CPCB/SPCB.
11.5 Monitoring Program
11.5.1 Frequency of testing
The testing will be done in accordance with the parameters required by NGT or/and
CPCB/SPCB. At the minimum, a monthly effluent sampling is to be reported to PCB and
Authority as an attachment to its self-monitoring report (SMR). Any Party may, however,
request to have more frequent or less frequent testing upon written notice to the other
Party in accordance with Table 10:1. Such change of frequency of testing will be
implemented once the requesting Party receives written approval from the other Party.

11.6 Non-Compliance with Treated Effluent Specifications

11.6.1 Where the results of the analyses of Treated Effluent samples carried out in
accordance with the provisions of Section 10.3 show that the concentration of one or
more of the Parameters has exceeded the maximum concentration specified in Table
10:1 then the Company must rectify the treatment system within seven (7) days for the
effluent to meet the prescribed standards.
11.6.2 Any penalty arising from non-compliance to effluent standards shall be borne by
by the Company.

33
12 SCHEDULE L: DESLUDGING SCHEDULE AND OPERATING
PROCEDURES
[To be filled in by Authority at a later stage]

34
13 SCHEDULE M: MONITORING AND EVALUATION PROCEDURES

13.1 Definitions
13.1.1 Except as otherwise defined in this Schedule M, capitalized terms used in this
Schedule M have the respective meanings assigned to them in the Septage Management
Project Agreement between the ULB and the Company to which this Schedule M is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “M” are references to Sections within this Schedule M.
13.2 Raw Septage Measurement
13.2.1 [Describe the (1) technical specifications for Raw Septage measurement, (2)
procedure for making measurements from Raw Septage measurements.]
13.3 Treated Effluent Meters
13.3.1 [Describe the (1) technical specifications for Treated Effluent meters, (2) procedure
for making readings from Treated Effluent meters, (3) procedure for recalibration of
Treated Effluent meters.]
13.4 Treated Bio-Solids Measurement
13.4.1 [Describe the (1) technical specifications for Treated Bio-Solid measurement, (2)
procedure for carrying out measurement of Treated Bio-Solids.]

35
14 SCHEDULE N: FORM OF INVOICE
To:
THE AUTHORITY
Billing Month Number: _______________
Date of Submission: _________________
Date of Receipt: ____________________
Due Date: _________________________

1. Septage Management Fee Computation:

2. Computation of Penalties Applicable to Billing Month

3. Computation of Total Amount Due

4. Payment Instructions

36
15 SCHEDULE O: SEPTAGE MANAGEMENT FEE
15.1 Definitions
15.1.1 Except as otherwise defined in this Schedule O, capitalized terms used in this
Schedule O have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule O is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “O” are references to Sections within this Schedule O.
15.2 Septage Management Fee Computation Formulae
The formulae for the computation of the Septage Management Fee in accordance with
Section 8 of Volume 2: Contract Document.

37
16 SCHEDULE P: CONSENTS
16.1 Definitions
16.1.1 Except as otherwise defined in this Schedule P, capitalized terms used in this
Schedule P have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule P is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “P” are references to Sections within this Schedule P.
16.2 List of Anticipated Consents
16.2.1 The list of Consents that the Parties anticipate as of the Execution Date will be
required for the implementation of the Project is set out in Table 16.1. The Parties
acknowledge and agree that (i) this list is illustrative and not exclusive and that other
Consents may be required in order to implement the Project and (ii) except as provided
in the Agreement or as Authority may otherwise agree in writing, Company shall be
responsible at its sole cost and expense for obtaining and maintaining all Consents,
including any Consents that are not listed in Table 16.1 that may be required.
TABLE 16.1: LIST OF ANTICIPATED CONSENTS
CONSENT
1 ULB for Septage Management Fee adjustment
2 State Pollution Control Board
2.1 Environmental Compliance Certificate
2.2 Soil Disposal Site Permit/Industrial Waste Permit
2.3 Special Land Use Permit, if applicable
2.4 Proof of compliance with CPCB/SPCB Administrative Order No.
97-05 on the retention of areas within certain distances along the
banks of rivers and streams, if applicable
3 National Green Tribunal
3.1 Consent to operate
4 Concerned ULBs
4.1 Municipal Commissioner/Mayor’s permit and license
4.2 Sanitary/plumbing permit
4.3 Electrical, mechanical permit
4.4 Building, excavation permit
4.5 Health/sanitation certificate

38
17 SCHEDULE Q: INSURANCE
17.1 Definitions
17.1.1 Except as otherwise defined in this Schedule Q, capitalized terms used in this
Schedule Q have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule Q is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “Q” are references to Sections within this Schedule Q.

17.2 Insurance Policies and Terms

17.2.1 Insurance Coverage during the Construction Period
[List all required insurances during the Construction Period which may include:
• Marine cargo/transit
• Delay in start-up
• Construction/erection all risks
• Third party liability
• Workmen’s compensation/employer’s liability
• Motor vehicle and other personal property.]
For each type of insurance, specify the following:
• Minimum Cover: [__________]
• Minimum Sum Insured: [__________]
• Minimum Sub-limits: [__________]
• Maximum Deductible: [__________]
• Period of Cover: [__________]
• Insured Parties: [__________]
• Required Coverage: [__________]
• Required Extensions: [__________]
• Permitted Exclusions: [__________]
17.2.2 Insurance Coverage after Operations Start Date
The insurance coverage under this Section 17.2.2 shall be reviewed [______] Days
before the Required Operations Start Date.
[List all required insurances during the Operating Period which may include:
• All risks insurance
• Business interruption
• Comprehensive general liability
• Terrorism

39
 • Workmen’s compensation/employer’s liability
• Motor vehicle and other personal property

For each type of insurance, specify the following:

• Minimum Cover: [__________]
• Minimum Sum Insured: [__________]
• Minimum Sub-limits: [__________]
• Maximum Deductible: [__________]
• Period of Cover: [__________]
• Insured Parties: [__________]
• Required Coverage: [__________]
• Required Extensions: [__________]
• Permitted Exclusions: [__________]
17.2.3 Insurance Policy endorsements
[State the provisions or other clauses which should be incorporated in the insurance
policies required under the Agreement.]

40
18 SCHEDULE R: TERMINATION BUY-OUT AND TRANSFER
PROVISIONS

18.1 Definitions
18.1.1 Except as otherwise defined in this Schedule R, capitalized terms used in this
Schedule R have the respective meanings assigned to them in the Septage Management
Project Agreement between the Authority and the Company to which this Schedule R is
annexed (the “Agreement”). Unless otherwise specified, all references to Sections without
other attribution are references to Sections of the Agreement and references to Sections
beginning with the letter “R” are references to Sections within this Schedule R.
18.2 Buy-Out Price upon Termination by Company
All the assets to be under the ownership of the Authority from the date of commencement
of project
18.3 Buy-Out Price upon Termination by Authority
All the assets to be under the ownership of the Authority from the date of commencement
of project
18.4 Termination at end of 8 years of Provisional Project Start Date (6 months
construction 3 months commissioning and testing and 7 years O&M)
18.4.1 If the Termination Date occurs, the Company shall transfer/handover the Facilities
and the Project to the Authority at no cost to the Authority.
18.5 Computation and Payment of Buy-Out Price
18.5.1 NA
18.6 Termination Costs
18.6.1 The Parties agree to carry out the transfer of the Company’s rights, title, and
interest in the Facilities and the Project and the payment of the Buy-Out Price in a way
that would minimize Termination Costs.
18.7 Transfer of Facilities and Project
18.7.1 Assets to be transferred
If the Company’s right, title, and interest in the Facilities and the Project is required to be
transferred to the Authority pursuant to this Agreement, upon payment by the Authority of
the relevant buyout price, if any, determined in accordance with Section 18.2 or Section
18.3 of this Schedule R or, if no payment is required to be made by the Authority
hereunder, immediately upon termination of this Agreement:

a) The Company shall transfer to the Authority, free and clear of all Liens, all of the
Company’s right, title, and interest in the Facilities and the Project, including, in so far as

41
they are part of or used in, to, and for the Facilities and the Project, all of the Company’s
right, title, and interest in, to and under:
i. all raw materials, consumables, and spare parts;
ii. all tangible personal property;
iii. all intangible personal property, including patents, patent licenses, patent
applications, trade names, trademarks, trademark registrations, and applications therefor,
trade secrets, copyrights, know-how, secret formulae, and any other Intellectual Property
Rights;
iv. all Consents, including without limitation the water permit,
v. all buildings and fixtures;
vi. computerized and non-computerized records, reports, data, files, and information;
(vii) all drawings, test results, and documents;
vii. all warranties of equipment, materials and work;
viii. all contract rights and insurance policies;
ix. all work in progress under contracts with vendors, suppliers, contractors, and
subcontractors; and
x. all rights with respect to any insurance proceeds payable to or for the account of
the Company, but unpaid at the date of termination of this
xi. Agreement, in respect of Company’s right, title, and interest in, to and under the
Facilities and the Project; and
b) The Company shall pay to the Authority amounts, if any, required to be paid by the
Company to the Authority hereunder.
18.7.2 Pre-Termination Date Inspection and Repair
Not later than the 2nd year of the Provisional Operations Start Date or, in the event the
Termination Date will occur earlier than the 2nd year of the Provisional Operations Start
Date, as soon as practicable after such earlier Termination Date is known to the Parties,
the Company shall permit the Authority to inspect the Facilities. Based on the Authority’s
inspection, the Authority shall issue to the Company a schedule of replacements and
repairs of the Facilities that are required in accordance with Prudent Utility Practice and
to meet the technical specifications indicated in Schedule B. Thereafter, the Company
shall promptly carry out the required replacements and repairs. The Authority shall issue
a certificate of compliance after the satisfactory completion of repairs and replacements
by the Company and before the payment of the buyout price.
18.7.3 Pre-Termination Date Inspection and Repair
Not later than 45 Days prior to the expected Termination Date, the Company shall deliver
to the Authority the required maintenance spare parts and consumables sufficient for
three (3) months operation after the Termination Date. For the purpose of determining the
quantities required, the Company shall furnish the Authority, within one month (1)
following the end of the Contract Year preceding the Contract Year in which the

42
Termination Date is expected to occur, a copy of its annual record of spare parts and
consumables utilization and consumption.
18.7.4 Responsibility for Obtaining Consents to Transfer
The Authority shall be responsible for obtaining or effecting, at its own cost, all Consents
needed in order to obtain title to the Facilities and the Project and otherwise effectuate
the transfer of all of the Company’s right, title, and interest in the Facilities and the Project.
The Company shall cooperate with the Authority in the identification and acquisition of
such Consents, including providing reasonable assistance in the preparation of requests
for such Consents.
18.7.5 Training of Personnel
On or before the date falling not later than twelve (12) months before the Termination
Date, the Company shall arrange for the training of such personnel as the Authority shall
determine are required to operate the Facilities after the Termination Date in accordance
with the Operating Standards and Operating Procedures.

43
19 SCHEDULE S: OWNERSHIP INTERESTS IN COMPANY

Table S-1: Sponsors’ Initial Ownership Interests

Sponsor No. of Common Direct and Indirect
Shares Ownership Percentage

Table S-2: Initial Shareholders

Sponsor No. of Common Ownership Percentage
Shares

44
 REQUEST FOR PROPOSAL
of

Septage Management Project (FSTP

with Collection and Transport – 32KLD)
Under Design, Build, Operate & Transfer Model (DBOT)
for
Uttar Pradesh State

RFP for Cities of U.P.

August 2019

GOMTI POLLUTION CONTROL UNIT,

U.P. JAL NIGAM LUCKNOW
 Request for Proposal
Septage Management Project
Contents
1) NOTICE FOR INVITATION OF BIDS ........................................................................................... 5
2) INVITATION FOR PROPOSALS ................................................................................................. 8
2.1 INTRODUCTION .................................................................................................................. 8
2.1.1. Background ................................................................................................................... 8
3) SCHEDULE OF BIDDING PROCESS ......................................................................................... 9
4) INSTRUCTION TO BIDDERS .................................................................................................... 10
4.1 DEFINITIONS AND INTERPRETATIONS .......................................................................... 10
4.2 GUIDANCE TO THE BIDDERS .......................................................................................... 12
4.2.1. Data Sheet................................................................................................................... 12
4.2.2. Section-1 ..................................................................................................................... 14
4.2.3. Brief Scope of Work ..................................................................................................... 14
a) Approach and work plan for carrying out scheduled emptying ............................................ 16
b) Undertaking IEC activities to spread awareness about scheduled emptying. ...................... 16
c) Undertaking preliminary visits to households/properties at the beginning of every quarter: . 16
d) Non-disclosure of information ............................................................................................. 16
e) Regular emptying of septic tank .......................................................................................... 16
f) Use of safety gear for emptying of septic tanks ................................................................... 17
g) No damage to septic tanks and spillage while emptying: .................................................... 17
h) Adequate emptying of septic tanks: .................................................................................... 17
i) Safe transport of faecal sludge without spillage .................................................................. 17
j) Emergency emptying: ......................................................................................................... 17
k) Collected septage to be discharged only into the Faecal Sludge Treatment Plant (FSTP) .. 17
l) Provision of suction emptier vehicle: ................................................................................... 18
m) Provision of staff for operations: ...................................................................................... 18
n) Opening of a work station / office: ....................................................................................... 18
o) Provision of safety equipment for staff ................................................................................ 18
p) Statutory requirements for welfare of workers ..................................................................... 19
q) Statutory requirements for suction emptier truck ................................................................. 19
r) Expected service standards, monitoring process and penalties: ......................................... 19
4.2.4. Time Schedule ............................................................................................................. 21
4.2.5. General Conditions ...................................................................................................... 21
4.3 PREPARATION & SUBMISSION OF APPLICATION FOR PRE-QUALIFICATION:............ 23
4.4 PRE-QUALIFICATION AND TENDERING: ......................................................................... 24
4.4.1. The Tender Document ................................................................................................. 25
4.4.2. Preparation & Submission of Bid:................................................................................. 26
4.4.3. Opening of Technical & Financial Bids cum Evaluation ................................................ 28
4.5 ROLE & RESPONSIBILITIES OF THE BIDDER ................................................................. 30
5) ELIGIBILITY............................................................................................................................... 31
 5.1 TECHNICAL ....................................................................................................................... 31
5.1.1. Technical Experience for construction work: ................................................................ 31
5.1.2. Criteria ......................................................................................................................... 31
5.2 FINANCIAL ......................................................................................................................... 32
5.3 OTHERS............................................................................................................................. 32
6) EVALUATION OF BIDS .............................................................................................................. 34
7) PERFORMANCE/EFFLUENT INPUT AND DISCHARGE CRITERIA ........................................ 36
7.1 INPUT PARAMETERS ....................................................................................................... 36
7.2 OUTPUT CRITERIA ........................................................................................................... 36
8) THE BIDDING DOCUMENTS: ................................................................................................... 37
8.1 CONTENT OF THE BIDDING DOCUMENTS: .................................................................... 37
8.2 General Terms .................................................................................................................... 37
8.3 Clarification of Bidding Documents: .................................................................................... 38
8.4 Information Provided by the Owner/Bidder Due Diligence: .................................................. 38
9) ANNEXURES ............................................................................................................................ 39
9.1 FORMS REQUIRED TO BE FILLED AND SUBMITTED BY THE BIDDER ......................... 39
 FSTP RFP for Cities in U.P. – 32 KLD

2) INVITATION FOR PROPOSALS

2.1 INTRODUCTION
2.1.1. Background
Government of Uttar Pradesh (GoUP) is working with a goal of achieving total sanitation in line with the
vision of Swachha Bharat Mission (Urban), with concerted efforts towards Open Defecation Free (ODF)
through provision of individual household toilets as well as community/public toilets. However, sanitation
is more than just having access to toilets and better hygienic practices, and it covers the management
of faecal sludge and septage from the point of generation to its treatment for reuse or safe disposal.
Accordingly, the State of Uttar Pradesh is now gearing up to move towards the status of ODF ++ which
is a step ahead of being ODF, it also includes waste water management and treatment of Faecal sludge
and septage.

Further, Government of India (GoI) through the Ministry of Housing and Urban Affairs (MoHUA) has
launched a National Policy on Faecal Sludge and Septage Management (FSSM) in 2017 and
encouraged States to set up systems towards the safe collection, treatment and disposal of all human
waste that is collected from on-site sanitation systems. In accordance with this, to comprehensively
establish improved sanitation practices and systems, the GoUP has decided to set up Faecal Sludge
and Septage Treatment Plant (the “FSTP”) in the Urban Local Bodies to tackle the health and
environmental hazard caused when human excreta is disposed in open areas and water bodies due to
lack of treatment facilities. It is to be noted that pollution load of septage is much higher vis-à-vis sewage
and needs immediate attention.

To achieve the vision of making urban areas ODF++, the “Authority” has decided to develop and
operate/maintain the FSTPs in various ULBs of Uttar Pradesh (the “Project”) and has accordingly
decided to carry out the bidding process for selection of an agency to establish and run FSTP plants in
cities of Uttar Pradesh

The Selected Bidder, who is either a company incorporated under the Companies Act, 1956 or its
substitute thereof or LLP or Firm or Co-operative Federation/Society or undertakes to incorporate as
such prior to execution of the tender, shall be responsible for designing, engineering, procurement, and
construction of the Project under and in accordance with the provisions of the tender provided by the
Authority as part of the Bidding Documents pursuant thereto.

The Tender sets forth the detailed terms and conditions for award of project to the bidder, including the
scope of the Bidder’s services and obligations.

The statements and explanations contained in this document are intended to provide a better
understanding to the Bidders about the subject matter and should not be construed or interpreted as
limiting in any way or manner the scope of services and obligations of the Bidder set forth in the
document or the Authority’s rights to amend, alter, change, supplement or clarify the scope of work, the
tender to be awarded pursuant to this document or the terms thereof or herein contained. Consequently,
any omissions, conflicts or contradictions in the Bidding Documents are to be noted, interpreted and
applied appropriately to give effect to this intent, and no claims on that account shall be entertained by
the Authority.

The Authority shall receive Bids in accordance with the terms set forth in this document and other
documents (as mentioned below) to be provided by the Authority, as modified, altered, amended and
clarified from time to time by the Authority (collectively the “Bidding Documents”), and all Bids shall be
prepared and submitted in accordance with such terms on or before the date specified in Tender Notice.

This tender notification shall be read in conjunction with the supporting documents as under:

S.No. Document Title

1 Volume 1 Septage Management Business Case
2 Volume 2 Septage Management Contract
3 Volume 3 Septage Management List of Schedules
4 NA BOQ
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 FSTP RFP for Cities in U.P. – 32 KLD

5 NA Condition of contract and civil specifications

3) SCHEDULE OF BIDDING PROCESS

Bidders are invited to submit their Bids on or before the time, date and at the office for submission as
indicated below. The Bids submitted after this time and date or at any other office other than indicated
herein below will not be considered under any circumstances; unless notified by the Authority with full
information of the altered time, date and the office for submission.

S.No. Event Description Particulars

1 RFP Release Date 27–08-2019
2 Last Date of RFP download from Website 26-09-2019
3 Bid Due date / Bid Submission date 27-09-2019
4 Address for communication General Manager, Gomti Pollution
Control unit U.P. Jal Nigam,
Riverbank Colony, Daliganj,
Lucknow 226018
5 Prebid meeting and place 09-09-2019 at 15:00hrs in
Directorate of Urban Local Bodies,
Gomti Nagar Extension, Saheed
Path, Lucknow - 226010
6 Last Date for receiving Queries 05-09-2019
7 Last date for responding to queries Within 3 Weeks of (6)
8 Date & Time for opening of Technical Bid 27-09-2019
(Eligibility & Qualification Criteria)
9 Date by which Authority shall seek clarification on To be announced at a later date
technology (if any)
10 Date by which by which bidders will submit To be announced at a later date
clarifications on technology to Authority
11 Date & Time of opening of Financial Bid To be announced at a later date
12 Issue of “Letter of Award (LoA)” To be announced at a later date
13 Cost of RFP (Non-refundable) Rs. 10,000/- + GST@12% (Rupees
Ten thousand only) plus 12% GST in
the form of demand draft drawn in
favour of Project Manager, Gomti
Pollution Control Unit-I, U.P. Jal
Nigam Lucknow payable at Lucknow
and drawn on any scheduled bank.
14 Bid Security (Refundable) Rs. 6,02,000/- (Rupees six lakhs two
thousand only) per city, either in the
form of a crossed demand draft or
Bank Guarantee drawn in favour of
Project Manager, Gomti Pollution
Control Unit-I, U.P. Jal Nigam
Lucknow payable at Lucknow and
drawn on any scheduled bank or
Nationalized banks (ICICI, HDFC,
IDBI and Axis Bank).

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 FSTP RFP for Cities in U.P. – 32 KLD

4) INSTRUCTION TO BIDDERS
4.1 DEFINITIONS AND INTERPRETATIONS
The important terms, which shall be used in the contract Documents are defined herein. It shall be
applicable to both the singular and plural number and masculine/ feminine in gender.

1) The Contract means the documents forming the tender and acceptance thereof and the formal
agreement executed between the Engineer/ competent authority on behalf of the Chairman,
U.P. Jal Nigam and the Contractor, together with the documents referred to therein including
the second iterations, the specifications, designs, drawings and instructions issued from time
to time by the Engineer-in- Charge and all these documents taken together, shall be deemed
to form one contract and shall be complementary to one another.
2) The expression works or work shall, unless there be something either in the subject or context
repugnant to such construction, be constructed and taken to mean the works by or by virtue of
the contract contracted to be executed whether temporary or permanent, and whether original,
altered, substituted or additional.
3) The Contractor shall mean the individual, firm or company or cooperative federation/society,
whether incorporated or not, undertaking/execute the work after signing the agreement with the
department and shall include the legal personal representative of such individual or the persons
composing such firm or company, or the successors of such firm or company and the permitted
assignees of such individual, firm or company.
4) CHAIRMAN: Chairman shall mean the Chairman, U.P. Jal Nigam, (Local Authority under Govt.
Of Uttar Pradesh) here-in-after called the Chairman.
5) MANAGING DIRECTOR: “Managing Director” or “M.D.” means the Managing Director of U.P.
Jal Nigam.
6) CHIEF ENGINEER: "The Chief Engineer" shall mean the Chief Engineer (Lko Zone), U.P. Jal
Nigam, Lucknow here-in-after called the Chief Engineer.
7) ENGINEER-IN-CHARGE: It shall mean the Officer signing the contract on behalf of U.P. Jal
Nigam i.e. General Manager, Gomti Pollution Control Unit, U.P. Jal Nigam, Lucknow.
8) ENGINEER: The term Engineer shall mean the Engineer officer (or any other competent person
appointed by the Engineer–in-charge, to act in addition or replacement of the Engineer) who
shall supervise the execution of the works and administering the contract and be in-charge of
the work on behalf of the Engineer-in-charge i.e. Project Manager, Gomti Pollution Control Unit-
I, U.P. Jal Nigam, Lucknow hereinafter called the Engineer.
9) SUPERINTENDING ENGINEER: SE/ GM shall mean General Manager, Gomti Pollution
Control Unit, U.P. Jal Nigam, Lucknow.
10) EXECUTIVE ENGINEER: The Executive Engineer/ Project Manager shall mean Project
Manager, Gomti Pollution Control Unit-I, U.P. Jal Nigam, Lucknow.
11) COMPETENT AUTHORITY: It shall mean the next higher authority signing the contract in U.P.
Jal Nigam i.e Chief Engineer/Managing Director/Chairman.
12) ENGINEER'S REPRESENTATIVE: The Engineer's representatives shall mean the Project
Engineer (Assistant Engineer), Assistant Project Engineer (Junior Engineer), Gomti Pollution
Control Unit-I, U.P. Jal Nigam, Lucknow hereinafter called the Engineer's representatives.
13) Department/Owner: The term department or owner means the U.P. Jal Nigam represented by
the Chairman, Managing Director, Chief Engineer, Superintending Engineer or any other officer
authorized by the Managing Director.
14) Employer: The term employer means the Engineer in charge.
15) The “Common Schedule of rates” shall mean a printed document containing rate of different
items of works pertaining to different Branches of UP Jal Nigam & P.W.D., U.P Irrigation, CPWD
and other State Public Health Engineering Departments and approved by the committee on
direction of Chief Engineers of these.
16) Completed works shall mean the work completed in all respect as per laid down specifications,
approved drawings, approved NIT defect liability period as specified plus operation and
maintenance period of work to the entire satisfaction of the Engineer in charge.
17) “Communication between parties are the written and signed letters, notices, reminders,
memorandum and instructions recorded in the instruction book or books kept at site.

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18) “Days & months” are calendar days and calendar months.
19) “Consignee” means Engineer in charge.
20) The “Site” shall mean the land or other places on, into or through which work is to be executed
under the contract or any adjacent land, path or street which may be allowed to be used for the
purpose of carrying out the contract.
21) “Schedule of material” shall mean the list of materials, which are to be issued from the Dept.
store to the contractor / bidder for genuine use on the work.
22) The “Start date” is the date when contract comes in to existence or the receipt of letter to
commence the work by the Engineer-in-charge and as notified in the letter of allotment.
23) “Scope of work” shall mean the items of work to be executed at site of work pertaining to work
allotted to the contractor / bidder.
24) The “Works or Work” shall unless the context otherwise requires mean what the contractor
/bidder is required to execute and hand over to the UPJN.
25) “UPJN” means Uttar Pradesh Jal Nigam.
26) “Owner or Department” or “Client” means Uttar Pradesh Jal Nigam (UPJN) represented by
Managing Director or Chief Engineer (LKO Zone) or his authorized representative.
27) “Sub-Contractor” means any person, firm or company other than the contractor / bidder for
execution of any part of the work.
28) “Tender” means the documents issued by UPJN.
29) “Bid” means the documents submitted by contractor / bidder to whom tender has been issued.
30) Applicant / Bidder” means the Firm/ bidder / agency who submits the bid against the invitation
for bid.
31) “Award” means the written acceptance of bid by the UPJN, to the successful contractor / bidder.
32) “Department” means the UPJN, Uttar Pradesh. The words department and Superintending
Engineer, UPJN, Lucknow and his representative have been used interchangeably at places
and mean the same, i.e. the engineer or his representatives.
33) “Consultant” means the consultant appointed by the UPJN for the purpose of providing
consultancy services.
34) FSTP means Faecal Sludge Treatment Plant.
35) Planted Drying Beds means PDB.
36) Integrated settler and anaerobic filter means ISAF
37) “Technology Provider” means a person or company providing technical knowhow design,
processing etc. on Memorandum of Understanding with main bidder and have required
technical eligibility and whose credentials are submitted by the bidder at the time of pre-
qualification.
38) “Government” means Government of India / Govt. of Uttar Pradesh.
39) “GOI” means Government of India and “GoUP” means Government of Uttar Pradesh.
40) “Drawings” means the drawings referred to in the list of drawings attached to the tender and
any modification of such drawings approved / issued in writing by the Engineer in charge and
such other drawings as may from time to time be furnished or approved in writing by the
Engineer.
41) The contract sum means the sum identified in the contract for the completion of works as per
contract.
42) Contractor / bidder’s equipment means all appliances or machinery of whatsoever nature,
materials or other things intended to form or forming part of the works.
43) Portion of the work means a part of the work or section of the work.
44) Specifications and particular specifications means the regulating guidelines contained in the
Uttar Pradesh Jal Nigam/PWD specifications, manual of Sewerage and Sewage Treatment,
Manual on Water Supply and Treatment published by the Central Public Health and
Environmental Engineering Organization (CPHEEO) under the Ministry of Urban Development,
Indian Standard Specifications and codes, all of latest editions and those contained in the
tender documents and also those based on good engineering practices.
45) Time for completion means the time as stipulated for completion of the works or any section or
portion there-of as stated in the contract or as extended under clause and shall be calculated
from the date specified in the contract. It will be the date when the contract enters into force for
fulfilment of any obligation as per necessary legal, financial or administrative requirements.
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46) Defect liability period i.e. means the period after actual completion of the work during which the
contractor / bidder will carry the full liability to make good to the complete satisfaction of the
Engineer in charge, any defects in the completed work or any bad work.
47) Cost means the amount which shall be deemed to include all overhead costs whether incurred
on or off the site, all taxes, excise duties, royalties etc as applicable on the materials, labour or
any other item which is required to complete the works.
48) Temporary Works means temporary works of every kind required in or about the execution of
works.
49) Permanent Works means the permanent works to be executed and maintained in accordance
with the contract.
50) Construction / Working Drawing of a particular component / item / equipment of the FSTP plant
means the detailed engineering drawing of that item submitted by the contractor / bidder and
approved by the Engineer in charge, UPJN, prior to construction / fabrication / erection of that
component and based on which the same shall be carried out.
51) As-built Drawing of a particular component / item / equipment of the FSTP Plant means the
engineering drawing submitted by the contractor / bidder prior to commissioning, showing the
actual details on which the construction / fabrication / erection of that particular item has been
carried out.
52) Engineer’s representative means Asst. Engineers/ Project Engineers & Junior Engineers/Asst.
Project Engineers.

Note: In interpreting these “Clauses of contract”: singular also means plural, male means female and
vice versa.

4.2 GUIDANCE TO THE BIDDERS

NAME OF PROJECT: Faecal Sludge Management Solution for AMRUT city of Uttar Pradesh, which
comprises construction of 32KLD fully Mechanized and Automatized (PLC/SCADA Operated) FSTP
plant in Aligarh city along with boundary wall, approach road and installation of solar panel system etc.
including required survey & design work and handing over to respective urban local bodies.

The List of Cities / Town for FSTP

List of Cities for FSTP project in Uttar Pradesh (32 KLD Each)
S.No. Cities Population FSTP Plant
(Census 2011) Capacity (in KLD)
1 Aligarh 874408 32
2 Moradabad 887267 32
3 Ayodhya 450899 32
4 Pandit Deendayal Upadhyay Nagar 109650 32
5 Pilibhit 130428 32
6 Shahjahanpur 339452 32

4.2.1. Data Sheet

S.No. Particulars Description

1 Name of the Employer:
2 Name of the Assignment/
job:
U.P. Jal Nigam
Faecal Sl udge Management Sol ut i on f or AMRUT ci t y of
Ut t ar Pradesh, whi ch compri ses const ruct i on of 32KLD
f ul l y Mechani zed and Aut omat i zed (PLC/SCADA Operat ed)
FSTP pl ant i n Aligarh ci t y al ong wi t h boundary wal l ,
approach road and i nst al l at i on of sol ar panel syst em

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 FSTP RFP for Cities in U.P. – 32 KLD

S.No. Particulars Description

et c. i ncl udi ng requi red survey & desi gn work and
handi ng over t o respect i ve urban l ocal bodi es
3 The Employer’s Project Manager, Gomti Pollution Control Unit-I, U.P. Jal
representative is: Nigam, Lucknow
4 Address: Gomti Pollution Control Unit, U.P. Jal Nigam,
Near Suraj Kund Park, River Bank Colony, Lucknow (U.P.)
– 226018
5 Email: gmgomti01@gmail.com
6 Project Duration 6 Months Construction 3 Months testing 7 year O&M
7 Proposals must remain valid 120 days
days after the submission
date,
8 Estimated Project Cost CAPEX: INR 4,77,00,000/- (Four Crores Seventy Seven
Lakhs)
OPEX as Septage Management Fee (SMF): INR 2500/-
Per household per cleaning. Approx HH to be cleaned per
year = 5000 (INR 1,25,00,000/- per year approx.)
9 Desludging Frequency Once in every 5 years
10 Name of Sub Bidder (if proposed) shall also be mentioned along with technical details
11 In addition to technical proposal, Bidders are required to submit financial proposal (as per
forms prescribed). Submission of the technical and financial proposal in improper form will
render the proposal liable to be rejected.
12 Taxes The Financial Proposal shall take into account all expenses
but excluding GSTN, if applicable. Only GSTN as applicable
shall be paid in addition to the financial quote and calculated
as per applicable laws at the time of payment. All payments
to bidders shall be subject to deduction of taxes at source
as per Applicable Laws.
13 Bidder to state the cost in INR (₹) Percentage of the estimated cost

Indicative Example:
Estimated Cost given as under:
CAPEX = INR100/-
Septage Management Fee = INR10/-

Bid Percentage (to be given by the bidder), as discounted

cost = 90% Then bid value in INR becomes as follows:

CAPEX =INR90/-
Septage Management Fee = INR9/- (90% of both the
estimated cost)

Note: The bidder needs to evaluate the overall cost and to

14 Evaluation Criteria : Criteria,
sub- criteria, for evaluation of
Technical Proposals have
been prescribed:
quote a percentage for estimated CAPEX and Septage
Management Fee (SMF) for each household combined. The
single percentage quoted shall be considered for both
CAPEX and SMF hence bidders are advised to distribute
their costing across both the components to ensure optimal
competitiveness.
Detailed evaluation as mentioned below this Table of Data
Sheet.

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S.No. Particulars Description

15 Method of Selection Quality (70%) and Cost (30%) Based Selection
QCBS - 70:30

The technical quality of the proposal will be given weight of

70%, the method of evaluation of technical qualification will
follow the procedures indicated in the RFP document.

The price bids of only those Bidders who qualify technically

(Minimum Qualifying Marks: 70%) will be opened. The
proposal with the lowest cost may be given a financial score
of 100 and the other proposal given financial score that are
inversely proportionate to their prices (Bidders are required
to quote cost as overall percentage of the estimated amount
as per given in this tender for the works). The financial
proposal shall be allocated weight of 30%. For working out
the combined score, the employer will use the following
formula:

Total points = T (w) x T (s) + F (w) x F(s), where F(s) = {(LEC

/ EC) *100}
T (w) stands for weight of the technical score.
T (s) stands for technical score
F (w) stands for weight of the financial proposal
EC stands for Evaluated Cost of the financial proposal LEC
stands for Lowest Evaluated Cost of the financial proposal.
F(s) stands for Financial score of the financial proposal

The proposals will be ranked in terms of total points scored.

The proposal with the highest total points (H1) will be
considered for award of contract and will be called for
signing the contract.
4.2.2. Section-1

The Owner i.e. UP Jal Nigam (UPJN) invites bids for the construction works and O&M (as defined in
these documents and referred to as “the project”). Throughout this Bidding Document

a) The successful bidder shall be expected to complete the works by the intended completion date
specified in the agreement.
b) The terms “bid‟ and “tender‟ and their derivatives (bidder/ tenderer, bid/tender,
bidding/tendering, etc.) are synonymous.

4.2.3. Brief Scope of Work

Works consist of Construction of FSTP plant in the given AMRUT town / cities of U.P. (32KLD capacity
each) on Mechanized focused technology as per description in Contract Document along with
construction of boundary wall, inside approach road of the operation period (7 Years), 03 months trial-
run & stabilization and defect liability period (DLP) of 12 months that will start after completion of trial-
run & stabilization period. DLP will be concurrent with operation & maintenance.

The construction period will encompass 6 Months (excluding 3 months of Trial-run and Stabilization)
post signing of the contract. The land area for construction of FSTP is restricted to 8000 Sqm in each
of the selected cities, which will be provided on nominal lease basis (indicative at INR 1/Sqm per annum)
to the bidder by the Authority. The scope will also cover to provide minimum of 3 desludging vehicles
(1 of Specification A and 2 of Specification B as per the Schedules document) and supply & installation
of Solar Panel System with backup including required survey & design work and handing over to
respective Urban Local Bodies after successful completion compliance with Volume 3: List of Schedules
along with national FSSM policy and AMRUT FSSM primer document.

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A minimum of 3 desludging vehicles (1 of Specification A and 2 of Specification B as per the Schedules

document) for each plant to provide end to end solution of septage collection transportation and
processing has to be provided by the bidder. For expanding the reach and collection efficiency bidder
can sign an agreement post contracting with local desludgers subject to minimum vehicle specification
being complied to. In addition to purchase of minimum 3 (Three) vehicle, bidders may also utilize
existing vehicles with the ULB/Cities subject to proper O&M and compliance of vehicles to specifications
as per Volume 3: List of Schedules Document.

Also, it is the responsibility of the ULB to provide access to houses for movement of desludging vehicles
either through approachable access road, in case approach through path is not possible the service
provider/bidder to cater to accessibility through a longer collection hose pipe. However even in this case
also if it is not possible to desludge then the Authority to provide alternative list of accessible houses to
compensate for the list of inaccessible houses to avoid any default of monthly payments.

The scope of work shall include but not limited to the following:

1) Provide design & drawing of all components including required working survey and field
investigations in accordance of details of requirement, specifications and instructions given in
tender document, duly vetted by any reputed government/semi-government technical institution
(as approved by engineer in charge), for approval of engineer in charge.
2) Construction of civil engineering works for all the units and all the ancillary structures in
accordance to the design & drawing approved by the engineer.
3) Supply, Erection, Testing & Commissioning of all the Mechanical Equipment/ Electrical &
instrumentation equipment in accordance to the design & drawing approved by the engineer,
and as detailed in tender document.
4) Supply, Erection, Testing & Commissioning of all the piping, valves and specials etc., in
accordance to the design & drawing approved by the engineer, and as detailed in tender
document.
5) During the operation & maintenance period, the electricity charges will be paid by the
contractor.
6) Supply of equipment drawings, Technical specification/Catalogue.
7) Supply of as built drawings after completion.
8) Procurement of Minimum of 3 desludging vehicles (1 of Specification A and 2 of Specification
B as per the Schedules document)
9) Operation and Maintenance of Desludging Vehicle/s maintained for efficient collection and
transport.
10) The bidder is allowed to enter into a separate agreement with existing faecal sludge collection
and transportation operators if present, but they have to adhere to minimum 3 vehicle per plant
clause.
11) Also if ULB has its own vehicle then the bidder may use the same for desludging provided O&M
of the same should be the responsibility of the bidder
12) Vehicle specification is to be as per Schedules provided and should be in compliance with
National FSSM policy and AMRUT Primer for FSSM.
13) Ownership of all Plant, Machinery, Vehicle and Equipment to reside with the Authority.
14) Focus should be given to reuse of process by-products, (i.e. water produced may be used for
gardening, agriculture and the solid by-product may be used as manure/ash brick/soil
conditioner)
15) Focus on zero odour and reuse of products.
16) Reports on waste received input waste parameters and output parameters to be provided on a
monthly basis to the Authority for process monitoring.
17) A separate Third-Party monitoring mechanism will be established at the State level which will
enable the Authority to frequently monitor the treatment process and discharge waste
parameters to be in compliance of norms as per the tender document.
18) Handling of Output byproducts i.e. treated water, briquettes, Fertilizer etc. to be the
responsibility of the operator and Authority will not pay any amount for disposal/handling of the
same.

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19) Private desludgers (Who are not integrated with the FSTP plant) in the city to be allowed to
discharge at the FSTP at the cost to be negotiated by the developer subject to ceiling of SMF
(Septage Management Fee) quoted.

a) Approach and work plan for carrying out scheduled emptying

Contractor shall have to submit the approach, methodology and tentative work plan in consultation with
ULB officials for 5 years to roll out the scheduled septic tank emptying service in the Urban Local Body
(ULB). The work plan should also include tentative number of trucks with it sizes to be used by the
bidder.

b) Undertaking IEC activities to spread awareness about scheduled emptying.

The Contractor will be required to print pamphlets containing information on the scheme for scheduled
emptying highlighting the information as decided between the Contractor and the ULB. These
pamphlets will be distributed to households/properties when the Contractor visits them and in areas
where scheduled emptying needs to be undertaken.

c) Undertaking preliminary visits to households/properties at the beginning of every

quarter:

The Contractor will be required to undertake visits to each household/property after being given the
schedule/target for emptying by the ULB. These visits will be undertaken at the beginning of the quarter
and should contain the households/properties which are scheduled to be cleaned in that quarter. The
Contractor needs to hand over the pamphlets, inform the households/properties about the scheduled
emptying, and take details necessary for communication such as phone number among other things as
deemed necessary by the Contractor. The contractor will also visit the households/properties atleast
two days prior to their schedule for emptying.

During the preliminary visit, the contractor shall ensure that the septic tanks are accessible and have
proper access covers which are openable. In case access is not available, the contractor shall notify
the same to the ULB and the household. It is the responsibility of the ULB to ensure that the septic
tanks (Containment systems) in the households have proper access for emptying.

d) Non-disclosure of information

The contractor shall not divulge or disclose to any third party any confidential information (including any
personal data and sensitive personal data of the households/properties) communicated to or discovered
by him in the course of carrying out the Services or use the same for any purpose other than to perform
the Services without the prior written consent of the ULB officials and shall ensure that their employees
shall do likewise. This clause shall continue to be binding on the Contractor and their employees
notwithstanding the termination or expiry of this Contract.

e) Regular emptying of septic tank

1) The Contractor shall build a database and a Management Information System (MIS)
of the households in the Urban Local Body where the faecal sludge needs to be
emptied. The data needs to be updated as and when emptying is undertaken. The
MIS should record information like the specification of the septic tank (containment
system), date it is emptied, signs of leakages or cracks, access for emptying etc. The
contractor shall share the updated database and MIS with the ULB at the end of every
month.
2) The Contractor needs to prepare a route plan to attain the annual targets for emptying
of septic tanks.
3) The Contractor shall be available to carry out and perform the Services and needs to
visit the households/properties as per schedule to be worked out in consultation with
the ULB.
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4) The contractor shall prepare an operating procedures and submit to ULB for approval.
The approved operating procedures must be followed by the contractor.
5) The Contractor must call each household/property at least two days before the
scheduled visit.
6) The Contractor must visit each household/property as per the defined and agreed
monthly based schedule/target.
7) If the household/ property is not available or not willing to empty the septic tanks
during schedule emptying, then at least two attempts will be made by contractor in a
gap of 15 days before reporting as ‘unavailable’ (not present at the house/property)
or ‘unwilling’ (do not want to get their septic tanks cleaned). Contractor shall compile
the list of households/ properties, which are not willing or not available to empty its
septic tank and submit to ULB every fortnight. The ULB should ascertain facts in such
cases.

f) Use of safety gear for emptying of septic tanks

1) The cleaner and helper must wear safety equipment at all times while dealing with
faecal matter.
2) Gas detection equipment be used before the start of desludging work to see the
level of toxicity of gases.
3) No person should enter the septic tanks at any given point (as per The Prohibition of
Employment of Manual Scavengers and their Rehabilitation Act, 2013), and
emptying should be done only through the GPS mounted suction emptier truck and
using the mechanized equipments.

g) No damage to septic tanks and spillage while emptying:

The Contractor must ensure that septic tanks are not damaged in the process of emptying and there
is no spillage during emptying.

h) Adequate emptying of septic tanks:

While emptying of septic tanks, the Contractor must ensure that only 1-2 inches of faecal waste
matter is left inside the septic tanks.

i) Safe transport of faecal sludge without spillage

1) The Contractor should transport the collected sludge in mechanical suction emptier
trucks only. There must be no spillage of the collected sludge.
2) In case there is any spillage, the faecal matter must be cleaned as soon as it is
brought to the notice of the Contractor.
3) Only the faecal sludge should be discharged at the allocated treatment site.

j) Emergency emptying:

1) As part of regular emptying, the Contractor is only required to empty the septic tank
for the households/properties as per the schedule given by ULB.
2) ULB will direct the Contractor to empty the septic tank for the households/properties
making request for an emergency emptying.
3) Also, the individual households can also request the contractor for emergency service
e.

k) Collected septage to be discharged only into the Faecal Sludge Treatment Plant
(FSTP)

1) The contractor will discharge the collected septage only at its own Faecal Sludge
Treatment Plant located in the ULB.

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2) The FSTP operator shall allow Private Desludging Operator (or Private Cesspool
Vehicles Operators) to discharge in the facility. The Private Desludging Operator shall
intimate the FSTP Operator about the desludging operation (including the source of
the faecal sludge).

l) Provision of suction emptier vehicle:

1) The Contractor will be required to provide for, and operate a GPS fitted suction
emptier truck and also provide all the necessary materials for emptying of septic
tanks. The contractor shall give the necessary access for monitoring to the ULB
officials.
2) The number of trucks and the appropriate sizes of trucks to be provided in the city is
left to the discretion of the Contractor, and should be determined based on field visits
conducted in the town before submitting bid documents. However for each FSTP a
minimum of 3 vehicles (1 of Specification A and 2 of Specification B as per the
Schedules document) has to be procured by the contractor (This is excluding of any
vehicles procured from the ULB itself, if available or obtained through integration with
existing desludgers.

m) Provision of staff for operations:

1) The Contractor will provide at least 1 driver and 1 cleaner for each truck that will
operate within the town limits.
2) The Contractor will provide at least 1 supervisor to supervise operations, and
necessary staff to handle the operations at FSTP and liaise with the ULB.
3) The payment and all other requirements of the workers, including accommodation,
would be handled by the Contractor.
4) ULB will not be responsible for the activities of the staff employed by the Contractor
and all liabilities and responsibility lies with the Contractor themselves.

n) Opening of a work station / office:

The Contractor needs to open an office / work station which will be called the control center, this center
will serve as a central point of coordination with the ULB and a site for registration of complaints by the
residents of the town. The contractor shall have to develop SMS based alert system for sending
messages to households/properties regarding their turn in schedule emptying plan. The contractor will
also have a contact number where residents can register complaints through calling or through an SMS.

o) Provision of safety equipment for staff

1) No worker will come into physical contact with the faecal sludge, during emptying or
otherwise.
2) Each worker who is involved in the emptying of septic tanks is required to be given,
and be wearing, safety equipment which are given below:
a) Safety googles or glasses with side splash protection;
b) Dust mask that fits over nose and mouth;
c) Clean rubber gloves;
d) Dedicated work clothes with apron;
e) Work boots.
f) Battery operated torch

3) The Contractor also needs to provide workers access to clean water, soap,
disposable paper towels, and a first aid kit in the work station / office.

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p) Statutory requirements for welfare of workers

1) The Contractor will be required to scrupulously follow all prevailing statutory

regulations and shall be responsible to fulfil all the obligations specified by relevant
Labour enactments, such as Contract labor (Regulation & Abolition) Act, 1970;
Minimum Wages Act; Payment of wages Act; Payment of Bonus Act; Payment of
Gratuity Act; ESI Act; Employees Provident fund and Miscellaneous Provision Act;
Workman’s compensation Act etc.
2) The Contractor is bound to pay minimum wages as per the notification of Central /
State Govt. whichever is higher to the Contractor laborers deployed under the
Contract.
3) The Contractor is required provide for a policy (Workmen Compensation Insurance
Policy) to undertake the liability of Workman Compensation Act, 1923. The sum
insured per laborer is to be calculated as “Monthly Wages x 12” for a year.
4) The Contractor is required to provide an additional medi-claim policy which has an
employee contribution of not more than 4.75% of monthly wage.
5) The Contractor shall be directly responsible to the authorities for the compliance of all
the provisions listed here and shall indemnify the ULB from any claim whatsoever
arising on account of their failure to comply with the regulations and terms as set out
herein. The ULB, as a principal employer, shall enforce the provisions of these Acts.
6) The ULB will be privy of Contract with Contractor only. The ULB will provide
instructions to the Contractor directly, and will not engage with, or be concerned with
the conditions of employment of the workers as engaged by, and working for the
Contractor. However, due to obvious security reasons, Contractor must ensure that
the staff deployed by them adhere to all rules and regulations and security restrictions
as prescribed by the ULB.

q) Statutory requirements for suction emptier truck

A motor vehicle which is roadworthy, complied with all statutory requirements and capable of
carrying and operating as vacuum/suction tanker truck should only be used. The desludging
vehicle is required to obtain fitness certificate from the local RTO office as per applicable norms.

r) Expected service standards, monitoring process and penalties:

The Contractor will have to adhere to the service standards highlighted under the scope of
work. If the service standards are not met as highlighted below, the following actions can be
taken against the Contractor by the ULB:

a) Inadequacies or inconsistencies in the use of safety gear for emptying septic tanks
1) Households/property owners, Contractor employees can complain in case manual
scavenging is observed or the safety equipment outlined in this contract are not used.
For action to be taken by the ULB, the complainant must provide pictorial proof.
2) The ULB can conduct random inspections to ensure the Contractor is adhering to
safety and manual scavenging regulations during emptying.
3) In cases where manual scavenging is observed based on complaints by households
/ property owners or based on ULB inspections, a show cause notice would be served
by the ULB and a meeting will be called to verify these complaints or observations.
The minutes of such a meeting will be published and the decision of the ULB will be
binding.
4) In cases where manual scavenging is observed and verified, the Contract can be
terminated.
5) In case of non-compliance with safety regulation, the Contractor will be given a
warning by the ULB. If two or more such warnings are received within a quarter, the
ULB can terminate the Contract.
b) Inadequate regular emptying of septic tanks

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1) The Contractor must collect signatures from all the households / property owners
whose septic tanks are cleaned by the Contractor in the format/template approved by
the ULB. Also one Government ID copy needs to be attached for each household
where the desludging activity has taken place and should be attached with the format
2) The Contractor must inform ULB of all households/properties that are unwilling or
unavailable to get their septic tanks cleaned, after having contacted them at least
twice. This information has to be submitted by the Contractor to the ULB and it will be
checked by ULB official.
3) Households/properties who have been contacted twice, but have been verified as
being unavailable or unwilling for septic tank emptying, will be included in the target.
4) The Contractor must submit a report to the ULB at the end of each month to reflect
number of septic tanks cleaned as per a template approved by the ULB.
5) Following the receipt of the monthly report, a designated ULB official will inspect a
random sample of ‘cleaned’ households/properties.
6) At the end of the month, the Contractor will be paid monthly contract value against
submission of receipt and report that they have actually emptied the septic tanks as
per the monthly target and discharged it at the designated treatment plant. If the
contractor fails to submit this, proportionate payment would be deducted. For
example, if the Contractor submits receipts of only 70% of the target
households/properties that they have emptied in a month, they will receive 70% of the
monthly Contract value.
7) The ULB will compare the results of the sample survey and self-reporting, and in case
of 1-20 instances of wrong reporting, INR 500 penalty will be charged per instance
and if more than 20 instances of wrong reporting, a final warning and a notice would
be given. If additional instances are found then the Contract can be terminated.
8) The survey by the ULB will be completed in 2 days at the beginning of every month.
9) ULB will review the performance of contract after one year from commencement of
operations, if the proportion of households/properties emptied is less than 70% of the
defined target for year then the Contract will be reviewed by the ULB and the Contract
can be terminated.
c) Spillage during emptying
1) Household/Property owners can report any grievances to the ULB.
2) The Sanitation Inspector will review and if necessary, instruct the Contractor, in
writing, to address the grievance within 24 hours.
3) The Contractor will acknowledge the receipt of the complaint through his signature.
4) In case of dispute, a designated ULB employee will inspect the grievance and take
the final decision.
5) After each grievance is addressed, the Contractor will get a signature from the
households/property owners stating the same.
6) For each grievance not addressed, the Contractor will be charged INR 200 as penalty.
d) Online Monitoring of scheduled emptying services
1) The emptier trucks will be GPS-enabled for the purpose of monitoring the services.
2) A web and mobile based application shall be developed by the contractor, and used
for the purpose of monitoring the emptying services.
3) On completion of provision of emptying services to the household, the operator will
take the signature of the household on the mobile app to confirm that emptying
services has been provided. Similarly, on disposal of the faecal sludge at the
treatment facility, the staff of the treatment plant will also sign on mobile app on
receiving the septage load. Hence this shall be recorded as the completion of an
emptying cycle. This will be in addition to the hard copy manifest form that the
household and the FSTP in-charge will sign as per ULB approved template.
4) The geolocation of the truck and timestamps captured on the app will be used to
analyze the operator’s performance.
5) The control center will record a trail of all the above activities and it will display maps
and MIS to generate reports. A dashboard on the web portal will display the key
indicators of the data elements captured. The reports and dashboard templates will
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be developed in consultation with the ULB. These reports will be shared with the ULB
on monthly basis along with bill submission.
e) Septic tanks cleaned inadequately: Same as clause 4.2.3) VII) c.

f) Spillage during transportation: Same as clause 4.2.3) VII) c.

4.2.4. Time Schedule

S.No. Description Completion Time

1 Construction, Erection, Testing, Commissioning of 6 Months
work including approval design & drawing
2 Trial Run and Commissioning 3 Months
3 Operation and Maintenance period (Including DLP of 7 Years
12 months post completion of Trial and
Commissioning)

4.2.5. General Conditions

1) The bidding is to be opened to contractors/construction firms having certified qualification with

requisite work experience & financial capabilities as per described in this document. Pre-Bid
meeting will be held with the bidders on date and time as per given in the NIT attached in this
RFP document.
2) Contractors /Bidders are advised to visit and examine the site [As per Figure 1 on page 12 of
Volume 3: List of Schedules] where the works are to be carried out and its surrounding and
obtain for themselves on their own responsibility all information and satisfy himself with prior
arrangement as to the conditions prevalent there with respect to execution of works as per the
scope of work. No claim, whatsoever on any accounts shall be entertained by the UPJN in any
circumstances, even if the site of work is changed or modified.
3) Contractor / Bidder is expected to well acquaint themselves with the nature of work, the existing
water/sewers mains, communication line, power line, incoming drainage and other utility
service lines/obstacles etc. and traffic conditions on the roads, through the alignment, they
should include in their rates sufficient allowances to meet unforeseen expenses on these
grounds.
4) Contractor / Bidder is expected to examine all specifications, instructions, forms, terms &
conditions, clauses, UPJN requirements and other information in the Tender documents.
Failure to furnish all information as required in the tender document or submission of bid not
substantial to the tender documents in every respect will be at the Contractor/Bidder’s risk and
may result in rejection of the bid.
5) The Contractor/Bidder, shall be required to furnish bid security (EMD) at the rate of 1% (One
percent) [Estimated Cost being: Capex INR4.77Crore and OPEX assumed at
1.25Crore/Year] therefore it will be INR 6 Lakhs, the bid security submitted against
CAPEX i.e. INR 4.8 Lakhs will be released after completion of defect liability period of the
allotted cost of the work (Project Cost to be taken as cumulative for each city i.e. if bidding for
1 city project cost is cost for 1 city if bidding for 3 cities then project cost is cumulative cost for
all 3 cities), the same to be submitted as per details in NIT.
6) On acceptance of the tender, the contractor shall either himself remain available at site of work
or arrange the availability of an accredited representative, legally authorized in writing at the
site of work to receive instructions of the Engineer-In-Charge or his representative and to
ensure prompt compliance thereof.
7) Labour cess will be deducted as per prevailing rules by the department.
8) The contractor shall comply with the provision of the Apprentices Act 1961, minimum wages
Act 1948, Workmen’s compensation Act 1923, contract labour (Regulation and Abolition Act
1970), payment of wages Act 1936 Employer’s liability Act 1938, Maternity Benefits Act 1961
and the Industrial Disputes Act 1947as applicable and the rules and regulations and
amendments issued there under from time to time. Failure to do so shall amount to breach of
the contract and the Engineer-in-charge may at his discretion to terminate the contract. The
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contractor shall also be liable for any pecuniary loss liability arising on account of violation by
him of the provision of the Act.
9) The Tenderer/Contractor shall bear all costs associated with the preparation and submission
of his tender and the department shall in no case be liable for these costs.
10) Unless otherwise stated, the contract shall be for the whole work as described in the “Scope of
Work” and the approved drawings. The contractor shall be bound to complete the whole work
as described in the scope of works and the approved drawings, including the additional items
if any, as per drawings and instructions. The certificate of completion as issued by the Engineer-
in-charge shall be the conclusive proof of completion of work.
11) Specific reference in the specification to any material by trade name or catalogue number shall
be constructed as establishing a standard of quality and the performance. Contractor/Bidders
may procure any other product if the specified brand names are not available subject to
approval of Engineer-In- charge.
12) Whenever required under Government regulations, it shall be incumbent on the successful
Contractor/Bidder to pay stamp duty on the contract agreement, as per ruling on the date of
execution of the contract agreement.
13) Contractor/Bidders shall carefully examine the Tender Documents and fully converse
themselves about all the conditions and matters, which may in any way, affect the work or the
cost thereof. If the Contractor/Bidder finds discrepancies or omission in the specifications or
other documents or should he be in doubt as to their meaning, he may urged to submit promptly,
written requests, on matters where clarifications or additional information are desired before
per-bid meeting. No extension in due date of submission of bids will be allowed on this ground.
14) No interest shall be paid on Earnest Money/Security Deposit.
15) All witnesses and sureties shall be persons of status and probity and their full names,
occupations and addresses shall be stated below their signatures.
16) On completion of work, the contractor shall submit five sets (Hard copy), of as built drawings
and completion details and soft copy of the drawings on the compact disc (CD).
17) One set of drawings and all other documents relating to the works under contract shall be kept
in the site office and made readily available for discussions, examinations of the Engineer or
his representatives along with the testing equipment and machinery.
18) As soon the allotment letter is issued to the Contractor/Bidder, he will submit to the Engineer-
in-charge his program to complete the works by the time indicated in the contract, in the form
of a Bar Chart for review of the Engineer-in-Charge and make suggested modification before
his approval of the same. The approved bar chart shall be diligently and strictly followed with a
view to complete the works as per schedule. The progress& planning of works shall be reviewed
from time to time and he may modify the same depending upon the exigencies of the work and
state of the works.
19) Contractor/Bidder is advised to read carefully all chapters and give complete information
regarding his proposals, substantiating the same with calculations, drawings literature, with
clear reference to any standards adopted (which are not mentioned in the tender), in such
manner that there is no ambiguity or nothing is left to chance. All relevant information, so as to
make the proposal understandable shall be given. Vague remarks and remarks like “will be
given later” are not acceptable. If in the opinion of the Engineer-in-charge, the proposal is
grossly incomplete, this will form sufficient reason for complete rejection of the tender on
technical grounds.
20) Contractor/Bidder shall note that in case of Lump sum Price Turnkey tender, the
Contractor/Bidder shall give rate for complete work and also give unit-wise/sub-unit wise rate
just to facilitate schedule of payments. However, his proposal is subject to scrutiny and
approval. He shall therefore take utmost precaution to offer very standard equipment
manufactured by only reputed manufacturers (wherever the makes are specified in the tender
document, the same shall be offered).
21) The Contractor/Bidder shall not be allowed to change the price quoted on his own.
22) All initial defects shall be rectified to the entire satisfaction of the Engineer-in-charge. Damaged
or non- working parts shall be replaced at no extra cost to UPJN.
23) Water for construction & drinking purpose, Electric power, Electric connection or generator set
required for the execution of work shall be arranged by the Contractor/Bidder at his own
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expenses. In general power cut if any is of 4 hours maximum but contractor should consider
daily consumption of half an hour per day and subsequent price of diesel price should be
included while quoting price Bid.
24) The Bidder/MOU partners/partner of the firm/any Director of the firm, should not have been
terminated/blacklisted/debarred in any State Govt. / Board / Municipal Corporations /Central
Govt./Any state Govt. Organization, Urban Local body and/or its undertaking company or its
SPV, Asian Development Bank/World Bank or similar international funding agencies
organizations due to delay in projects during last five years.

4.3 PREPARATION & SUBMISSION OF APPLICATION FOR PRE-

QUALIFICATION:
1) For any other enquiries in details contact Project Manager, Gomti Pollution Control Unit-I, U.P.
Jal NIGAM, Lucknow.
2) All information requested for pre-qualification shall be provided in the English/Hindi language.
3) The application for pre-qualification shall consist of the forms and documentation specified in
the pre- qualification data along with all certificates and attachments to fulfil the eligibility
conditions.
4) Failure to provide information which is essential to evaluate the applicants/bidders
qualifications, or failure to provide timely clarification or substantiation of the information
supplied may result in disqualification & rejection of the applicant/bidder.
5) Submission of applications for pre-qualification must be received on e-procurement web site
http://etender.up.nic.in
6) If any information in this schedule is found to be incorrect or concealed, the tender will be
summarily rejected.
7) Along with publication in newspapers the Notice Inviting Tender (NIT or E-Tender Notice) for
the aforesaid project shall also be available on the e-procurement website
https://etender.up.nic.in and
8) U.P. Jal Nigam’s website www.upjn.org.
9) For participating in tenders through the E-Tendering system, it is necessary for bidders to be
registered users of the e-procurement website https://etender.up.nic.inand the bidders should
possess valid class-2/ class-3 digital signature certificates (DSC).
10) Bidders shall bear all costs associated with the preparation and submission of their e-bid and
U.P. Jal Nigam will, in no case, be responsible or liable for these costs, regardless the conduct
or outcome of the E-Tender process.
11) This e-tender document shall remain available on the web site https://etender.up.nic.in from the
download/ sale start date and time till the download/sale end date and time of as mentioned in
the E- Tender schedule, so as to enable the bidders to view and download the E-Tender
Document.
12) U.P. Jal Nigam requires that bidders observe the highest standard of ethics during the
procurement and execution of such contracts. In pursuance to this policy, U.P. Jal Nigam will
reject a proposal for award if it determines that the bidder/contractor has been engaged in
corrupt or fraudulent practices in competing for the contract under reference.
13) Bidder shall not be a registered member of Bar Council.
14) Intending tenderers must have certified qualification as per requirement in this document.
15) The quantities are approximate and can vary to any extent on either side. No extra claim shall
be entertained on this account. The contractor will be paid on the basis of the actual
measurement of finished item of work, executed by him.
16) The department reserves the right to accept or reject any e-bid or annul the e-bid process or
reject all e- bids at any time prior to award of contract, without assigning any reason and without
thereby incurring any liability to the affected bidder or bidders.
17) The bidders are advised: -
a)To visit the site of work so as to study and ascertain local conditions with particular
reference to access road and infrastructure facilities, the market availability of materials
and their sources, labour (skilled and unskilled) and layout plan of proposed Sewer

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Network and all relevant factors which might affect their rate and to quote rates
accordingly.
b)To read carefully the specifications, terms and conditions, work out their own quantities
and rates from site conditions before quoting the rates.

4.4 PRE-QUALIFICATION AND TENDERING:

1) The U.P. Jal Nigam reserves the right to :

a) Reject or accept any application.
b) Cancel the pre-qualification process and reject all applicants. The UPJN shall neither be
liable nor be under any obligation to inform the applicant/bidder of the grounds for such
action like rejection, cancellation or amendments.
2) Applicants/Bidders who have qualified in the pre-qualification criteria will be informed about the
UPJN‟ s decision in writing and via e-procurement web site http://etender.up.nic.in
3) The financial bid of only those contractors/bidders shall be opened who will qualify the eligibility
criteria of pre-qualification as mentioned in pre-qualification document for evaluation of
Technical & Financial Capability. The date of opening of financial bid shall be informed via e-
procurement web site http://etender.up.nic.in and via email to only those contractors who
emerge successful in prequalification bid.
4) At the time of submitting their tenders/bid pre-qualified tenders/bidders shall update the relevant
information used for pre-qualification to confirm that they continue to comply with the
qualification criteria and verify that the information previously provided is still valid and correct.
A tenderer/bidder shall be disqualified if it no longer meets the qualification requirements
before, on or after the time of contract of award.
5) Tenders/bidders will be required to provide an earnest money outlined in the notice inviting
tender without which his Bid shall not be entertained.
6) The Earnest Money Deposit (EMD) to be submitted as per NIT within 7 days from the opening
of Technical Bid.
7) Bidders shall have to pay e-tender document fee of Rs. 10,000.00/- plus 12% GST (as
applicable) in the form of DD payable in favour of Project Manager, Gomti Pollution Control
Unit-I, U.P. Jal Nigam Lucknow within 7 days from the opening of Technical Bid.
8) Request letter (as per format annexed).
a) Declaration Affidavit of bid validity on non-judicial stamp paper of Rs. 100/- duly verified
by Notary Public (as per Form 1(c) of Volume-II)
b) Declaration Affidavit on non-judicial stamp paper of Rs. 100/- duly verified by Notary
Public (as per Format-11).
c) Declaration Affidavit for fulfilling the terms & conditions of the contract on non-judicial
stamp paper of Rs. 100/- duly verified by Notary Public (as per Form 1(b) of Volume-
II).
d) Declaration of Staff on non-judicial stamp paper of Rs. 10/- duly verified by Notary
Public (as per Format 5(b)).
e) Declaration of T&P on non-judicial stamp paper of Rs. 10/- duly verified by Notary
Public (as per Format-6).
9) Bidders may please note very carefully that e-bids without e-tender document fee and EMD in
the prescribed form and above cited documents shall be treated as non-responsive and shall
be rejected.
10) E-tender document fee is non-refundable.
11) Earnest money of unsuccessful bidders will be returned as promptly as possible after the
acceptance of tender, but not later than 180 days after the expiration of the period of bid validity.
12) Successful bidder's EMD will be adjusted against the security money to be deposited at the
time of signing of the agreement. In case, the successful bidder furnishes the required security
money in full at the time of signing of the agreement, the earnest money submitted with the bid
will be returned when the agreement has been signed.
13) No interest will be payable by the U.P. Jal Nigam on the Earnest Money or Security Deposit or
any other amount withheld/deducted as per terms of the contract.

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4.4.1. The Tender Document

1) The e-tender document for the e-tender under reference comprises of following two parts:

A. PART-I: Technical & Financial Evaluation cum Technical Bid (Pre-qualification

bid): This part will comprise of:

I. Fee details – It includes of the cost of tender document and prescribed earnest
money in prescribed form. A scanned copy of e-tender document fee and for EMD in
PDF format must be uploaded along with Part-I of the e-bid.

II. Qualification Details – It includes copies of required documents in PDF format

establishing that the bidder is qualified to perform the contract if his/her bid is accepted
and the bidder has financial & technical capability necessary to perform the contract
and meets the criteria outlined in “requirements of pre-qualification‟ and fulfil all the
conditions of the contract and elsewhere in the tender.

B. PART-II: Financial bid / Price bid

Language of e-bid: The e-bid prepared by the bidder, as well as all correspondence and documents
relating to the e-bid, exchanged by the bidder and the department shall be written either in English or
Hindi language. The correspondence and documents in Hindi must be accompanied by
embedded/separate Hindi font files. Only English numerals shall be used in the e-bid. If any other
language is used, it shall be accompanied by a translation into English/Hindi language, duly signed and
certified by bidder, as the true translation, which will be used for interpreting the information.

2) Amendment(s) of e-Tender Document:

I. At any time prior to the deadline for submission of e-bid, the department may, for any
reason, whether at its own initiative or in response to a clarification requested by a
prospective bidder, modify the e-tender document by amendment(s). For such
amendment(s) written “Addendum/Corrigendum(s)‟ shall be issued copy of which shall
be simultaneously uploaded on the e-procurement website https://etender.up.nic.in. .All
such Addendum/corrigendum(s) shall become an integral part of e-tender document. The
relevant clause(s) of the e-tender document shall be treated as amended accordingly.
II. It shall be the sole responsibility of the prospective bidders to check the website
http://etender.up.nic.in regularly for amendment(s), if any, in the e-tender document,
failing which the responsibility of any error arising out of such negligence shall rest with
the bidder.
III. In order to allow prospective bidders a reasonable time to take the amendment(s) into
account in preparing their e-bids, U. P. Jal Nigam, at its discretion, may extend the
deadline for the submission of e-bids. Such extension(s) shall be uploaded on the e-
procurement website http://etender.up.nic.in.
3) Bid Validity period: e-bid shall remain valid for 120 (One Hundred and Twenty) days after the
actual date of opening of Technical & Financial Evaluation Cum Technical bid. In case,
however, the day upto which the bid is to remain valid happens to be a public holiday/is declared
public holiday for Govt. offices, the bid shall remain valid for acceptance till the next working
day. In exceptional circumstances, the department may solicit the bidder's consent to an
extension of the period of e-bid validity. The request and the response thereto shall be made
in writing. A bidder may refuse the request without forfeiting his/her e-bid security (EMD). A
bidder granting the request will not be required nor permitted to modify his/her e-bid.
4) Forfeiture of EMD: Earnest money deposit shall be forfeited
I. If the bidder (a) withdraws his/her e-bid during the period of e-bid validity as specified
above or (b) does not accept the correction of errors or (c) modifies its e-bid price during
the period of e-bid validity.
II. In case of a successful bidder, if the bidder fails to sign the contract with the
department.
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4.4.2. Preparation & Submission of Bid:

1) The tender/bid submission module of e-procurement website https://etender.up.nic.in shall

enable the bidders to submit their duly filled e-bids online in response to this e-tender from the
bid submission start date and time till the bid submission end date and time stipulated in the e-
tender schedule.
2) Bidders may please note very carefully that till such time that a fresh agreement is dawn up
embodying the agreed conditions, the conditions given in this tender document shall govern
the contract.
3) Bidders have to clearly indicate the name of the city out of the given list for which they are
bidding (Bidders can bid for any number of cities out of the total list of cities given as per this
RFP document).
4) Bidders are required to examine carefully site conditions, all instructions, forms, terms &
conditions and specifications in the e-tender document and prepare the tender in accordance
with requirements thereof. Failure to furnish all information as per the e-tender document or
submission of e-bid not responsive to the e-tender document in every respect will be at the
bidder's risk and shall result in rejection of the said e-bid.
5) A bid deviating in any respect from the condition etc. specified in this tender document or found
to be containing terms/conditions other than those in tender documents, shall be taken as a
conditional bid and shall be liable for rejection.
6) Format of e-bid: The bidder shall prepare one electronic copy of the Technical & Financial
evaluation cum Technical bid e-bids (comprises of Vol-I and VOL-II) and financial e-bid (Vol-
III) each separately.
7) Any corrections in the documents/bank instruments, if required at all, shall be countersigned by
the bidder/bank official.
8) The documents designated to be uploaded shall be physically signed at all places indicated.
9) Signing of e-bid: The e-bid document shall be digitally signed, at the time of loading, by the
bidder or a person or persons duly authorized to bind the bidder to the contract. All the
pages/documents of the e-bid that are to be uploaded shall be digitally signed by the person
authorized to sign the e- bid. The individual, physically and digitally signing the tenders and/or
other documents, should be either:
I. The sole proprietor of the firm or constituted attorney of such sole proprietor.
II. Constituted attorney of the firm, if it is a company under the meaning of Company Law,
a scanned copy of the power of attorney should be attached.
III. Managing Director/President/Chairman/Company Secretary in case of a Limited Co.
having authorization for committing the company from its Board of Director or as is
required under Company Law.
IV. President or Secretary in case of registered co-operative society having such power
through Law/Bylaws or by special resolution. Scanned copy of the sole proprietorship
declaration/power of attorney/ authorization / resolution / bylaws, as the case may be,
must be submitted with Part-I of e-bid. This document shall not be more than one year
old as on date of opening of Technical & Financial evaluation cum Technical bid. It should
also contain address and mobile number of authorized person.
10) For participating in e-bid through the e-tendering system it is necessary for the bidders to be
the registered users of the e-procurement website https://etender.up.nic.in. The bidders must
obtain a User Login ID and Password by registering themselves with U.P. Electronics
Corporation Ltd., 10, Ashok Marg, Lucknow, if they have not done so previously for registration.
11) In addition to the normal registration, the bidder has to register with his/her digital signature
certificate (DSC) in the e-tendering system and subsequently he/she will be allowed to carry
out his/her e-bid submission activities. Registering the digital signature certificate (DSC) is a
one-time activity. Before proceeding to register his/her DSC, the bidder should first log on to
the e-tendering system using the user login option on the homepage with the login ID and
Password with which he/she has registered.
12) For successful registration of DSC on e-procurement website https://etender.up.nic.in the
bidder must ensure that he/she should possess Class-2/Class-3 DSC issued by any certifying

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authorities approved by Controller of Certifying Authorities, Government of India, as the e-

procurement website https://etender.up.nic.in is presently accepting DSC issued by these
authorities only. The bidder can obtain user login ID and perform DSC registration exercise
above even before e-bid submission date starts. The department shall not be held responsible
if the bidder tries to submit his/her e-bid at the moment before end date of submission but could
not submit due to DSC registration problem.
13) The bidder can search for active tenders through "search active tenders" link, select tender in
which he/she is interested in and then move it to 'My Tenders' folder using the options available
in the e-bid submission menu. After selecting the tender, for which the bidder intends to e-bid,
from "My tenders" folder, the bidder can place his/her e-bid by clicking "pay offline" option
available at the end of the view tender details form. Before this, the bidder should download
the e-tender document and price schedule/bill of quantity (BOQ) and study them carefully. The
bidder should keep all the documents ready as per the requirements of e-tender document in
the PDF format.
14) After clicking the 'pay offline' option, the bidder will be redirected to terms and conditions page.
The bidder should read the terms & condition before proceeding to fill in the tender fee and
EMD offline payment details. After entering and saving the tender fee and EMD details form so
that "bid document preparation and submission" window appears to upload the documents as
per technical (fee details, qualification details, e-bid form and technical specification details)
and financial (e-bid form and price schedule/BOQ) schedules/packets given in the tender
details. The details of the demand draft or any other accepted instrument which is to be
physically sent in original before opening of technical e-bid, should tally with the details
available in the scanned copy and the date entered during e-bid submission time otherwise the
e-bid submitted will not be accepted.
15) Next the bidder should upload the technical e-bid documents for fee details (e-tender fee and
EMD), Qualification details. Before uploading, the bidder has to select the relevant digital
signature certificate. He/she may be prompted to enter the digital signature certificate password
(PIN), if necessary. For uploading, the bidder should click "browse" button against each
document label in technical and financial schedules/packets and then upload the relevant PDF
files already prepared and stored in the bidder's computer. The required documents for each
document label of technical (fee details, qualification details, e-bid form and technical
specification details) and financial (e-bid form and price schedule/BOQ) schedules/packets can
be clubbed together to make single different files for each label.
16) The bidder should click "Encrypt" next for successfully encrypting and uploading of required
documents. During the above process, the e-bid documents are digitally signed using the DSC
of the bidder and then the documents are encrypted/locked electronically with the DSC's of the
bid openers to ensure that the ebid documents are protected, stored and opened by concerned
bid openers only.
17) After successful submission of e-bid document, a page giving the summary of e-bid submission
will be displayed confirming end of e-bid submission process. The bidder can take a printout of
the bid summary using the "print" option available in the window as an acknowledgement for
future reference.
18) The bidders are strongly advised to undergo training regarding submitting of e-tenders at U.P.
Electronics Corporation Ltd., 10, Ashok Marg, Lucknow at any working day, which is free of
cost. The training given to them regarding submitting of e-tenders is to be followed strictly while
submitting their bids. Notwithstanding the contents of relevant paragraphs regarding bid
submission / withdrawal, training given by U.P. Electronics Corporation Ltd., regarding
submission/withdrawal/ re-submission of e-tenders will be final. Responsibility of having
adequate knowledge of the process and latest changes incorporated, if any, rests with the
bidder and the department shall not, in any manner, be responsible for any error or non-
submission/withdrawal of a bid on this account.
19) Deadline for submission of e-bid: e-Bid (Part-I & Part-II Financial Bid) must be
submitted/uploaded by bidders at e-procurement website https://etender.up.nic.in not later than
the time specified on the prescribed date. The server time displayed in the Bid management
window on the e-procurement website https://etender.up.nic.in will be the time by which the e-
bid submission activity will be allowed till the permissible date and time scheduled in the e-
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tender. Once the e-bid submission date and time is over, the bidder cannot submit his /her e-
bid. The department may, at its discretion, extend this deadline for submission of e-bid by
amending the e-bid document, in which case all rights and obligations of the department and
bidders previously subject to the deadline will thereafter be subject to the deadline as extended.
Bidders are advised to start bid submission process well in advance so that they can submit
their bids in time. Delay in submission of bid due to any reason during e-bid submission
process, shall be responsibility of the bidder.
20) The land area for construction of FSTP is restricted to 8000 Sqm.
21) Withdrawal and Resubmission of e-bid:
I. At any point of time, a bidder can withdraw his/her e-bid submitted online before the bid
submission end date and time. For withdrawing the bidder should first log in using his/her
login ID and Password and subsequently by his/her digital signature certificate on the e-
procurement website https://etender.up.nic.in. The bidder should then select "My bids"
option in the bid submission menu. The page listing all the bids submitted by the bidder
will be displayed. Click "View" to see the details of the bid to be withdrawn. After selecting
the "bid withdrawal" option the bidder has to click "Yes" to the message "Do you want to
withdraw this bid?" displayed in the bid information window for the selected bid. The
bidder also has to enter the bid withdrawing reasons and upload the letter giving the
reasons for withdrawing before clicking the "Submit" button. The bidder has to confirm
again by pressing "OK" button before finally withdrawing his/her selected e-bid.
II. No e-bid may be withdrawn after the deadline for submission of e-bids during the period
of e-bid validity. If a bidder desires to withdraw his tender before the expiry of the validity
period, the department may agree to allow such withdrawal but in such a case the earnest
money shall be forfeited. If the department does not allow such withdrawal and accepts
the tender and the bidder fails to perform his part of the contract, the earnest money
deposited shall be forfeited besides other consequences for breach of the contract.
III. The bidder can re-submit his/her e-bid as when required till the e-bid submission end
date and time. The e-bid submitted earlier will be replaced by the new one. The earnest
money details submitted by the bidder earlier will be used for the revised tender and the
new bid summary generated after the successful submission of the revised tender will
be considered for evaluation purpose. For resubmission, the bidder should first log in
using his/her login ID and Password and subsequently by his/her digital signature
certificate on the e-procurement website https://etender.up.nic.in. The bidder should then
select "My bids" option in the bid submission menu. The page listing all the bids submitted
by the bidder will be displayed. Click "View" to see the detail of the e-bid to be
resubmitted. After selecting the "bid resubmission" option, click "Encrypt & upload" to
upload the revised e-bids documents.
IV. The bidders can submit their revised e-bids as many times as required by uploading their
e-bid documents within the scheduled date & time for submission of e-bids.
V. No e-bid can be resubmitted subsequently after the deadline for submission of e-bids.
No request for consideration of any alteration in finally submitted offer shall be
entertained.
VI. In case of any change in Cash assets, Technical staff, Tools & Plants or change in
partners, or constitution of a Company, address of communication or telephone nos. etc.
after submission of documents the same shall be intimated to the Project Manager,
Gomti Pollution Control Unit-I, U.P. Jal Nigam Lucknow immediately.

4.4.3. Opening of Technical & Financial Bids cum Evaluation

1) Process of e-bid opening shall take place in the Office of the General Manager, Gomti Pollution
Control Unit, U.P. Jal Nigam Lucknow on the date of opening of Technical & Financial
evaluation cum Technical bids (Pre-qualification bids) stipulated in the e-tender schedule, in
presence of the bidders’ representatives who chose to be present.
2) In the event of the specified date of e-bid opening being declared a holiday for the department,
the e-bids shall be opened at the appointed time and place on the next working day.
3) The bidders‟ representatives who are present shall sign a register evidencing their attendance.
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4) The bidders‟ names and the presence or absence of requisite e-tender document fee receipt
and EMD in the prescribed format and other required documents as detailed above, will be
announced at the opening.
5) Thereafter the department will open all Technical e-bids through E-Tender procurement
solution (e-procurement website https://etender.up.nic.in) in the presence of bidders‟
representatives in General Manager, Gomti Pollution Control Unit, U.P. Jal Nigam Lucknow.
6) The department Technical Committee shall examine the process flow proposed by the eligible
bidders and seek clarifications from bidders within 15 days of technical bid opening and bidders
will respond within 10 days of receiving the queries.
7) Thereafter the department will open all financial e-bids through E-Tender procurement solution
(e-procurement website https://etender.up.nic.in) in the presence of bidders‟ representatives
in General Manager, Gomti Pollution Control Unit, U.P. Jal Nigam Lucknow.
8) Technical & Financial evaluation cum Technical (Pre-qualification) e-bids of only those
bidders‟ , whose e-tender document fee, EMD and other required documents are found in
order, shall be accepted.
9) The department will prepare minutes of Technical & Financial evaluation cum Technical
(prequalification) e-bid opening.
10) Clarification of e-Bid: During evaluation of e-bid, the department may, at its discretion, ask the
bidder for a clarification of his/her e-bid. The request for clarification shall be in writing. An
appropriate reply within the stipulated time shall be obligatory for the bidder.
11) Evaluation Criteria: The department will examine all accepted Technical &Financial evaluation
cum Technical e-bids to determine they are complete, whether they meet all the conditions of
the contract, whether all the required documents have been furnished as detailed in tender
document, whether the documents have been properly physically and digitally signed as
required, and whether the e-bids are generally in order. Any e-bid or e-bids not fulfilling these
requirements shall be rejected.
I. It shall be the discretion of the department to decide as to whether an e-bid fulfils the
evaluation criterion mentioned in this e-tender or not. Decision of the department on
matter of technical & financial evaluation results will be final and binding to all
participants. No enquiry/clarification shall be entertained on the evaluation results neither
the department will remain bound to provide any such clarifications on such results.
II. The bidders are advised not to mix financial bid documents with the PDF documents
uploaded for technical bid. The e-bids of those bidders who have uploaded financial bid
document with the prequalification (technical) bid or kept it in envelope of EMD will be
out rightly rejected.
12) OPENING OF FINANCIAL E-BID
I. After evaluation of Technical & Financial evaluation cum Technical (pre-qualification) e-
bid, through the evaluation committee, the department shall notify those bidders whose
technical e-bids were considered non-responsive to the conditions of the contract and
not meeting the technical specifications and qualification requirements indicating that
their financial e-bids will not be opened. The Department will simultaneously notify the
bidders, whose technical e-bids were considered acceptable to the department. The
notification may be sent by e-mail provided by bidder.
II. The date, time and place for the opening of financial bids will be uploaded on the e-
procurement website https://etender.up.nic.in and communicated to the technically
qualified bidders through e- mail provided by the bidder.
III. The financial e-bids of technically qualified bidders shall be opened in the presence of
bidders‟ /their representatives who choose attend. The name of bidders, price quoted
will be announced at the meeting.
IV. The department will prepare the minutes of the financial e-bid opening.
V. A substantially responsive bid is one which conforms to all the terms conditions and
specification of the bidding documents, without material deviation or reservation. A
material deviation or reservation is one: -
a) Which effects in any substantial way of the scope, quality or performance of the
works.

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b) Which limits, in any substantial way inconsistent with the bidding documents, the
employer’s rights or the bidder’s obligations under the contract; or
c) Whose rectification would affect unfairly the competitive position of other bidders
presenting substantially responsive bids.
VI. If a bid is not substantially responsive, it will be rejected by the Employer, and may not
subsequently be made responsive by correction or withdrawal of the non-conforming
deviation or reservation.
VII. The bidder needs to evaluate the overall cost and to quote a percentage of
estimated CAPEX and OPEX based on Septage Management Fee (SMF) for
each household (Discounted Rate to Estimated Cost) combined. The
percentage quoted shall be single for both CAPEX and SMF/Household as
per BOQ hence bidders are advised to distribute their costing across both
the components to ensure optimal competitiveness.

4.5 ROLE & RESPONSIBILITIES OF THE BIDDER

1) The role and responsibilities of the Bidder are as detailed hereunder:

I. To use proven technologies only. The treatment and disposal of septage & feacal sludge
shall be in compliance with CPHEEO standards, norms notified under Environment
(Protection) Act, 1986, Pollution Control Board norms, the Solid Waste Management
Rules, 2016 notified by Ministry of Environment, Forest and Climate Change (MoEF &
CC) of GoI, all the rules and regulations specified in the Air (Prevention and Control)
Pollution Act 1981, Water (Prevention and Control of Pollution) Act, 1974 and Hazardous
Wastes (Management, Handling and Trans boundary Movement) Rules, 2016 and their
amendments issued thereof from time to time and as applicable to the Project;
II. The FSTPs shall be designed and operated to meet the norms notified by MoEF & CC
of GoI vide Notification G.S.R.1265 (E) dated 13thOctober 2017. The liquid emissions
emanating from the facility shall meet the Central Pollution Control Board (CPCB) norms
and the good industry practices; as amended from time to time.
III. The dried solid waste/ compost emanating from the facility shall meet the standards
prescribed under Fertilizer Control Order notified by GoI/ GoUP;

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5) ELIGIBILITY
(NOTE: All the eligibility (Technical/Financial) is to be considered separately for each plant. i.e. if the
bidder is bidding for single plant then total project cost is equivalent to the total cost of single project.
Similarly if the bidder is bidding for three plants then the total project cost is equivalent to the cumulative
sum of cost for all three plants.)

5.1 TECHNICAL

5.1.1. Technical Experience for construction work:

a) The bidder should have experience and expertise in developing, designing and
constructing and/or operating Centralized or Decentralized waste water / septage
management/ septage co-treatment/ DEWATS (FSTP/STP/ETP/CETP etc.) projects
in India or Abroad. The Bidder should have either commissioned at least one project
of the above specified categorically.
b) Bidders may bid for multiple or individual ULBs wise FSTPs as per
experience/eligibility (technical and financial). Joint Venture/Consortium is permitted
both with national and international firms meeting the eligibility criteria. In case of
Consortium, the criteria can be complied by any one Member or jointly by all the
members of the Consortium for the project. To claim design and construction
experience /operations experience, the entity claiming the experience/ work order
should have been appointed/ hired directly by the relevant government/private
entities (Industrial, Group Housing Commercial Complexes etc.) for execution/
operations. Copies of orders/ contract and/or Certificates, issued by Government
Organizations/ Municipal Corporations / Private Entity equivalent to be submitted.

5.1.2. Criteria
Experience of having successfully completed similar works as given below (either FSTP or
STP or ETP or CETP) till the year ending 1st April 2019 at least following no. of similar works
costing not less than given as below.

A Three Nos. similar completed works of amount each equal to 30% of the work
cost.
Or
B Two Nos. similar completed works of amount each equal to 40% of the work
cost.
Or
C One Nos. similar completed works of amount equal to 60% of the work cost.

(NOTE: Work cost requirements to be submitted as individually complete works separately for
each plant and should not include common works i.e. if bidder bids for more than one plant then
each plant requirement has to be furnished separately)
e.g. if a bidder is applying for three plants then the bidder needs to have experience of minimum
3 plants of amount equal to 60% of the work cost, or 6 plants of amount equal to 40% of the
work cost, or 9 plants of amount equal to 30% of the work cost or this can be mixed and match
as per the individual plant requirement as per given above i.e. for 3 plants it can be a
combination of 1 plant of amount 60% + 2 plants of amount 40% + 3 plants of amount 30%)

*Estimated Work Cost as per Business Case Document (to be read in conjunction to this
document)
A Experience for design, construction and operation of 03 No. FSTP/STP/ETP/CETP
of capacity not less than 10 KLD each.
Or

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B Experience for design, construction and operation of 02 No. FSTP/STP/ETP/CETP

of capacity not less than 13 KLD each.
Or
C Experience for design, construction and operation of 01 No. FSTP/STP/ETP/CETP
of capacity not less than 20 KLD each.

(NOTE: Experience requirements to be submitted as individually complete works separately for

each plant and should not include common works i.e. if bidder bids for more than one plant then
each plant requirement has to be furnished separately read example as per the previous
section).
5.2 FINANCIAL

1. Minimum turnover should be at least as under :

a) Average annual financial turnover during the immediate last three consecutive financial
years of construction works should be at least 30% of the estimated cost (INR
6.02Crore).
2. Profit / Loss: Summary of Profit / Loss A/c for last three (3) consecutive year attested by
CA. (CA certificate for the same to be submitted). The Bidder should have a cumulative
profit for the last 3 consecutive year period (i.e. bidder should have a profit cumulatively in
the FY 2016-17, 2017-18, 2018-19)
3. Solvency: - The solvency amount should be equal to 40% or more of the estimated cost
of the work. (Solvency certificate should be submitted along with the bid)
4. Audited Balance Sheet: The bidder shall submit the Audited Balance Sheet for last 3
years. The UPJN shall have access to the bidder's Auditor/ bank to make inquiries as and
when required.

5.3 OTHERS

1. Profile of Company: Constitution of Company and Article of Association, Nature of works

being undertaken.
2. Personnel Capabilities: The bidder shall supply general information on the management
structure of the firm, and shall make provision for suitably qualified personnel to fill the key
positions listed in the BDS.
3. Critical Equipment: The Bidder should demonstrate the availability (either owned or leased)
of the key and critical equipment for works as specified in the BDS.
4. Litigation History: The bidder shall provide accurate and correct information on any running/
current litigation(s) or the past litigation(s) or the arbitration(s) resulting from the completed and
/ or under execution contracts by the bidder over a period of last five (5) years. A consistent
history of litigations against the bidder shall result in failure of the bidder to bid for the said
contract.
5. In case the Bidder is a Consortium, the members thereof should furnish a Power of Attorney in
favour of any member, which member shall thereafter be identified as the Lead Member, in the
Joint Venture Agreement in the Application Form (2) at Appendix signed by the members of the
Consortium.
6. Where the Bidder is a Consortium entity, it shall be required to comply with the following
additional requirements:
a) Number of members in a Consortium shall not be more than 3 (three).
b) The Bid should contain the information required for each member of the Consortium;
c) Joint Venture is allowed with the condition that the equity of lead partner shall
be 51% (in JV maximum numbers of partners may be Three).
d) The Bid should include a brief description of the roles and responsibilities of individual
members, particularly with reference to financial, technical and/or other obligations;
e) An individual Bidder cannot at the same time be a member of a Consortium bidding

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for the tender. Further, a member of a particular Bidder Consortium cannot be member
of any other Bidder Consortium bidding for the tender;
f) Members of the Consortium shall enter into a binding Joint Bidding Agreement,
substantially in the form specified at Application Form (2) (the “Joint Venture
Agreement”), for the purpose of submitting a Bid. The Joint Bidding Agreement, to be
submitted shall, inter alia:
i. Convey the intent for the purpose of domiciling the Project and no other
purpose, with shareholding/ commitments in accordance with this tender,
which would enter into the Agreement and subsequently perform all the
obligations in terms of the Agreement, in case the Project is awarded to the
Consortium;
ii. Clearly outline the proposed roles and responsibilities, if any, of each member;
iii. Subject to approval from the Lenders and the Authority, after the trial run period
has finished, non-lead Member of the Consortium can exit the JV, subject to
the approval of the Lead Members.
iv. Include a statement to the effect that all members of the Consortium shall be
liable jointly and severally for all obligations of the RFP in relation to the Project
until the Financial Close of the Project is achieved in accordance with the
Agreement; and
v. Except as provided under this document and the Bidding Documents, there
shall not be any amendment to the Joint Bidding Agreement without the prior
written consent of the Authority.
7. any entity which has been barred by the Central/State Government, or any entity controlled by
it, from participating in any project, and the bar subsists as on the date of the Bid, would not be
eligible to submit a Bid either individually or a member of a Consortium.
8. A Bidder including any Consortium Member or Associate should, in the last 3 (three) years,
have neither failed to perform on any contract, as evidenced by imposition of a penalty by an
arbitral or judicial authority or a judicial pronouncement or arbitration award against the Bidder,
Consortium Member or Associate, as the case may be, nor has been expelled from any project
or contract by any public entity nor have had any contract terminated any public entity for breach
by such Bidder, Consortium Member or Associate.
9. Authority would place sole reliance on the certification provided by the Bidder in this regard in
its letter comprising the Technical Bid.
10. In computing the Net Worth and Technical Capacity of the Bidder / Consortium Members, the
Technical Capacity and Net Worth of their respective Associates would also be eligible as
detailed hereunder:
11. For the purposes of this document, Associate means, in relation to the Bidder/Consortium
Member, a person who controls, is controlled by, or is under the common control with such
Bidder/Consortium Member (the “Associate”). As used in this definition, the expression “control”
means, with respect to a person which is a company or corporation, the ownership, directly or
indirectly, of more than 50% (fifty per cent) of the voting shares of such person, and with respect
to a person which is not a company or corporation, the power of direct the management and
policies of such person by operation of law.
a) If any services, functions or responsibilities not specifically described in this document are
inherent, necessary or customary part of the deliverables or services and are required
for proper performance or provision of the deliverables or services in accordance with this
document, they shall be deemed to be included within the scope of the deliverables or
services, as if such services, functions or responsibilities were specifically required and
described in this document and shall be provided by the Bidder.

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6) EVALUATION OF BIDS
The firms will be shortlisted against the pre-qualification criteria. Those who qualify/ fulfill these
criteria, shall be considered for technical evaluation.

S.No. Particulars Supporting Documents to be

submitted
1. The Bidder shall be a private company/LLP/firm Copy of Certificate of
incorporated in India under the (Indian) Companies Incorporation.
Act 1956/2013 or a company incorporated under
equivalent law board or cooperative
federation/society incorporated under similar
provisions. The Bidder shall be required to submit
a true copy of its Incorporation Certificate.
2. The Bidder must have a valid GSTN certificate. Copy of GSTN Certificate
3. The Lead bidder/Consortium should not be Self-Certification by the bidder
blacklisted/ debarred/ terminated of contract by any
Government/ Government Board/ Corporation
Company/ Statutory Board/ PSU company/ Non-
Government/ Government of any sovereign
countries/ Private agencies and Funding agencies
in the last 3 years.
4. The Sole bidder/Consortium should have Copy of contract/work
experience and expertise in developing, designing order/certificate indicating
and constructing and/or operating Centralized or capacity and amount of work to
Decentralized waste water / septage management/ be placed.
septage co-treatment/ DEWATS projects in India or
Abroad. The Bidder should have either
commissioned at least one project of the above
specified in the last 3 (Three) years.
5. The Lead/Sole bidder should have an average Copy of the audited profit and
minimum annual turnover of construction works of loss account along with
at least 30% of the estimated project cost during audited balance sheet of the
the last three (3) financial years, i.e., 2016-17, company showing turnover of
2017-18 & 2018-19. the company for last three
years
6. The Lead/Sole bidder shall have Bank Solvency Certificate from Bank in case of
certificate of 40% (certificate issued within last six Solvency Certificate
months from the date of issue of this RFP
document will be considered for this purpose).
7. Profit and Loss: Bidder should have a positive net Net Worth Certificate from CA
worth on date of bidding

In case of a Consortium, for combined Technical Capacity and Financial Capacity evaluation:

1. The maximum number of members in the Consortium should be three (3), including Lead
Member.
2. The Lead Member’s experience would be considered only if the Lead Member has an equity
share of at least 51% (fifty one percent) in the project.
3. The experience of other Consortium Members (i.e. except the Lead Member) would be
considered only if each such member has an equity share of at least 21% (twenty one percent) in
the project.

The detailed technical evaluation of Proposals satisfying minimum eligibility conditions as above shall
be done. The Criteria, sub-criteria and point system for detailed evaluation shall be as follows:

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S.No. Parameters Maximum Supporting Document

Marks (100)
1 Average Annual Turnover 20 CA Audited Average Annual
during the last 3 consecutive Turnover of the lead bidder -
financial year. Annexure as per RFP
1a INR 3 to <=5 Crore 10
1b INR >5 to <=10 Crore 15
1c INR 10 Crore and Above 20
2 Established 20 Project Experience Document as
FSTP/STP/ETP/CETP in India per Format with Work Order and
and Abroad (Nos) Completion certificate
2a 1 - 2 Nos 10
2b 3 - 5 Nos 12.5
2c 6 - 10 Nos 15
2d 11 -15 Nos 17.5
2e 16 and above 20
3 Established Plants Cumulative 20 Project Capacity indicated in
Capacity (FSTP/STP/ETP/CETP) Work Order or Certificate from
Client
3a >=20 <=40 KLD 10
3b >40 <=100 KLD 15
3c 101 and Above 20
4 Relevant Experience 15 Project Experience Document
with Work Order/Completion
Certificate/Client Certificate
(Description of Work shall Include
type of work as per evaluation
requirement)
4a Design and Construction of Plant 7
4b Design and Construction of Plant 12
+ Experience of O&M of plant
4c Design and Construction of Plant 15
+ Experience of O&M of plant +
C&T of Faecal Sludge
(Desludging)
5 Approach and Methodology and 25 Presentation to be made in front
Technical Design of the Plant of the committee. (*Only those
bidders will be called for who gets
a score of equal to or more than
70% in Sr. No 1-4 of this table)
5a Relevance of Technology 5
5b Design of the plant 5
5c Focus on Reuse with zero impact 5
on environment
5d Strategy for Desludging and 5
Collection/Transportation
5f Strategy for Project Monitoring 5 Details of data that will be shared
along with plan to establish
monitoring lab on site
Total Marks 100
Note: The above marks are subject to meeting the criterion expectation of the authority, failing which
authority may allocate less marks even. The price bids of only those bidders who qualify technically in
points 1 through 4 of the above table (above 70% marks) will be considered for further evaluation.

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7) PERFORMANCE/EFFLUENT INPUT AND DISCHARGE CRITERIA

7.1 INPUT PARAMETERS

Table: Characteristics of Septage (Fresh Faecal Sludge) – Sample collected at Jhansi on

24th April 2019. (Detailed in Schedule G: of Volume 3-List of Schedules)
S.No. Sample Parameters CPCB Standard for Sample Value
effluent discharge (Fresh Faecal
(w.e.f. 13th October Sludge)
2017)
1 pH 6.50-9.00 7.2 ± 0.2%
2 TS ± Error% (95% C.I.) (mg/L) <2100 17490.0 ± 0.8%
3 TDS ± Error% (95% C.I.) (mg/L) 2090.0 ± 0.2%
4 TSS* ± Error% (95% C.I.) (mg/L) <50 15400 ± 1.0%
5 COD ± Error% (95% C.I.) (mg/L) 23500.0 ± 0.5%
6 BOD (mg/L) <50 665
7 TKN ± Error% (95% C.I.) (mg/L) <100 713.4 ± 2.4%
8 Ammonical Nitrogen ± Error% (95% <50 269.9 ± 0.5%
C.I.) (mg/L)
9 Total Phosphate ± Error% (95% C.I.) <4.5 121.0 ± 2.8%
(mg/L)
10 Fecal Coliform <1000 2.4 × 106
7.2 OUTPUT CRITERIA

The Bidder is responsible for ensuring compliance with the treatment and discharge norms
in order to reuse treated wastes. (Detailed in Schedule K: of Volume 3-List of Schedules)

SN Parameter Concentration not to exceed

1 BOD <=10 ppm
2 COD <=50 ppm
3 TSS <=20 ppm
4 TN (Total Nitrogen) <=10 ppm
5 TP (Total Phosphorous) <=1 ppm
6 C/N ratio 20-40
7 PH 5.5-8.5
8 Faecal coliform <100MPN/100ml and permissible 230MPN/100ml
(FCO) as per SWM Rules, 2016 and Dept. of Fertilizers.

Dewatered septage if, to be used as a fertilizer it should satisfy the following criteria of
Class-A Bio-solids of US EPA (CEPT, 2015).

• Salmonella sp. Density < 3 MPN/ 4 g of total dry solids

• Helminth egg concentration of < 1/g total solids (WHO, 2006)
• E coli of 1000/g total solids (WHO, 2006).

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8) THE BIDDING DOCUMENTS:

8.1 CONTENT OF THE BIDDING DOCUMENTS:

1. The bidding document (Part 1 Technical Bid) consist of:

a) The Bid Data Sheet
b) Volume 1: Septage Management Business Case
c) Volume 2: Septage Management Contract
d) Volume 3: Septage Management List of Schedules
e) Bill of Quantity (BOQ)
f) Condition of contract and civil specifications
g) Forms of Technical Bid (Qualification Bid) as under:

Annex A Form of Clarification Questions

S.No. Form Form Name

Number
1 FORM (1) Letter of Application
2 FORM (2) Joint Venture Agreement
3 FORM (2A) General Experience Record
4 FORM (3) Particular Experience Record
5 FORM (3A) Details of Contract of Similar Nature & Complexity
6 FORM (3B) Client Certificate Regarding Performance of Contractor
7 FORM (4) Summary Sheet (Current Contract Commitments / Works in Progress)
8 FORM(5) Personnel Capabilities
9 FORM(5A) Candidate Summary
10 FORM(6) Equipment Capabilities
11 FORM (7) Solvency
12 FORM (7A) Financial Capabilities (Annual Turnover)
13 FORM (8) Litigation History
14 FORM (9) Affidavit Pro-forma

2. The bidding document (Part 2 Technical-Financial Bid) consist of

(i) Annex B to the Bidding Documents – The contract (the “Draft Contract”) consisting of:
a. Form of Contract;
b. General Conditions of Contract
c. Appendices to the General Conditions, including the
1. Scope of Work & Technical Specifications Appendix;
2. Drawing Appendix
(ii) Addenda to the documents listed in Instruction to Bidders as above, if any are
issued by the owner/ authority.

8.2 General Terms

(1) The documents listed as above are collectively the “Bidding Documents”. The bidding
document is available online on the website https://etender.up.nic.in/nicgep/app The
bid can be downloaded free of cost, however, the bidder is required to submit demand
draft towards the cost of the bid document in favor of the name as specified in BDS.
(2) Each bidder shall examine all instructions, terms and conditions, forms, specifications and
other information contained in the bidding documents. If the bidder,
(a) Fails to provide all documentation and information required by the bidding documents;

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or
(b) Submits a bid which is not substantially responsive to the terms and conditions of
the Bidding Documents,
Such action is at the Bidder’s risk and the owner may determine that the Bid is non-responsive
to the Bidding Documents and may reject it.

8.3 Clarification of Bidding Documents:

(1) The electronic bidding system provides for online clarification. A responsive bidder
requiring any clarification may notify online to the authorized official during the clarification
stage.
(2) All such queries and requests for clarification shall be submitted online no later than the
date specified in BDS (Bid Data Sheet), using the Form for Clarification Questions
contained in the Bidding Documents.
(3) The owner/ authority will respond to any request for clarification or modification of the
bidding documents that it receives on the Form for Clarification Questions no later than
the date set out in the timetable in the Bid Data Sheet. If similar or repeated queries are
made by Bidders, the owner may list those queries as one query and respond to such
query only once.
(4) Description of clarification sought and the response of the authority inviting the bid will be
uploaded on the website https://etender.up.nic.in/nicgep/app for information of the public
or other bidders without identifying the source of request for clarification.
8.4 Information Provided by the Owner/Bidder Due Diligence:

(1) Each Bidder is solely responsible for conducting its own independent research, due
diligence, and any other work or investigations and for seeking any other independent
advice necessary for the preparation of Bids, negotiations of agreements, and the
subsequent delivery of all services to be provided by the Bidder that has been successful
in the bidding process (the “Successful Bidder”).
(2) No representation or warranty, express or implied, is made and no responsibility of any
kind is accepted by the owner/ authority or its advisors, employees, consultants or agents,
for the completeness or accuracy of any information contained in the Bidding Documents
or the response to Clarification Questions Document, or provided during the bidding
process or during the term of the contract. All Bidders shall, prior to submitting their Bid,
review all requirements with respect to corporate registration and all other requirements
that apply to companies that wish to conduct business in the Owner’s country. The
Bidders are solely responsible for all matters to their legal capacity to operate in the
jurisdiction to which this bidding process applies.

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9) ANNEXURES
9.1 FORMS REQUIRED TO BE FILLED AND SUBMITTED BY THE BIDDER

S.No. Form Description

Number
Annex A Annex Form of Clarification Questions
1 FORM (1) Letter of Application
2 FORM (2) Joint Venture Agreement
3 FORM (2A) General Experience Record
4 FORM (3) Particular Experience Record
5 FORM (3A) Details of Contract of Similar Nature & Complexity
6 FORM (3B) Client Certificate Regarding Performance of Contractor
7 FORM (4) Summary Sheet (Current Contract Commitments / Works in Progress)
8 FORM(5) Personnel Capabilities
9 FORM(5A) Candidate Summary
10 FORM(6) Equipment Capabilities
11 FORM (7) Solvency
12 FORM (7A) Financial Capabilities (Annual Turnover)
13 FORM (8) Litigation History
14 FORM (9) Affidavit Pro-forma

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Form for Clarification Questions

Bidder· s Name: ……………………………….

Bidder's Address .................................................. Date Submitted: ……………………

Item No. Section Page No. Section or article Question/Query/Cla

Reference no. rification/Comment

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LETTER OF APPLICATION

(Letterhead of the Contractor/ bidder including full postal address, telephone no. fax no. telex no. and
e- mail address)

To, Date …………

General Manager,
Gomti Pollution Control Unit,
U.P. Jal Nigam, Lucknow.

Dear Sir,
Being duly authorized to represent and act on behalf of ___________________________
and having reviewed and fully understood all the pre-qualification information
provided, the undersigned hereby apply to be pre-qualified by yourselves (UPJN) as
a Firm/ Consortium/ Corporate Houses for the following contract.

Sl. No. Contract Name

1. Attached to this letter are copies of original documents defining.

a) The Firm/ Consortium/ Corporate Houses‟ legal status.
b) Its principal place of business, and
c) Its place of incorporation (for Contractor/ bidders which are corporations) or
its place of registration (for Contractor/ bidders which are partnerships or
individually owned firms)
d) Technical & Financial Evaluation documents as defined.

2. You (UPJN) and/ or your (UPJN‟ s) authorized representatives are hereby authorized to
conduct any inquiries or investigations to verify the statements, documents and
information submitted in connection with this application, and to seek clarification(s) from
our banker(s) and client(s) regarding any financial and technical aspects. This Letter of
Application also serve as authorization for any individual or authorized representative
of any institution referred to in the supporting information, to provide such information
deemed necessary and as requested by yourselves to verify statements and information
provided in this application, such as the resources, experience and competence of the
Firm/ Consortium/ Corporate Houses.

3. You (UPJN) and your (UPJN‟ s) authorized representative may contact the following
persons for further information.

General and Managerial Inquiries

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Contact –1 Telephone- 1
Contact – 2 Telephone –2
Personal Inquiries
Contact –1 Telephone- 1
Contact – 2 Telephone –2
Technical Inquiries
Contact –1 Telephone- 1
Contact – 2 Telephone –2
Financial Inquiries
Contact –1 Telephone- 1
Contact – 2 Telephone –2

4. This application is made in the full understanding that

a) Tenders/ bids by pre-qualification Contractor/ bidders will be subject to
verification of all information submitted for pre-qualification at the time of
tendering/ bidding.
b) You (UPJN) reserves the right to:
 Amend the scope of work and value of any contracts tendered
under this project in bidders who meet the revised requirements, and
 Reject or accept any application, cancel the pre-qualification
process, and reject all applications, and
c) You (UPJN) shall not be liable for any such actions and shall be under
no obligation to inform the Firm/ Consortium/ Corporate Houses of the
grounds for such actions.
5. Appended to this application, we give details of the participation of each party,
including capital contribution and profit/loss agreements, in the joint venture or
association. We also specify the financial commitment in terms of the percentage of
the value of the (each) contract, and the responsibilities for execution of (each)
contract.

6. We confirm that if we bid, that bid, as well as any resulting contract, will be:

7. Signed so as to legally bind all partners, jointly and separately all the statements
made and information supplied in the form 1 to 7 and accompanying
statements are true and correct.

8. The undersigned declare that the statements made and the information provided
in the duly completed application are complete, true, and correct in every detail.

Signed Signed

Name Name

For and on behalf of (name of Applicant) For and on behalf of (name of partner)

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Signed Signed

Name Name

For and on behalf of (name of partner) For and on behalf of (name of partner)
Signed Signed

Name Name

For and on behalf of (name of partner) For and on behalf of (name of partner)

Signed Signed

Name Name

For and on behalf of (name of Applicant) For and on behalf of (name of partner)

Contractors are advised to submit only required testimonials and certificates with their
applications.

Signature of authorized signatory with Name

designation, date & company seal

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APPLICATION FORM (2)

Joint Venture Agreement

To

General Manager

Gomti Pollution Control Unit,

U.P. Jal Nigam, Lucknow
1. The undersigned of this declaration of cooperation are by means of attached
Powers of Attorney legally authorized ________________________ to act
with regard _________________________ Distt. (U.P.) for the UP
Jal Nigam ---------------------------------------------------- Name of work/s
…………………………………………and on behalf of their organizations.
They hereby declare:
1. that they will legalize a Joint Venture Agreement in case that a Contract for
the…………………………….Name of work/s
…………………………………………………………… …………….is awarded to
their group;
2. that they have nominated [name of
the lead partner] as the Sponsor Firm of the group for the purpose of this Bid;
3. that they authorized Mr./Ms. [name of
the person who is authorized to act as the Representative on behalf of the
Joint Venture] to act as the Bidder's Representative in the name and on behalf
of their group.
4. that all partners of the Joint Venture shall be liable jointly and severally, in the
ratio of their share, for the execution of the Contract;
5. that this Joint Venture is an association constituted for the purpose of the
execution of the………………………….Name of work
/s………………………………………………………………….. under this Contract;
6. that if the Employer accepts the Bid of this Joint Venture, it shall not be modified
in its composition or constitution until the completion of Contract without the prior
consent of the Employer;
7. that while the lead partner shall remain overall responsible for successful
implementation of the total contract, each partner's share of the responsibility,
stated as percentage of the total contract amount, shall be as follows:
Name of Partner Primarily Responsible to
complete components of Contract
(as percentage of the contract
amount)
Lead Partner
Partner 2
Partner 3

8- That if during currency of the work joint venture/ consortium dissolves, the
U.P. JAL NIGAM shall have full right to forfeit the security money,
payments due with U.P.JAL NIGAM and retain the equipments, T&P,
scaffolding, shuttering etc. for completion of the balance work as per
provision of the agreements.

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Note: The above mentioned responsibility shall not absolve the total responsibility to
complete the Contract as a member of the joint Venture.

Give names and positions of the proposed Joint Venture Representatives, as well as
organization's names and addresses:

1 Name: Signature:
.

Position: Date:

Representative of: (Organisation's Name)

2 Name: Signature:
.

Position: Date:

Representative of: (Organisation's Name)

3 Name: Signature:
.

Position: Date:

Representative of: (Organisation's Name)

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APPLICATION FORM (2A)

General Experience Record

Name of Firm / Corporate Houses

All individual firms are request to complete the information in this form. The information supplied
should be the annual turnover of the contractor, in terms of the amounts billed to clients for
each year for last three years of work in progress or complete.

Annual Turnover Data (Supply and Execution)

Year Turnover (in Rs. Lac)
2018-2019
2017-2018
2016-2017

Signature of authorized signatory with Name

designation, date & company seal

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APPLICATION FORM (3)

Particular Experience Record

Name of Firm / Corporate Houses

To pre-qualify, the contractor shall be required to pass the specified requirements set forth in this
form, as set out in the pre-qualification data.

A separate page, using the format of Form (3A), the contractor is requested to list all contracts of
similar nature and complexity as the contract for which the contractor wishes to qualify,
and undertaken during the last 5 years. The information is to be summarized, using Form
(3A) for each contract completed and its time of completion on under execution by the
contractor.

The amounts and periods should be consistent with those specified in the Qualifying
Requirements specified in the Pre-qualification Data.

Signature of authorized signatory with

Name designation, date & company seal

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APPLICATION FORM (3A)

Details of Contracts of Similar Nature & Complexity

Name of Firm / Corporate Houses

Use a separate sheet for each contract

1. Reference of Contract agreement

Name of Contract
2. Name of Employer/ client
3. Address of Employer/ client

4. Nature of work and special features

relevant to the contract for which the
contractor wishes to pre-qualify

5. Contract role (check one )

6. Value of the Total contract / Sub contract
7a. Date of start as per contract
7b. Date of start (actual )
8a. Date of completion as per contract
8b. Date of completion (actual )
9. Contract/ Sub contract duration ------------Years -------------------------- Months
10. Specified requirements

11. For contractors, indicating approximate

amount and nature of substantial work
undertaken by sub contract, if any
All applicants should insert any specific contractual criteria required for particular operations.

Signature of bidder

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APPLICATION FORM (3B)

Client Certificate Regarding Performance of Contractor

Name of Address of the Client ………………………………………………………………

…………………………………………………………………………………………………

….. Details of Works executed by Shri / M/s…………………… …

1 Name of work (brief particulars)

2 Agreement No. and Date
3 Date of commencement of work
4 Stipulated date of completion
5 Actual Date of completion
6 Details of compensation of levied for
delay, if any
7 Tendered amount
8 Gross amount of the work completed
9 Name and address of the authority under
whom works executed
10 Whether the contractor employed
qualified Engineer / Overseer during
execution of work?
11 (i) Quality of work (indicate grading)
(ii) Amount of work paid on reduced
rate basis if any
12 (i) did the contractor go for arbitration ?
(ii) If yes, total amount of claim
(iii) Total amount awarded
13 Comments on the capabilities of the
contractor
(a) Technical Proficiency Out standing/ V. Good /Good/ Poor Out
(b) Financial soundness standing/ V. Good /Good/ Poor Out
(c) Mobilization of adequate T&P standing/ V. Good /Good/ Poor
(d) Mobilization of manpower Out standing/ V. Good /Good/ Poor Out
(e) General behavior standing/ V. Good /Good/ Poor

Note : All columns should be filled in properly.

Signature of the Reporting Officer with

Official Seal

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APPLICATION FORM (4)

Summary Sheet

Current Contract Commitments / Works in Progress

Name of Firm / Corporate Houses

Contractor to an application should provide information on the current commitments under

all contracts that have been awarded or for which a letter of intent and acceptance
has been received or for contacts approaching completion but for which an unqualified full
completion certificate has yet to be issued.

Name of Address of the Total Value of Value of Estimate Date

Contract client Value outstandin outstandin d of
of g work as g work to completio Start
Contra on current be n period of
ct date completed work
in next two as per
years from contra
current ct
date
1.
2.
3.
4.
5.
6.
7.

Signature of authorized signatory with

Name designation, date & company
seal

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APPLICATION FORM (5)

Personnel Capabilities

Name of Firm / Corporate Houses

1. Title of Position
Name of prime candidate

2. Title of Position
Name of prime candidate

3. Title of Position
Name of prime candidate

4. Title of Position
Name of prime candidate

5. Title of Position
Name of prime candidate

6. Title of Position
Name of prime candidate

Use Additional, if required

Signature of authorized signatory with

Name designation, date & company seal

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APPLICATION FORM (5A)

Candidates Summary

Name of Firm / Corporate Houses

Position Prime Candidate
Candidate Information 1. Name of the Candidate
2. Professional qualification
Present Employment 1. Name of Employer
2. Address of Employer
Telephone Contact (Manager/ Personnel office)
Fax Telex
Job Title of candidate Years with present Employer

Summarize professional experience over the last 10 years; in reverse chronological order
indicate particular technical and managerial experience relevant to the Project.

From To Company/ Project/ Position/ Relevant technical and

management experience

Signature of authorized
signatory with Name
designation, date & company
seal

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APPLICATION FORM (6)

Equipment Capabilities

Name of Prime Firm / Corporate Houses

The Contactor shall provide adequate information to demonstrate that it has the capability to
meet the requirements for all items of equipment listed in the Pre-qualification Data. A
separate Form (6) shall be prepared for each item of equipment, or for alternative
equipment proposed by the Applicant / Contactor.

Item of Equipment
Equipment Information
Available for this contract
Source
1. Name of Manufacturer
2. Model and power rating
3. Capacity
4. Year of Manufacture
5. Current Location
Indicate source of equipment
Owned / Rented / Leased / Specially Manufactured

Omit the following information for equipment owned by the applicant / Prime contractor or sub-
contractor.

Owner 1. Name of owner

2. Address of owner

Telephone Contact Name and Title

Fax Telex

Agreement Details of rental/ lease/ manufacture agreement specific to the Project

Signature of authorized signatory with Name

designation, date & company seal

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 FSTP RFP for Cities in U.P. – 32 KLD

APPLICATION FORM (7)

Solvency

Name of contractor

1. Amount of Solvency : Rs. (Attach Document Proof)

2. Current Net Worth : Rs. (CA certificate is required)

Signature of authorized signatory with

Name designation, date & company
seal

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APPLICATION FORM (7A)

Financial Capabilities

Name of Contractor

Contractors should provide financial information to demonstrate that they meet the
requirements stated in the Pre-qualification Data, contractors must complete this
form. If necessary, use separate sheets to provide complete banker information.
Copy of the audited balance sheets should be attached.

Banker Name of Banker

Address of Banker

Telephone Contact Name and Title

Fax Telex

Summarize assets and liabilities for the previous three years. Attach the certificate
from the CA/ Valuer.

Financial Information Actual previous three years

Year 1 Year 2 Year 3

2018-19 2017-18 2016-17
1. Total Assets
2. Current Assets
3. Total Liabilities
4. Current Liabilities
5. Profit before Taxes
6. Profit After Taxes

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 FSTP RFP for Cities in U.P. – 32 KLD

Specify proposed sources of financing to meet the cash flow demands of the Project, net of
current commitments specified in the Pre-qualification Data.

Source of Financing Amount

1.
2.
3.
4.

Attach audited financial statements for the last three years (for the individual contractor)

Firms owned by individuals, and partnerships, may submit their balance sheets certified by an
accountant, and supported by copies of tax returns, if the laws of their countries of
origin do not require audits.

Signature of authorized signatory with

Name designation, date & company
seal

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APPLICATION FORM (8)

LITIGATION HISTORY

Name of Firm / Corporate Houses

Applicants should provide information on any history of litigation or arbitration resulting from
contracts executed in the last 5 years or currently under execution.

A. Dispute

Year Award FOR or AGAINST Name of client, cause of litigation, Disputed amount
Applicant and matter in dispute (current value,
Indian rupees)

B. Whether the firm has been black listed by any Govt./ Semi Govt. organizations or its
undertakings ?

C. Contract Dispute in Progress (i) In Arbitration:

(ii) In Courts:

D. Dispute in Tendering Process:

Note: If any information in this schedule is found to be in correct or concealed, the bid will be
summarily rejected and earnest money deposited with the bid shall be forfeited.

Signature of authorized signatory with

Name designation, date & company seal

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 CONDITIONS OF CONTRACT

1. CONTRACTOR’S LIABILITY TO PAY COMPENSATION:

1.01 The works shall through-out the stipulated period of the contract be proceeded
with all the due diligence (time being deemed to be the essence of the contract) and the
contractor shall pay as compensation an amount equal to one percent for every day
that works remain un commenced, or unfinished after the stipulated date of the
contract. And further to ensure proportionate progress during the execution of the
work the contractor shall be bound to complete one forth of the whole of the works
before one fourth of the stipulated time under this contract has elapsed, one half of the
works before one half of such time has elapsed and three fourth of such work before
three fourth of time has elapsed. In the event of the contractor failing to comply
with this condition he shall be liable to pay compensation as mentioned in this clause.
PROVIDE ALWAYS that the entire amount of compensation to be paid under the
provision of the clause shall not exceed ten percent of the cost of works.
2. RIGHT OF BREACH OF CONTRACT:

In any case in which any clause or clauses of these conditions the contractor shall
have rendered himself liable to pay compensation amounting to the whole of the
security deposit (Whether deducted in one sum or deducted by installment) the
Engineer on behalf of the Chairman of Uttar Pradesh Jal Nigam shall have power
to adopt any of the following clauses as he may deem best suited in the interest of
Government:

(a) To rescind the contract (of which rescission notice in writing to the contractor
under the hand of the Engineer shall be conclusive evidence) and in which case the
security deposit of the contractor together with such sum or sums due to him under the
contract shall stand forfeited and be absolutely at the disposal of the Engineer.
(b) Determine the contract and call in other contract or, or employ daily labor to
dismantle bad work if necessary (the bad work to be certified by the Engineer whose
decision shall be final) and to renew and complete the said works and pay the cost of
such contractor for daily labor and price of materials required for such dismantling,
renewing and completion out of the said security deposit or such sum or sums as may
be due to the contractor under this contract, and if such cost be more than the amount
made up the security money and the sum or sums due to the contractor under this
contract the difference between it and the sum made up by the security money and
the balance due to the contractor as aforesaid shall be a debt due from the said
contractor.
In the event of either of the above courses being adopted by the Engineer, the
contractor shall have no claim to compensation for any loss sustained by him by reason
of his having purchased or procured any materials, or entered into any agreements, or
made any advance on account of, or with a view to the execution of the work or
the performance of the contract. And in case the contract shall be rescinded under
the provision aforesaid, the contractor shall not be entitled to recover or be paid
any sum for any work therefore actually performed under this contract, unless and
until the Engineer shall have certified in writing the performance of such work and
the value payable in respect thereof, and he shall only be entitled to be paid the value
so certified.
1
 3. NON-EXERCISE OF CONTRACTOR LIABILITY TO PAY COMPENSATION:

In any case in which any of the powers confirmed upon the Engineer by clause 4
thereof shall have become exercisable and the same shall not constitute a waiver of
any of the conditions hereof, and such power shall not withstand by exercisable in
the event of any future case of default by the contractor for which by any clause or
clauses hereof he is declared liable to pay compensation amounting to the whole of his
security deposit and the liability of the contractor for past and future compensation
shall remain unaffected. In the event of the Engineer putting in force either of the
powers (a) or (b) vested in him under the preceding clause, he may, if he so desires,
take possession of all or any tools, plant, materials and store in or upon the site
thereof or belonging to the contractor or procured by him intended to be used for the
execution of the work or any part thereof paying or allowing for the same in
account at prevailing market rates, such rates to be certified by the Engineer whose
certificates thereof shall be final otherwise the Engineer may issue notice in writing
to the contractor or his other authorized agents to remove such tools, plants,
materials or stores from the premises (within a time to be specified in such notice,
and) in the even of the contractor failing to comply with any such requisition, the
Engineer may remove them at the contractor’s expenses or sell them by auction or
private sale on account of the contractor and at his risk in all respects, and the
certificate of the Engineer as the expenses of any such removal, and the amount of the
proceeds and expense of any such sale shall be final and conclusive against the
contractor.

4. EXTENSION OF TIME:
If the contractor shall desire an extension of time for completion of the work on
the ground of his having been unavoidably hindered in its execution, he shall apply in
writing on prescribed format to the Engineer within seven days after the date of
hindrance on account of which he desires such extension as aforesaid, and the
Engineer shall, if in his opinion has been brought for on reasonable grounds shall
decide for such extension of time, if any, as may, in his opinion, be necessary and
proper.

5. ENGINEER CERTIFICATE OF COMPLETION:

On completion of work the contractor shall be furnished with a certificate by the

Engineer of such completion, but no such certificate shall be given nor shall the work
be considered to be complete until the works shall have been measured up by the
Engineer whose measurement shall be binding and conclusive against the contract and
the contractor shall have to remove from the premises on which the work has
been executed all SCAFFOLDING, surplus materials and rubbish and cleaning off
all dirt and debris in, upon or about the premises of which he may have had
possession for the purpose of the executing the said works. If the contractor fails to
comply with the requirement of this clause as to removal of scaffolding, surplus
materials and rubbish and cleaning off all dirt and debris on or before the date fixed
for the completion of the work the Engineer may at the expense of the contractor
remove such scaffolding, surplus materials and rubbish and dispose of the same as he
think fit and clean off such dirt and debris as aforesaid and the contractor shall forth
with pay the amount of all expense so incurred and shall have no claim in respect
of any such scaffolding or surplus materials as aforesaid except for any sum actually
realized by the sale thereof after deducting the aforesaid expenses.
2
6. PAYMENTS:
On measurement of the works done for the convenience of the contractor, interim
payment shall ordinarily be made monthly but final payment shall not be made until
the whole of the work shall have been completed and a certificate for the completion of
the work given. PROVIDED ALWAYS that the Engineer may refuse to advance such
payments if in his opinion the progress of the “Works” or the conduct of the
contractor is not satisfactory or the contractor has in any other way done or
neglected to do anything so as to make it doubtful whether the works will be
completed by him in accordance with the contract. But all such interim payments shall
be regarded as payments by way of advance against the final payments only and not
as payments for works actually done and completed and shall not preclude the
requiring of bad, unsound and imperfect or unskillful work to be removed and taken
away or re-constructed or re-erected or be considered as an admission of the due
performance of the contract or any part thereof in any respect of the accruing of any
claim, nor shall it conclude, determine or affect in any way the powers of the
Engineer under these conditions or any of the account or otherwise, or in any other
way vary or affect this contract. The final bill shall be submitted by the contractor
within one month of the date fixed, for completion of the work otherwise the
Engineer’s certificate of the measurements (due notice having been given beforehand
to the contractor of the date of such measurement) and of the total amount payable
for the works accordingly shall be final and binding on all parties.
7. BILL TO BE SUBMITTED ON PRESCRIBED FORM:
The contractor shall submit all bills on the prescribed forms to be had on application at
the office of the Engineer and the charges in the bill shall always be entered at the
rates given in the Schedule of Rates hereto attached or in the case of an extra
work ordered in pursuance of these conditions and not mentioned or provided for in
the tender at the rates hereinafter to be approved by the competent authority on the
basis of schedule of rates of
U.P Jal Nigam.

8. STORES SUPPLIED BY GOVERNMENT:

No material shall be supplied by the department. All the construction material such
as pipes, MH cover, Foot steps, Cement, Steel, Bricks, Sand and Stone grit, etc.
shall be arranged by the contractor at his own cost. But the material should be ISI
marked and shall be shop tested by the E/I at the cost of contractor and other material
shall also be tested at the cost of contractor as desired by E/I.

9. MATERIALS AND PLANT OF CONTRACTOR:

All materials brought by the contractor upon the site of the works shall be deemed to
be the property of the owner and shall not on any account be removed from the site
of the works during the execution of the works and shall at all times be open to
inspection by the Engineer. The Engineer on the completion of the works or upon the
stoppage of the works as provided for in clause 14 of this contract shall have an
option of taking over any such unused materials at prevailing market rates, with the
provision that the price allowed to the contractor shall not exceed the amount
originally paid by him for the same, as he (the Engineer) shall desire upon giving
a notice in writing under his signature and within fifteen days of the completion
of the works to that effect, and all materials not so taken over by the Engineer shall
have no claim for compensation on account of any such materials as aforesaid
3
 which are not so taken over by the said Engineer, unused by him (the contractor) or
for any wastage in or damage to any such materials.
10. WORKS TO BE EXECUTED IN ACCORDANCE WITH THE SPECIFICATIONS:
The contractor shall execute the whole and every part of the work in a most
substantial and workmanlike manner both as regards materials and otherwise in every
respect in strict accordance with the specification. The contractor shall also confirm
exactly, fully and faithfully to the drawing and instructions in writing relating to
the work signed by the Engineer.

11. ALTERATION IN SPECIFICATIONS OF DRAWINGS:

The Engineer shall have powers, to make any alterations in, or additions to the
original specifications, drawings and instructions that may be appear to him to be
necessary or advisable during the progress of the work and the contractor shall be
bound to carry out the work in accordance with any instructions which may be given
to him in writing signed by the Engineer and such alteration shall not invalidate this
contract, and any additional work which the contractor may be directed to do in the
manner above specified as part of the work shall be carried out by the contractor on
the same conditions in all respect on which he agreed to do the main work. The rates
for the additional or extra works shall be minimum of the following:

(i) The rates derived from the tendered rates for same item of the contract.

(ii) The rates derived from the U.P. Jal Nigam Schedule of rates of the year for the
district in which the work was actually done
If the additional work includes any class of work for which rate can not be derived
as above then such class of work shall be carried out at rates to be agreed upon
between the Engineer and contractor in writing prior to the work being taken in hand.
The time for the completion of the work shall be extended if supplied for by the
contractor in writing in the proportion that the additional work bears to the original
contract work and the certificate of the Engineer shall be conclusive as to such
extension.
PROVIDED ALWAYS that if the contractor shall commence work or incur expenditure
in regard there to before the rates shall have been determined as lastly therein-before
mentioned, then and in such case he shall only be entitled or be paid in respect of the
rates as aforesaid according to such rate or rates as shall be fixed by the Engineer. In
the event of a dispute the decision of the Chief Engineer shall be final.
12. NO COMPENSATION FOR ALTERATION IN OR REDUCTION OF WORK TO BE CARRIED
OUT:
If any time after the commencement of the works the Chairman of U.P. Jal Nigam/
owner through the Executive Engineer shall for any reason what-so-ever not require
the works there of as specified in this contract to be carried out, the Engineer shall give
notice in writing of the fact to the contractor and upon the receipt of such notice in
writing the works under this contract shall cease and the contractor shall have no
claim to any payment or compensation what-so-ever on account of any profit or
advantage, which he might have derived from the execution of the works in full but
which he did not derive in consequence of the full amount of the works not having
been carried out neither shall he has any claim for compensation by reason of any
alterations having been made in the original specifications, drawings and instructions
which shall involve any curtailment of the work as originally contemplated.
4
13. ACTION AND COMPENSATION PAYABLE IN CASE OF BAD WORK:
If it shall appear to the Engineer or his subordinate in charge of the work that any
work or part has been executed with imperfect or unskilled workmanship or with
materials of any inferior description or that any materials or articles provided by the
contractor for the execution of the works are unsound or of a quality inferior to
that contracted for or otherwise not in accordance with the contract the contractor
shall on demand in writing from the Engineer specifying the work, materials or
articles complained of, forth-with rectify, remove demolish and reconstruct the work
so specified, in whole or in part as the case may require, or as the case may be,
remove the materials, or articles so specified and provide other proper and suitable
materials or articles at his own proper charge and cost, and in the event of his failing
to do so within a period to be specified by the Engineer in his demand aforesaid, then
the contractor shall be liable to pay compensation at the rate of one percent or such
smaller amount as the Chief engineer(whose decision in writing shall be final) may
decide on the amount of the cost of the whole work for every day not exceeding
ten days, while his failure to do so shall continue, and incase of any such failure the
Engineer may rectify remove, demolish and reconstruct the works, or remove and
replace with others, the material or articles complained of as the case may be at the
risk and expense in all respects of the contractor and such expenses may be
deducted from such sum as may be due to the contractor or may become due to him
and from his security deposit. A certificate by the Engineer as to the amount of the
expenses incurred shall be final and binding upon the contractor.
14. WORK TO BE OPEN TO INSPECTION:
All works under or in course of execution or executed in pursuance of this contract shall
at all times be open to the inspection of the Engineer or his subordinate and the
contractor shall all times during the usual working hours and at all other times of
which reasonable notice of the intention of the Engineer or his subordinate to visit the
works shall have been
given to the contractor, either him- self be present to perceive on’ instructions or
have a responsible agent duly accredited in writing , present for that purpose. Orders
given to the contractor’s agent shall be considered to have the same force as if they
have been given to the contractor directly and will be considered as binding on the
contractor.
15. NOTICE TO BE GIVEN BEFORE WORK IS COVERED UP:
The contractor shall give not less than five days notice in writing to the Engineer, or
his duly authorized person for recording the measurement of any work, in order that
the same may be measured, and correct dimensions there of be taken before the same
is so cover up or place beyond the reach of measurement. If any work shall be
covered up or placed beyond the reach of measurement without such notice
having been given or consent obtained, the same shall be uncovered at the
contractor’s expenses and no payment or allowance shall be made for such work or
the materials with which the same was executed.
16. CONTRACTOR LIABLE FOR DAMAGE DONE AND IMPERFECTIONS:
If the contractor or his work people or servants shall break, deface, injure or destroy
any part of a building in which they may be working or any building, road, fence,
enclosure or grassland or cultivated ground continuous to the premises on which the
work or any part of it is being executed, or if any damage shall happen to the work
while in progress from any cause what-so-ever or any imperfections become apparent
5
 in it within 12 months after the final certificate of its completion shall have been
given by the Engineer as aforesaid, the contractor shall make the same good at his own
expense or in default the Engineer may correct the same and made good by other
workman and deduct the expense (for which the certificate of the Engineer shall be
final) from any sums that may be then or at any time thereafter may become due to
the contractor or from his security deposit.
17. CONTRACTOR TO SUPPLY LABOUR, PLANT, LADDERS, SCAFFOLDINGS:
The contractor shall supply at his own cost all labor, skilled and un-skilled and all
things necessary (except such special things, if any, as may in accordance with the
specifications be supplied from the Engineer’s stores) such as plants, tools,
appliance, implements, ladders, cordage, tackle, scaffolding, shoring, strutting,
pumps, boilers, fuel oils, packing, derricks, boring tools, winches and power as well
as all other apparatus and temporary works requisite for the proper execution of the
work, whether original, altered or substituted and whether included in the
specifications or other documents forming part of the contract or referred to in those
conditions or not which may be necessary for the purpose of satisfying or
complying with the requirements of the Engineer as to any matter as of which under
these conditions he is entitled to be satisfied, or which he is entitled to require
together with carriage here to for and from the works. The contractor shall also
supply without charge the requisite number of persons and things necessary for
the purpose of setting out the works, and counting, weighing and assisting in the
measurement and examination at any time and from time to time, the work done, or
materials, supplied by him. Failing his doing so the same may be provided by the
Engineer at the expense and risk of the contractor and the expense (of which the
certificate of the Engineer shall be final) may be deducted from any money due to
contractor under this contract or from his security deposit. The contractor shall also
provide at his own expense all necessary fencing and lights required to protect
the public from accident and shall assume all liability for and indemnify the
Owner against all actions or suits arising out of or in connection with the carrying
out the works whether such actions are brought by members of the public neighboring
owners or workman employed on the works save only actions for permanent
interference with casements to which the site may be subject at law or inequity or
otherwise arising out of Owner’s title to the site. The contractor shall carrying out the
works other legal enactments applicable to them and If shifting of telephone, cable or
water line etc. is necessary, he should inform the department well in advance. The
correspondence (letters) shall be issued by U.P. JAL NIGAM but contractor shall
be responsible for early & timely approval in writing from the concerned
department
/company. The fees shall be payable by U.P. JAL NIGAM (not the claims by
department for damage done to their property during execution of works. No
extension of time shall be admissible for unreasonable delay in seeking permission
from the concerned department/ company). The contractor shall be responsible for the
adequacy, strength and safety of all shoring, strutting, curbing, bonding, brick work,
masonry, concrete, permanent or temporary, appliances, matters and things furnished
by him for the purpose of this contract.
18. WORKS NOT TO BE SUBLET WITHOUT SANCTION:
This contract or any part hereof shall not be assigned or sublet without the
written approval of the Owner and if the contractor shall assign or sublet his contractor
attempt to do so or become insolvent or commence any insolvency proceeding or
make any composition with his creditors or, attempt to do so, or if any bribe,
6
 gratuity, gift, loan, perquisite, reward or advantage, pecuniary or otherwise, shall
either directly or indirectly be given, promised or offered by the contractor or any
of his servants or agents to any public officer or person in the employ of Jal Nigam
in any way relating to his office of employment or if any such officer or person shall
become in any way directly or indirectly interested in the contract, the Owner may
there upon by notice in writing rescind the contract and the security deposit shall
there upon stand forfeited and be absolutely at the disposal of the said Chairman and
the same consequences shall ensure as if the contract had been rescinded under
clause 4 here of, and in addition the contractor shall not be entitled to recover or
be paid for any work that has already been performed under this contract.
19. SUM PAYABLE BY WAY OF COMPENSATION:
All sums payable by way of compensation under any of these conditions shall be
considered as reasonable compensation to be applied to the use of the said
Chairman without the reference to the actual loss or damage sustained, and
whether or not any damage shall have been sustained.

20. WORKS TO BE UNDER DIRECTION OF ENGINEER:

All works under the contract shall be executed under the direction and subject to
the approval in all respects of the Engineer who shall be entitled to direct at what
point or points and in what manner they are to be commenced and from time to time
carried on.

21. DECISION OF OWNER TO BE FINAL:

Except where otherwise specified in this contract, the decision of the Owner shall be
final, conclusive and binding on parties to the contract upon all question relating to the
meaning of the specifications, drawings and instructions herein mentioned aforesaid
and as to the
quality of workmanship or materials used on the work, or as to any other question,
claim right matter or thing, what-so-ever, in any way dressing out of or relating to the
contract drawings, specifications, estimates, instructions, orders or these conditions
or otherwise concerning the works or the execution or failure to execute the same,
whether arising during the progress of the work or after the completion or the sooner
determination there of the contract.
22. ACTION WHERE NO SPECIFICATION:
In the case of any class of work of which there is not mentioned in the specification
such work shall be carried out in all respects in accordance with the instructions and
requirements of the Engineer.

23. CONTRACTOR TO EMPLOY COMPETENT AGENTS AND FOREMAN:

During the execution of the works and until the work is taken over by the order of
the Engineer, the contractor shall employ competent agents and such foremen as
may be necessary for the proper execution of the “Works” (said when work carried
on day and night there shall be a foreman in charge of each shift) who shall be
engaged constantly on the works to ensure proper management and efficient control.
24. RECEIPT OF AND POWER AS TO SECURITY MONEY:

24.1 The Chairman has received from the contractor the sum of Rs 10% amount
of contract value the receipt of which is hereby acknowledged. This said sum
shall be held as security for the due performance of all the conditions and
stipulations of this contract and the Engineer is empowered to deduct from time
7
 to time from each security money, all or any sum or sums which may become
due from the contractor as liquidated damages for the breach of any or all the
covenants or provisions of this contract the security money or such balance
there of as may be left after making the deductions of or mentioned will
be returned to the contractor after Twelve months defects liability period
after the final certificate of the completion of the works shall have been given
by the Engineer and after the Engineer shall have satisfied himself that all the
terms of the contract have been duly and faithfully carried out by the
contractor.

Fixed Deposit Receipts or Bank guarantee of any Nationalized Bank shall also
be accepted as security provided that all such fixed deposit receipt must be
pledged in the name of the Project Manager, Gomti Pollution Control Unit-
I, U.P. Jal Nigam Lucknow and that they will be accepted as security on
the conditions that Jal Nigam will hold the deposit at the risk of the depositor
and will not be liable in the event of the lose of the security due to failure of the
bank or to any other cause and that the loss will fall on the depositor who will
have to deposit fresh security.
24.2 COMPENSATION TO WORKMEN:

28.1 In every case which by virtue of the provisions of section 12, sub-section (1) of
the workmen’s compensation Act, 1923 Jal Nigam is obliged to pay
compensation to a workman employed by the contractor or by any sub
contractor from him in the execution of the said work. U.P. Jal Nigam will
recover from the contractor the amount of the compensation so paid, and
without prejudice to the rights of
Government under section 12, sub-section (2) of the said Act, U.P. Jal
Nigam shall be at liberty to recover such amount or any part there of by
deducting it either from the security money deposited by the contractor or to
his credit under clause 27 of these conditions or from any other sum due by
Jal Nigam to the contractor whether under this contract or otherwise.

28. 2 Jal Nigam shall not be bound to contest any claim made against it under section
12, sub-section(1) of the said Act, except on the written request of the
contractor and upon his giving to Jal Nigam full security for all costs for which
Jal Nigam might become liable in consequence of contesting the claim.

24.3 FOSSILS ETC:

All fossils: coins, articles of value or antiquity and structures or other remains or things of
geological or archeological interest discovered on the site shall be deemed to be the
property of the owner and the Contractor shall take reasonable precautions to prevent his
workmen or any other persons from removing or damaging any such article or things and
shall immediately upon discovery thereof and before removal acquaint the Engineer of
such discovery and carry out at the expense of the owner / Engineer’s order as to the
disposal of the same.

24.4 VEHICLE, SITE OFFICE & DATA ENTRY OPERATOR:

On acceptance of the tender the contractor shall provide temporary site office and one four
wheeler vehicle on each site(including driver, fuel etc.). The site office should be of portable
material and shall have sufficient furniture & fixtures. All relevant I.S. codes and Manuals
should be kept in by the contractor. Other requirements of the site office should be as per
description mentioned in this document elsewhere.
8
24.5 Technical Staff:-
The Prime Contractor / bidder shall provide suitably qualified personnel to fill up the
senior positions required during the execution of the job as given under. The selected
bidder have to make these persons available at site during construction.

Sr. Position Total years Total years of Minimum qualification No. of

No. of experience in persons
Experience similar works
Project
1 5 2 to 5 Degree/ Diploma 1
Manager
(Civil)

Project
2 5 2 to 5 Degree/ Diploma 1
Engineer
(Civil)
At each site

3 Foreman at each 5 2 to 5 ITI 1

site
4 Supervisor at 3 1 to 3 1
each site

25. TESTS ON COMPLETION:

NOTICE OF TESTS:
The Contractor shall give to the Engineer twenty one (21) days notice in writing of the
date after which he will be ready to make the tests on completion; unless otherwise agreed the
tests shall take place within seven (7) consecutive days after the said date on such day or days
as the Engineer shall notify the Contractor in writing.

ARRANGEMENT OF WATER FOR TESTING:

The Contractor shall have to arrange water for testing of sewer line and appurtenant works at
his own cost. No extra payment for the above shall be made by the U.P.JAL NIGAM.

25.1 DELAYED TESTS:

If in the opinion of Engineer the tests are being unduly delayed he may, by notice in
writing, call upon the Contractor to make such test within 21 days from the receipt of the said
notice, and the Contractor shall make the said tests on such days within the said 21 days as
the Contractor may have done as if he had given notice to the Engineer. If the Contractor
fails to make such tests within the time aforesaid, the Engineer may himself proceed to
make the tests. All tests so made by the Engineer shall be at the risk and cost of the
Contractor.

25.2 REPEAT TEST:

If any portion of the works does not satisfy the norms of the tests, tests of the said portion
shall, if required by the Engineer or the Contractor, be repeated within a reasonable time
upon the same terms and conditions, and that all reasonable expenses to which the
Engineer may be put by the repetition of the tests shall be deducted from the Contractor’s
sum.

25.3 CONSEQUENCES OF FAILURE TO PASS TESTS ON COMPLETOION:

If the works or any Section there or shall fail to pass the tests on the repetition there of
9
 under Clause 25.03, the Engineer shall be entitled:

(a) To order a further repetition of the tests under the conditions of sub-clause 25.03

(b) To reject the work or Section there if the results of the tests fail to meet the
performance guarantees.

(c) Not to issue a taking over Certificate.

26.00 TAKING OVER CERTIFICATE:

As soon as the works have been completed in accordance with the Contract (except in
minor respect that do not affect their use for the purpose for which they are intended and
cover the obligations of the Contractor for the purpose) and the works are adjudged true to
specification after these have passed the Tests on completion of execution and thereafter
completion of maintenance period, with all defects whatsoever are removed by the Contractor,
the Engineer shall issue certificate to the Contractor, therein called a taking- over certificate.

26.1 In taking over certificate the Engineer shall certify the date on which the works have been so
completed and have passed in said tests, and the Engineer shall be deemed to have taken
over the works on the date so certified where upon title to and risk or loss or damage to the
works shall have relevance to the owner only.

26.2 The taking over certificate will be issued on completion of the entire work for the purpose as
intended in the Tender Document. No partial taking-over certificate will be issued.

26.03 USE-BEFORE TAKING OVER:

If by reason of any default on the part of the Contractor a Taking-over certificate has not
been issued in respect of works within one month after the time of completion and
maintenance is over, the Employer shall take over physically the work in public interest
pending a formal issue of a Taking-over certificate.

26.04 The Contractor shall take full responsibility for the care of the works or any section or
portions there of the works before taking over the same shall be made good and at the sole cost
of the Contractor and to the satisfaction of the Engineer. The Contractor shall also be liable for
any loss or damage to the works occasioned by him or by any subcontractor in the course of
any operations carried out by him for the purpose of completing any outstanding work or
removing the defects as pointed out.

26.05 DAMAGE TO WORKS CAUSED BY EXPECTED RISK:

In the event of loss or damage to the material / works arising from or occasioned by all
possible risks, which the Contractor is expected to visualize on being aware of the site
conditions, it will be made good by the Contractor at his cost. Such cost shall include in the
contract price.

27.1 INSURANCE OF LABORERS:

The Contractor should get the laborers duly insured before the commencement of the work for
any accident which may occur during the execution of the work. The department will not be
responsible for such type of losses.

a. In every case in which by virtue of the provisions of section 12. Sub section (1) of the
Workmen’s Compensation Act. 1923 U.P. Jal Nigam is obliged to pay compensation to
a workman employed by the Contractor or by subcontractor from him in the execution
of the said work, U.P. Jal Nigam will recover from the Contractor the amount of
the compensation so paid and without prejudice to the rights of U.P. Jal Nigam under
section 12.sub-section (2) of the said Act. U.P. Jal Nigam shall be at liberty to recover
10
 such amount or any part thereof by deducting it either from the security money deposited
by the Contractor or to his credit under Clause 27 of these conditions or from any other
sum due to be paid to the Contractor whether under this contract or other wise.

b. U.P. Jal Nigam shall not be bound to contest any claim made against it under
section 12, sub-section (1) of the said Act. except on the written request of the
Contractor and upon his giving to U.P. Jal Nigam full security for all costs which Jal
Nigam might become liable in consequence of contesting the claim.

27.1 The Contractor without limiting his obligations shall insure the works to the full
replacement cost. This insurance shall be in the joint names of the Contractor and the
Engineer. Any amount not insured or nor recovered from the insurers shall be borne by the
Contractor.

27.2 The Contractor indemnify the department against all losses and claims in respect of death or
injury to any person or any loss or damage to any property which may arise out of
execution completion of works and remedying of any defects. The Contractor shall also
indemnify the department against all claims proceedings, damages, costs. Charge and
expenses whatsoever in respect thereof.

27.3 Amount of insurance shall be for at least Rs. 5.0 lac per occurrence against liabilities for
death or injury to any person or as per latest Government rules whichever is maximum, or loss
or damage to any property.

27.4 The department shall not be liable in respect of any damages or compensation payable to any
workman of the Contractor. The Contractor shall provide the insurance policies in the joint
names of the Contractor and the Engineer at the time of start of work at site.

27.5 If the Contractor fails to keep enforce any of the insurances required under this contract or fails
to provide the policies to the Engineer within the period prescribed the department may pay
any premium as may be necessary for that purpose and shall deduct the amount so paid from
the claims due to the Contractor.

28.00 CONDITION FOR ARBITRATION CLAUSE:

In case of any dispute, difference or question which may at any time arise between the
parties to the contract or arising out of or in respect of the contract shall be referred to the
‘MANAGING DIRECTOR’ U.P. Jal Nigam who will have the power to decide the same as an
arbitrator if he so likes or may nominate any one as an arbitrator to decide it and his AWARD shall be
final and binding on the parties. The Managing Director while nominating any one as Arbitrator will
have the power to fix FEE of the nominee. The arbitrator will have the power to decide the
COUNTER-CLAIM if lodged by the other party. The arbitrator will also have the power to award
pendent elite and further interest on the principal sum so awarded but not in excess of 6% P.A.
(SIMPLE INTEREST) as he thinks reasonable. Initially the FEE of the Arbitrator will be paid by the
claimant i.e the party who invoked the arbitration clause which will be one of the elements of costs of
the arbitration and will finally be borne by the parties as per award of the arbitrator. The VENUE of
arbitration will Lucknow. For matters other than those mentioned above in condition -29 the
provisions of Arbitration & conciliation Act.-1996 will be applicable.

11
 DETAILED SPECIFICATIONS FOR CIVIL WORKS
1. Earth Work
1.1 GENERAL

The conditions/specifications laid down hereunder will hold good whether the excavation is to
be carried out over areas for levelling foundations of structures, trenches for pipes or cables or
any other type of work which involves earth work like the levelling of forming/embankments etc.
as per UP Jal Nigam / UP PWD specifications.

a. Earthwork in excavation includes site-cleaning activities like removal of shrubs, loose stones,
rubbish of all kinds, interfering with the works and with complete removal of roots.

b. The products of the above clearing operations shall be removed from the site, dumped, stacked at
a place or places, burnt or otherwise disposed of as directed by the Engineer-in-Charge within the
compound.

c. A permanent base line and cross lines shall be established to serve as reference grid using MS
plates, pegs, pins set in concrete or brick masonry pillars where they will be free from disturbances.

d. A permanent bench marks or marks as required necessary for the works connected to the nearest
GTS benchmark shall be established for reference.

e. Excavation shall be carried out in all types of soil like top soil, silt, sand, gravel, soft murrum,
clay, kankar, hard materials like disintegrated rock shale which can be removed by picks, crowbars
and shovels. Soil/earth may contain boulders. Loosening of rocks include the other methods of
excavation other than blasting such as chiselling, wedging line drilling to avoid shattering of
rocks. The Engineer-in-Charge shall decide what method shall be adopted for removal of the hard
rock.

f. Excavation, whose sides are required to be maintained at a steeper slope than the stable slopes,
will be required to be properly shored and strutted failing which the contractor will be required
to execute the work by open cutting by the approval of Engineer-in-Charge.

g. Negligence on account of this leading to any mishap will be entirely the responsibility of the
contractor.

1.2 DRAINAGE IN THE VICINITY OF EXCAVATION

i. The contractor shall control the drainage in the vicinity of the Excavation so that the surface of
the ground will be properly sloped to prevent surface water running into excavated areas during
construction. Arrangements shall be made for preventing rain and other extraneous liquids entering
the excavated parts. Seepage water shall be directed to flow away from the trenches by gravity. If
any pumping is required to keep the trench and the exposed areas dry for further work the same
shall be done by the contractor at his own expenses.

ii. The rates quoted by the contractor shall be deemed to be inclusive of all the above costs or
charges for stipulations stated above.

iii. Excavated material shall not be deposited within 1.5 meters from the top edge of the excavation.

iv. The contractor shall remove the excavated material to spoil heaps on the site or transport the same
to a place as directed by the Engineer-in-Charge.

12
 v. If the bottom of the excavation is left exposed by the contractor and in the opinion of the
Engineer-in-Charge it has become deleteriously affected by atmospheric changes or affected by
water then the contractor shall remove at his own cost such portions of the affected foundations
and shall make good by filling with lean concrete or with compacted sand as directed by the
Engineer-in- Charge.

vi. Where Excavation is made in excess of the depths required as shown in the drawings or as
directed by the Engineer-in-Charge the contractor shall at his own expense fill up to the required
level with lean concrete or well compacted sand as decided by the Engineer-in-Charge.

vii. Loose, soft or bad soil encountered in Excavation at the -required depth on Engineer-in- Charge’s
directions shall be excavated to the firm bed and the difference of levels between the required level
and the firm bed shall be filled up or dealt with as directed by the Engineer-in-Charge.

viii. Any obstacle encountered during excavation shall be reported immediately to the Engineer-in-
Charge and shall be dealt with as instructed by him. Same shall be applicable for any
antiques/treasure found during excavation.

ix. Any public utility services/facilities like water supply lines, gas supply line, sewers,
telephone/electric cables poles etc. met with during Excavation shall not be damaged and no
disruption is caused to the utility service on account of damages caused by the contractor. Such
facilities shall be properly supported in their original positions by giving signs, suspension beams
etc. as contractors own expenses.

x. The contractor shall not undertake any concreting or constructing work of any nature on the
excavated surfaces until approved for the same is given by the Engineer-in-Charge.

xi. The contractor shall be solely responsible for the protection of adjoining properties from damages
that may be on account of excavation close to the properties whether the property belongs to
government or to a private party.

xii. The contractor shall make all arrangements for proper warnings like providing . fences, danger
flags, barricading, night warning lights, watch and ward etc, to caution the public as well as the
labourers engaged by him about the dangers that may be involved by excavation of trenches, pits,
foundations etc. Safety code for excavation work IS: 3764-1966 shall be rigidly followed unless
instructed otherwise by the Engineer-in-Charge.

xiii. Any useful material obtained during Excavation shall be stacked as directed by the Engineer-in-
Charge and will be the property of the department. The decision of the Engineer-in-Charge in this
regard shall be final and binding on the contractor.

xiv. Any material used by the contractor out of the Excavated stuff in lieu of his own materials shall be
charged to the contractor at the market rates.

xv. The rates quoted shall include back filling of excavated material and disposal of surplus earth as
directed by the Engineer-In-Charge.

1.3 EXCAVATION IN TRENCHES AND CABLE DUCTS:

i. Excavation as required in trenches, cable ducts, for manholes, other overflow structures, cross
drainage works, extra depths for joints of pipes shall be carried out as shown in the
drawings/directed by the Engineer-in-Charge.

ii. For deep foundations necessary shoring and strutting shall be executed as directed by the
Engineer-in-charge. If additional slopes are to be provided where vertical cuts ‘are not possible the
13
 same shall be executed without any additional cost. The rates quoted shall be deemed to be
inclusive of all such extra work.

iii. The trench shall be kept perfectly dry by preventing the extraneous water entering the pits and
also wherever necessary by pumping at the cost of the contractor. No additional cost of dewatering
shall be payable.

iv. The trenches after laying, jointing and testing of pipes/cables are to be back filled. The trenches
shall be filled with the excavated material if found suitable as directed by the Engineer-in-
Charge.
v. All surplus soil/earth shall be transported and disposed of as directed by the Engineer- in-Charge
Boulders, sharp objects, brickbats, roots of trees, rubbish, rubble etc. shall not be used for back
filling. The back filling shall be done very carefully so as not to damage the pipes/cables or disturb
the alignment levels of the pipes/cables. The back filling shall be done in layers on both sides
of the pipes watered, consolidated by ramming to a dense layer. The thickness of each layer shall
not be more than 15 cms. Special care shall be taken to avoid unequal pressures and not to disturb
the pipe.

vi. In case the excavated material falls short of requirement the back fill soil/earth shall be taken from
borrow pits approved by the Engineer-in-Charge. The rates quoted by the contractor shall be
deemed to be inclusive of all such works.

vii. Sight rails and boning rods are to be used at regular intervals as directed by the Engineer-in-
Charge to excavate the trenches true to line and grade.

1.4 PUMPING OF SUB SOIL WATER DURING EXECUTION:

Nearly half of the excavation in trenches/pits including construction of bedding, laying and
jointing of AC Class 15, H.D.P.E. D.W.C. & D.I. K-7 pipes as sewer line and D.I. K-9 pipe as Rising
Main, construction of manholes and other appurtenant works are to be carried out above sub soil water. If
in any case sub soil water level conditions are encountered then the sub soil water level shall be required
to be lowered down during execution of all items of works as mentioned above so as to have totally dry
conditions. The dry conditions shall have to be maintained at least 24 hours after execution of all items
involving cement such as cement concrete, brick work, plastering, jointing of RCC pipes etc and also
during testing of sewer line laid as directed by Engineer.

For this purpose the contractor shall be required to bore the requisite number of shallow tube wells
including supply of all labour, T&P and other accessories such as strainers, valves, piping, pumping
plants along with their installation for lowering the sub soil water as per requirement and direction of
Engineer. The pumping shall have to be done continuously round the clock (day and night). For this the
contractor shall have to make his own arrangements for the supply of electric power through power
generating sets/ power grid including supply of all diesel, M. oil lubricants and other accessories etc.

The contractor is advised to make their rates sufficiently comprehensive to cover all costs in this
connection. No extra claim in this regard shall be entertained.

1.5 BACK FILLING / EARTH FILLING

i. Back filling of earth around liquid retaining structures and pipes shall be done only after the
water-tightness test is done to the satisfaction of the Engineer-in-Charge. Selected earth from the
excavated earth shall be used for back filling / embankment.

ii. Care shall be taken to see that unsuitable soil/earth does not get mixed up with the material
proposed to be used for filling.

14
 iii. Regarding the soil/earth to be used for back filling the contractor shall have the prior approval
of the Engineer-in-Charge.

iv. Backfill shall be placed in successive horizontal layers of loose material not more than 15 cm thick.
The material shall be brought to within + or - 2% of the optimum moisture content as described in
IS:2720 (Part VIII) after adjusting the moisture content, the layers shall be thoroughly compacted
with such equipment . as may be required to obtain a density equal to or greater than 95% of
maximum laboratory dry density of the soil.

v. Successive layers of filling shall not be placed until the layer under construction has been
thoroughly compacted to satisfy the requirements laid down in the requirements.

1.6 FILLING AND EMBANKMENT

i. The area where filling or embankment is to be carried out shall be cleared from loose material
and the virgin soil shall be exposed. All shrubs and vegetation with roots are cleared. All soft
patches shall be removed and filled with selected soil/earth and consolidated. Exposed soil/earth
shall be consolidated properly to obtain 95% to 97% of maximum laboratory dry density of the
soil.

ii. Approved filling material shall be uniformly spread in layers not exceeding 15 cms in loose
depth. All clods, lumps, etc shall be broken before consolidation.

iii. Successive layers of filling shall not be placed until the layer under construction has been
thoroughly compacted to satisfy the requirements laid down in these specifications.

iv. The contractor shall give the samples of the earth he proposes to use for back filling for testing, if
required or directed by the Engineer-in-Charge along with the following characteristics of the
soil/earth.

v. Only earth having plasticity index less than 20 shall be used.

vi. Soil/earth having laboratory maximum dry density of less than 1500 kg per cubic meter shall not
be used.

vii. If the layer fails to meet the required density it shall be reworked or the materials shall be
replaced and method of compaction altered as directed by the Engineer-in-Charge to obtain the
required density.

viii. If any test indicates less than the specified degree of compaction the Engineer-in-Charge may
require all the fill placed; subsequent to the latest successfully tests to be removed and compacted
and compaction procedure to be done once again to obtain satisfactory density.

ix. The contractor shall perform all necessary tests to determine optimum moisture content and the
degree of compaction. He shall furnish the results to the Engineer-in-Charge.

x. Prior to rolling, the moisture content of the material shall be brought to within +2% of the
optimum moisture content as described in IS-2720 (part VIII). The moisture content shall
preferably be on the wet side for potentially expansive soil/earth. After adjusting the moisture
content as described in this clause, the layers shall be thoroughly compacted by means of rollers
till 95% to 97%of maximum laboratory dry density is obtained.

xi. The embankment shall be finished to the alignment levels and grades, cross sections,

15
 dimensions shown in the drawings or as directed.

xii. If sand filling is specified in the tender for filling the trenches, plinth or foundations the sand used
shall be hard, free from inorganic materials and deleterious materials and approved by the
Engineer-in-Charge. Filling shall be carried out in layers not exceeding 30 cms in loose depth and
flooded and tamped till it meets the approval of the Engineer-in-Charge.

xvi. The contractor shall perform all necessary tests to determine optimum moisture content and
the degree of compaction. He shall furnish the results to the Engineer-in-Charge.

1.7 BORROW AREAS

Borrow pits, if required shall be fixed or as directed by Engineer-in-charge.

All areas required for borrowing earth or embankment shall be cleared of all trees and stumps, roots,
bushes, rubbish and other objectionable materials. Particular care shall be taken to exclude all organic
matter from the material to be placed in the embankment. The cleared areas shall be maintained free of
cost.

Borrow areas shall be stripped of top soil or any unsuitable material. Stripping operation shall be limited
to designated borrow areas.

1.8 PLACEMENT OF EARTH FILL:

The earth placed at the top of existing ground shall be free from all clods and organic matter. The earth
shall be placed in layers of not more than 15 cm in thickness before being rolled. If the rolled surface
appears to be to dry, it should be moistened and if too wet, it should be raked up, allowed to dry to
reduce the moisture content to the required extent and compacted (by vibratory rollers) again with
additional number of passes before placement of next layer. When compacting the soil against abutment
or walls or masonry or concrete structures, the constructions surface shall be sloped away from the
masonry and concrete structure, for a distance of 2.5 M. at an inclination of 6 : 1 or steeper. The protion
of the embankment directly against the structure shall be compacted with pneumatic hand tempers in thin
layers. The moisture content of the earth fill placed against the structure shall be slightly above the
optimum. The in extending any embankment, the benching shall be done by cutting steps on the slopes
not steeper than 2 to 1 on the old embankment before laying fresh earth in the extension. No extra
payment shall be made for this work. Care shall be taken in placing first layers of the fill so that no
damage is caused by the hauling machinery. Sheep foot roller shall not be employed for compaction till
the thickness of the layer compacted by other means is greater by 30 cm than the depth of the foot of the
roller drums.

1.9 COMPACTION :

Adequate labour shall be kept by the contractor for spreading earth in proper layers.
Compaction is to be done by vibratory rollers
Compaction of spoil banks shall be done by the contractor by manual labour by making the top surface
even regular. Inner slopes shall be dressed manually by wooden durmats and other slopes by manual
labour. If the contractor employees machines including trucks for the transport of earth, the
embankment so constructed shall not be taken as mechanically compacted.

Levelling if necessary on account of any fault of the contractor may be restored to by the department at
the cost of the contractor for which the contractor shall have no objection nor any claims on the account
shall be entertained.

1.10 INSPECTION ROAD :

16
 The contractor shall maintain the inspection road along the lake for movement of light vehicles
in the entire reach in connection with the work in his borrow and embankment reach. In case he failed to
do so the Engineer-in-charge shall be at liberty to maintain the road by employing any other agency or
by departmental labour by giving 24 hours notice to the contractor and the expenditure so incurred shall
be recovered from the contractors bill, The decision of the Engineer-in-charge in this respect shall be
final and binding upon the contractor.

1.11 MINTENANCE OF EARTH WORK DURING PROCESS OF WORK :

During the executing of work the contractor shall be responsible for the maintenance. Any damage
to the work already executed on account of rains, cross or images and /or flow from adjoining reaches
shall be made good by him. No extra payment shall be made to the contractor for these operations.

2.1 SHORING/STRUTTING/TIMBERING:

i. When the depth of foundation trench is great and the soil/earth is soft and generally for depths
more than 1.5 m. Stepping, sloping and or panelling and strutting of sides shall be done as
directed by the Engineer-in-Charge. The decisions regarding the positions and depths at which and
what type of precautions are to be provided shall be decided by the Engineer-in-Charge.

ii. It shall be the responsibility of the contractor to take all necessary precautions or steps to prevent
the sides of trenches from collapse. The contractor shall be responsible to make good any losses
or damages caused to execute works, life and property due to his negligence.
iii. Deep excavation shall be inspected after every rain, storm, or other hazards and if necessary
the precautions required shall be augmented.

iv. Planking and strutting shall be either “Close” or “Open” type depending upon the nature of the
soil/earth and depth of excavation etc.

v. The timbering shall be of sufficient strength to resist earth pressure and ensure safety to the
adjoining property and to persons. Where the excavation is subjected to vibrations due to
machinery, vehicles, rail traffic, blasting and other sources, additional bracings shall be provided.

vi. Generally the specifications and sizes and spacing of sheeting, walers and struts used for timbering
of different depths shall be as given in the IS: 3764-1965 Safety code for excavation work unless
otherwise specified in the tender else where. Shoring shall extend 30 cms, above the vertical sides.

vii. Withdrawal of timbering shall be done very carefully to prevent collapse of the sides of
excavation and any damage to the work executed.

Open timbering shall be provided wherever the Engineer-in-Charge directs, where the trenches are
not close to any buildings/property/structures. In open timbering the trench shall be protected by
covering 1/3 the surface area by planks.

3.0- SHEET PILING:

In soils combined with ground water, it may be necessary to use continuous interlocking steel
sheet piling to prevent excessive soil movements due to ground water percolation, such sheet piling
shall extend at least 1.50 metre below the bottom of the trench unless the lower part of the trench is in
fine material. Excavation and shoring shall be done in stages, if required at the site.
All the works of sheet piling shall be as per code of practices and manual of sewerage and water
supply.

17
 Important Note

1. The bottom of Excavation shall be trimmed to the required levels and when carried below such
levels, by error, shall be brought to level by filling with lean concrete of grade 1:4:8 or as specified
at the contractor’s cost and nothing extra shall be paid to the contractor on this account.

2. The contractor shall be responsible for assumptions and conclusions that he may make
regarding the nature of materials to be excavated and the difficulty in making and maintaining the
required Excavation and performing the work required as shown on the drawing and in accordance
with these specifications. Cofferdams, sheeting, shoring, bracking, draining, dewatering, etc.
shall be furnished and installed as required and the cost thereof shall be included in the rate quoted
for the item of excavation. The contractor shall be held responsible for any damage to any
part of the work and property caused by collapse of sides of Excavation. Materials may be
salvaged if it can be done with safety for the work and structures, as approved by the
Engineer-in-Charge. However, no extra claim shall be entertained for material not salvaged or
any other damage to contractor’s property as a result of the collapse. He shall not be entitled to
any claim for re-doing the excavation as a result of the same.

3. The excavation for foundations shall be carried out carefully, creating least disturbance to the
founding stratum. The founding stratum should be blended by the concrete layer immediately
after exposure so that it does not loose its strength on exposure to air and water.

4. Where excavation requires bracing, sheeting, or shoring etc, the contractor shall submit to the
Engineer-in-Charge, drawings showing arrangement and details of proposed installation, and
shall not proceed until he has received approval from the Engineer-in-Charge.

5. The contractor shall have to constantly pump out the water collected in pits due to rainwater,
springs etc. and maintain dry working conditions.

6. For the purpose of excavation in earthwork, all types of soil including kankar, murrum, single
and boulders without binding matrix are included.

7. All excavated material obtained as a result of over excavation for which payment shall not be
made, and that shall also be transported and disposed off as directed and at places shown by the
Engineer-in-Charge, at no extra cost to the department within plot boundary.

8. All excavated materials obtained from excavation shall remain in the department’s property.
The useful portion as decided by the Engineer-in-Charge, shall be separated from the useless
ones and deposited in regular stacks at places indicated and as directed by the Engineer-in-
Charge.

9. In no case the excavated soil shall be stacked upto a distance of 1.5 m from the edge of excavation
or one-half the depth of excavation whichever is more.

10. IS Codes

Some of the important relevant applicable codes for this section are

IS: 1200 (Part-I)-Method of measurement of building and civil engineering works and earthwork

IS: 3764 - Safety -code for excavation work

IS: 4701 - Code of practice for earthwork on canals

18
2. PLAIN CEMENT CONCRETE:
General

Aggregate shall be of inert materials and shall be clean, dense, hard, sound durable, non-absorbent and
capable of developing good bond with mortar. Coarse aggregate shall be of hard broken stone or granite
or similar stone free from dust dirt and other foreign matters. The stone ballast shall conform to UP
Jal Nigam, UP PWD specifications.

Fine aggregate shall be of coarse sand consisting of hard, sharp and angular grains and shall’ pass
through screen of 4.75 mm IS Sieve. Sand shall be of standard specifications, clean and free from
dust, dirt and organic matters. Fine aggregate may also be crushed stone.

Ordinary Portland cement of 43/53 grade as per IS: 8112 shall be used. It shall have the required
tensile and compressive stresses and fineness. Water shall be clean and free from alkaline and acid
matters and suitable for drinking purposes.

The proportion of concrete shall be 1:3:6 (Cement: Fine Aggregate: Coarse Aggregate) by unless
otherwise specified. Minimum compressive strength of concrete of 1:3:6 proportion shall be as per
IS: 456 2000 or its latest revision.

Stone aggregate, sand and cement shall be mixed as per UP Jal Nigam, UP PWD specifications. All
materials shall be dry. If damp sand is used, compensation shall be made by adding additional sand
to the extent required for the bulking of damp sand.

Appropriate quantity of water required for cement may be taken as spacified in IS 456-2000 or its
latest amedment. For concrete compacted by mechanical vibrations the quantity of water shall be
reduced by 20%.

Mixing shall be of machine mixing type. Hand mixing shall not be permitted.

Machinery Mixing: Stone ballast, sand and cement shall be put into the cement concrete mixer to have
the required proportion. For concrete of 1:2:4 proportion, first four boxes of stone ballast, then two
boxes of sand and then one bag of cement shall be put into the C.C. Mixer, the machine shall then
be revolved to mix materials dry and then water shall be added gradually to the required quantity,
25 to 30litres per bag of cement to have the required water cement ratio. The mixing shall be
thorough to have a plastic mix of uniform colour. It requires 1.5 to 2 minutes rotation for thorough
mixing. Mixed concrete shall be unloaded on a masonry platform or on a sheet iron. Output of
concrete mixer is 15 to 20 mix per hour.

Regular slump test shall be carried out to control the addition of water and to maintain the required
consistency.

Formwork centering and shuttering shall be provided as required, as per standard specifications before
laying concrete to continue to support or to keep the concrete in position.

Concrete shall be laid gently (not thrown) in layers not exceeding 15 cm and with mechanical
vibrating machine until a dense concrete is obtained. (For important work mechanical vibrating shall
be used for thick or mass concrete immersion type vibrators and for thin concrete surface vibrators
shall be used for compacting concrete). Over vibration will separate coarse aggregate from concrete
and shall be avoided. After removal of the formwork in due time the concrete surface shall be free
from honey combing, air holes or any other defect.

19
Concrete shall be laid continuously, if laying is suspended for rest or for the following day the end
shall be shuttered and vibrated to achieve dense concrete and made rough after de-shuttering for
further jointing. When the work is resumed, the previous portion shall be roughened, cleaned and
watered and a grout of neat cement shall be applied and the fresh concrete shall be laid. For
successive layer the upper layer shall be laid before the lower has set.

After about 2 hours laying when concrete has begun to harden, it shall be kept damp by covering
with wet gunny bags or wet sand for 24 hours, and then cured by flooding with water, making mud
walls 7.5 cm high or by covering with wet sand or earth and kept damp continuously for 15 days.
If specified, curing may be done by covering concrete with special type of waterproof paper as to
prevent water escaping or evaporating.

Plain cement concrete shall be provided for leveling courses, foundations, pipe bedding or at other
places wherever indicated in the drawings/directed by the Engineer-in-Charge. Grade and thickness
of all PCC works shall be as mentioned in the drawings.

The proportion of the concrete, size of the aggregate shall be as specified in the drawings and technical
specifications approved by Engineer-in-Charge.

While placing concrete directly on the soil for foundations etc. all the loose material shall be
removed. The surfaces shall be trimmed and well consolidated.

The material specifications, mixing, placing of concrete compaction, curing, removal of the form
work shall all be done as specified for reinforced cement concrete in the section of this tender
document. The clauses provided therein shall also equally apply for this item of work to the extent
relevant.

The rates quoted shall include supply of material, labour, tools and plant, water, mixing platforms,
curing, supplying, erecting and dismantling of all form works as required.

Testing and Acceptance Criteria of Concrete

The sampling of concrete making the test specimens, curing and testing procedures etc. shall be in
accordance with IS: 1199, IS: 3085 and IS: 516, the size of specimen being 15 cm cubes. Normally
only compression tests shall be performed in accordance with IS: 516.
For each grade of concrete and for each 8 hours of work or portion thereof the following samples
shall be taken.
At least six specimens shall be taken from the first 15.0 m3 or part thereof and three of these shall be
tested at 7 days and the remaining at 28 days. Four additional specimens shall be taken from each
additional 15.0 m of concrete or portion thereof of which 2 specimens shall be tested at 7 days and the
remaining at 28 days.
To control the consistency of concrete from every mixing plant slump tests, and/or compacting
factor tests in accordance with IS: 1199 shall be carried out by the contractor every two hours or as
directed by the Engineer-in-Charge. Slumps corresponding to the test specimens shall be recorded
for reference. The acceptance criteria of concrete shall be in accordance with IS: 456-2000 or its latest
amendment.
Concrete work found unsuitable for acceptance shall have to be dismantled and replacement is to be
done as per specifications by the contractor. No payment for the dismantled concrete, the relevant
formwork and reinforcement embedded fixtures etc. shall be paid.

In the course of dismantling if any damage is done to, the embedded items or adjacent structures the
same shall be made good free of charge by the contractor to the satisfaction of the Engineer-in-Charge.
20
3. BRICK MASONRY AND PLASTERING
3.1 BRICK

MASONRY General

All bricks shall be of class designation 10 or best locally available approved by Engineer-in-Charge
made of good brick earth thoroughly burnt, and shall be of deep cherry red or copper colour. Bricks
shall be regular in shape and their edges shall be sharp and shall emit clear ringing sound on being
struck and shall be free from cracks, chips, flaws and lumps of any kind. Bricks shall not absorb
water more than one sixth .of their weight after one hour of soaking by immersing the water. Bricks
shall have a minimum crushing strength of 105 kg/cm² (10.5 N/mm2).

Bricks shall be fully soaked in clean water by submerging in a tank for a period of 12 hours
immediately before use. Soaking shall be continued till air bubbling is ceased.

Bricks shall be well bonded and laid in English bond unless otherwise specified. Every course shall
be truly horizontal and wall shall be truly in plumb. Vertical joints of consecutive course shall not
come directly over one another, vertical joints in alternate course shall come directly over one
another. No damaged or broken bricks shall be used. Closers shall be of clean-cut bricks and shall be
placed near the ends of walls but not at the other edge. Selected best-shaped bricks shall be used for
face work. Mortar joints shall not exceed 6 mm in thickness and joints shall be fully filled with
mortar. Bricks shall be laid with frogs upwards except in the top course where frogs shall be placed
downward. Brickwork shall be carried out not more than 1.2m height at a time. When one part of the
wall has to be delayed, stepping shall be left at an angle of 45º. Corbelling or projections where
made shall not be more, than X brick projections in one course. All joints shall be raked and faces
of wall cleaned at the end of each day’s work.

These specifications deal with all types of brickwork required for buildings, manholes, drains,
retaining walls or any construction made out of bricks.

3.1.1 Materials

3.1.1.1 Bricks

Bricks used for the construction of brick masonry shall be hard, rectangular in shape and size and well
burnt of uniform deep red, cherry or copper colour and shall confirm to IS: 1077-1986.

The bricks shall be brought from approved brick kilns. The bricks shall be free from cracks,
chippings, flaws, stones or lumps of any kind. The bricks shall not show any signs of efflorescence
and shall be homogeneous in texture.

They shall emit a clear metallic ringing sound on being struck and shall have a minimum
compressive strength of 10.5 N/mm2 equivalent to 105 kg/cm².

They shall not absorb more than 20% of its dry weight when soaked in cold water for 24 hours
or otherwise specified in the Indian Standard Specification.

3.1.1.2 Mortar

The proportion of the cement mortar used for the masonry work shall be as specified on the various
drawings for different places/types of construction, specifications for each part of the work.

21
For cement mortar fresh Portland cement of standard specifications shall be used. Sand shall be sharp,
clean and free from organic and foreign matters. For rich mortar coarse or medium sand shall be used
and for weak mortar local fine sand may be used. Materials of mortar shall be measured to have the
required proportion with measuring box and first mixed dry to have a uniform colour in a dean
masonry platform and then mixed by adding clean water slowly and gradually to have workable
consistency and mixed thoroughly by turning at least three times. Fresh mixed mortar shall be used, old
and stale mortar shall not be used and mortar for an hour work only shall be mixed with water so that
the mortar may be used before setting starts.

Coarse sand is mixed with the required quantity of cement for the preparation of the mortar. Mortar
shall be prepared in accordance with IS: 2250-1981. The sand used for the masonry mortar shall
meet the requirements as specified in IS: 2116-1980. For masonry mortars, sand and cement of required
proportions are mixed in small quantities in a dry state first and then water is added to make the mortar
of required consistency suitable for the type of work for which it is required as directed by the
Engineer- in-Charge. No left over mortar shall be used and therefore only that much quantity of
mortar that can be consumed within 30 minutes shall be mixed in batches.

3.1.1.3 Sand for Brick Masonry

Table 3.1 : Grading of sand for use in Masonry Mortar

IS Sieve Designation Percentage passing by mass

4.75 mm 100
2.36 mm 90 to 100
1.18 mm 70 to 100
600 micron 40 to 100
300 micron 5 to 70

150 micron 0 to 15

3.1.2 Construction

The brick masonry shall be constructed as per the Indian Standard Code of Practice for Brick Work
IS: 2212-1962. The thickness of the joints shall not be thicker than those specified in para 5.4 of the
above Code of Practice.

The bricks shall be thoroughly soaked in water before using them on the work for at least twelve
hours and all the air bubbles shall come out during soaking process. The soaked bricks shall be
stacked on wooden planks/platforms so as to avoid sticking of the earth and other materials on to the
surfaces of bricks. Bricks required for construction in mud mortar or lime mortar shall not be
soaked. Brickwork shall be laid in English Bond unless otherwise specified. Half bricks shall not be
used except when needed to complete the bond. Each course shall be perfectly straight and
horizontal. The masonry shall be true to plumb in case of vertical walls and in case of battered
construction the batter or slope shall be truly maintained. The level of the courses completed shall be
checked at every one meter interval or less as required.

The bricks shall be laid frogs upwards. While laying the bricks they shall be thoroughly bedded
and flushed in mortar and well tapped into position with wooden mallets and superfluous mortar
shall be removed.

22
No part of the structure shall be raised more than one meter above than the rest of the work. In case it
is unavoided the brickwork shall be raked back at an angle of not more than 45 degrees so as to
maintain a uniform and effectual bond, but raking shall not start within 60 cms from a corner.

In case of construction of buttresses, counterforts, returns they are built course by course carefully
bound into the main walls.

At all junctions of walls the bricks at alternate courses, shall be carried into each of the respective
walls so as to thoroughly unite both the walls together. The brickwork shall not be raised more
than 14 courses per day.

All the beds and joints shall be normal to the pressures applied upon them Le horizontal in vertical
walls, radial In arches and at right angles to the face in battered retaining walls.

Vertical joints in alternate courses shall come directly one over the other and shall be truly vertical.
Care shall be taken to ensure that all the joints are fully fitted up with mortar, well flushed up
where no pointing is proposed, nearly struck as the work proceeds. The joints in faces which are
plastered or painted shall be squarely raked out to a depth not less than 12 mm while the mortar is
still green. The raked joints shall be well brushed to remove the loose particles and the surfaces shall
be cleaned with a wire brush so as to remove any splashes of mortar sticking to the surfaces during the
construction.

All iron fixtures, pipes, bolts, conduits, sleeves, holdfasts etc. which are required to built into the
walls shall be embedded in cement mortar or cement concrete as shown in the drawings/indicated
in the specifications/directed during the execution by the Engineerin-Charge as the work proceeds and
no holes be left for fixing them at a later date unless authorised by the Engineer-in-Charge.

3.1.2.1 Curing

Green work shall be protected from rain by covering the work suitably. Masonry work as it
progresses shall be thoroughly kept wet by watering on all the faces for atleast 10 (Ten) days after
completion of the parts of the work. Proper watering cans, flexible pipes, nozzles shall be used for the
purpose in case of fat lime mortar curing shall start two days after construction of masonry and shall
continue for seven days. No additional payment is admissible for curing and the rates quoted are
deemed to be inclusive of the cost of curing.

3.1.2.2 Scaffolding

Double scaffolding sufficiently strong so as to withstand all loads that are likely to come upon it
and having two sets of vertical supports shall be provided. Where two sets of vertical supports are not
possible the inner end of the horizontal supporting pole shall rest in a hole provided in a header course
only. Only one header for each pole shall be left out. Such holes however shall not be permitted
in pillars less one meter in width or immediately near the skew backs of arches. Such holes shall be
filled up immediately after removal of the scaffoldings. Safety Code for Scaffolds and Ladders, IS:
3696-1987 (Parts I and II) shall be followed.

3.2 Plastering

Cement mortar used for plastering shall be of the mix proportions and thickness as specified on the
drawings or bill of quantities or particular specifications for the various different parts of the works.
The materials used i.e. cement, sand and water shall be of the same quality and of the same
specifications as indicated for plain and reinforced cement concrete works according to the
specifications and approved by the Engineer-in-Charge. Sand further shall meet the specifications as
23
laid down in IS: 1542-1977 Specification for sand for plaster.

The sand for preparation of mortar for plastering shall confirm to the following gradation, shown
in Table 3.2

TABLE 3.2: GRADING OF FINE AGGREGATES

Percentage by weight passing IS Sieve

IS Sieve Designation Class -A Class-B
4.75 mm 100 100
2.36 mm 90 to 100 90 to 100
1.18 mm 70 to 100 70 to 100
600 Microns 40 to 85 40 to 95
300 Microns 50 to 50 10 to 65
150 Microns 0 to 10 0 to 15

For the purpose of indicating the suitability for use, the sand is classified as Class A and Class B
in accordance with the limits of grading. Class A sand shall be used generally for plastering and when
they are not available, Class B sand may be used with the approval of Engineer-in-Charge.

The procurement of sand for Mortar for plastering and pointing shall confirm to be specifications
given in Table 3.2.

Surface that are to be applied with plaster shall be thoroughly cleaned to remove dust, dirt, loose
particle, oil, soil, salts etc, that may be sticking to the surfaces. The surfaces shall be washed, clean
and watered properly for 4 hours before applying plaster. Plaster shall not, in any case, be thinner
than specified. It shall have uniform specified thickness. When smooth finishing is required the cement
plastering shall be floated over with neat cement within 15 minutes after application of the last coat of
plastering. The plaster shall be protected from the sun and rain by such means as the Engineer-in-
Charge may approve.

The plastered surface shall be cured for 10 (ten) days. Construction joints in plastering shall be kept
at places approved by the Engineer-in-charge. When the thickness of the plaster specified is to be made
up in more than one layer the second layer shall be applied only when the lower coat is still green.
Wherever specified approved brands of additives like water proofing compounds shall be added in
specified quantities as recommended by the manufacturer of the compound or as directed by the
Engineer-in-Charge.

Wherever scaffolds are necessary for plastering they shall be provided as specified for scaffolds
under clause 3.2.2. Stage scaffolding shall be provided for ceiling plaster.

To ensure even thickness and true surface, patches of plaster about 15 cm x 15 cm shall be first
applied both horizontally and vertically 2.0 m apart. Plastering shall be done. from top of bottom and
care shall be taken to avoid joints on continuous surface.

In case any other finish like rough cast finish or dry dash finish is specified in the drawings the small
shall be provided as directed by the Engineer-in-Charge.

Surface which is to be plastered shall be roughened while they are still green or raked so as to
give proper bond between the surface and plaster.
All corners junctions shall be truly vertical or horizontal as the case may be and carefully finished.
Rounding or chamfering of corners shall be carried out with proper templates to the required size and
shapes.
24
The work shall be tested frequently with a straight edge and plumb bob. At the end of the day the
plaster shall be left cut clean to line. When the next days plastering is started the. day the plaster shall
be left cut clean to line. When the next days plastering is started the edge of the old work shall be
scrapped, cleaned and wetted with cement slurry. At the end of the day the plastering shall be closed on
the body of the wall and not nearer than 15 cm to any corner.

Curing shall be started as soon as the plaster has hardened sufficiently not to be damaged when
watered. The plaster shall be kept wet for at least 10 days. Any defective plaster shall be cut in
rectangular shape and replaced.

25
4. REINFORCED CEMENT CONCRETE AND ALLIED WORKS:
GENERAL

In general RCC work is to be executed as per IS : 456-2000 or its latest revision. The water storage
tanks/reservoirs shall be followed by IS : 3370 Part I to IV & latest revision. Steel reinforcement bars
shall be of High Yield Strength Deformed (HYSD) steel bars as per IS: 1786 and shall be free from
corrosion, loose rust scales, oil, grease, paint, etc. Wire mesh or fabric shall be in accordance with IS:
1566. The steel bar shall be capable’ of being bent without fracture. Bars shall be bent accurately and
placed in position as per design and drawing and bound together tight with 20 SWG annealed steel wire
@ 10 kg/ton of reinforcement at their point of intersection.

Formwork and shuttering shall be made with steel plate close and tight to prevent leakage of mortar,
with necessary props, bracings and wedges, sufficiently strong and stable and should not yield on laying
concrete and made in such a way that they can be slackened and removed gradually without disturbing
the concrete. For slab and beam small chamber should be given in centering, 1 cm per 2.5 m with a
maximum of 4 cm. Centering should not be removed before 14 days in general (4 days for RCC columns,
10 days for roof slab, and 14 days for beams).

The grade of concrete to be used shall be as mentioned in specifications/shown on drawings.

Table - 4.1 Minimum compressive strength of 15 cm cubes at 7 and 28 days after mixing, conducted in
accordance with IS: 516

Class Preliminary Work Test Maximum size Locations for Use

Test N/mm2 N/mm2 of Aggregate mm
At 7 At 28 At 7 At 28
days days days days
M40 33.50 50.00 27.00 40.00 20 As indicated in the
specifications or as
required
M35 30.00 44.00 23.50 35.00 20 -do-
M30 25.00 38.00 20.00 30.00 20 --do-
M25 22.00 32.00 17.00 25.00 20 --do-
M20 17.50 26.00 13.50 20.00 20 --do-
M15 13.50 20.00 10.00 15.00 20 --do-

The coarse aggregate shall usually be 20 mm to 6mm gauge unless otherwise specified. For heavily
reinforced concrete members as in the case of ribs of main beams the maximum size of aggregate
should usually be restricted to 5 mm less than the minimum clear distance between the main bars or 5
mm less than the minimum cover to the reinforcement whichever is smaller.
Mixing is done in the same manner as in PCC.

Before laying the concrete, the shuttering shall be clean, free from dust, dirt and other foreign matters.
The concrete shall be deposited (not dropped) in its final position. In case of columns and wall, it is
desirable to place concrete in full height if practical so as to avoid construction joints but the progress of
concreting in the vertical direction shall be restricted to 1.2 metre. Care should be taken that the time
between mixing and placing of concrete shall not exceed 20 minutes so that the initial setting process is
not interfered with. During the winters concreting shall not be done if the temperature falls below 4ºC.

26
Concrete shall be compacted by mechanical vibrating machine until a dense concrete is obtained. The
vibration shall continue during the entire period of placing concrete. Compaction shall be completed
before the initial setting starts i.e. within 30 minutes of addition of water to the dry mixture. Over-
vibration which will separate coarse aggregate from concrete shall be avoided. After removal of the
form work in due time, the concrete surface shall be free from honey combing, air holes or any other
defect.

Concrete shall be laid continuously, if laying is suspended for rest or for the following day the end shall
be shuttered and vibrated to achieve dense concrete and made rough after deshuttering for further
jointing. When the work is resumed, the pervious portion shall be roughened, cleaned and watered and a
grout of neat cement shall be applied and the fresh concrete shall be laid. For successive layer the
upper layer shall be laid before the lower has set.

Pre-cast concrete shall be provided with lifting device.

4.1.1 Standards

Following Indian Standards as revised most recently along with amendments will be followed for the
works included in the contract.

IS:8112 Ordinary, Portland cement

IS:383 Coarse and fine aggregates from natural sources for concrete
IS:445 Portland slag cement
IS:456-1978 Code of practice for plain and reinforced concrete
IS:516 Method of test for strength of concrete
Methods of sampling and analysis of concrete
IS:2386 Methods of test for aggregates for concrete (Part I to VI)
IS:3414 Code of practice design and installation of expansion and contraction
joints in building.
IS: 3713 Part- I Code of practice for water storage Tanks
to IV

Standards on special subjects have been mentioned elsewhere in this para and also shall be followed.

4.2 Forms, false work or centering

4.2.1 Definitions

“Forms, formwork or shuttering” shall include all temporary moulds for forming the concrete to the
required shape, together with any special lining that may be required to produce the concrete finish
specified.

“False work or centering” shall consist of furnishing, placing and removal of all temporary construction
such as forming, props and struts required for the support of forms.

4.2.2 Materials

Steel shuttering shall be provided as directed by the Engineer-in-Charge.

4.2.3 Forms

All forms shall be of mild steel approved by the Engineer-in-Charge and shall be fabricated and prepared
27
water tight and of sufficient rigidly to prevent distortion due to the pressure of the concrete and other
incidental loads incident to the construction operations.

All form shall be set and maintained true to the line designated until the concrete is sufficiently hardened.
Forms shall remain in place for periods which shall be specified hereinafter. When forms appear to
be unsatisfactory in any way, either before or during the placing of concrete, the Engineer-in- Charge
shall order to stop the work until the defects have been corrected.

All formwork shall be approved by the engineer-in-charge before concrete is placed within it. The
contractor shall be required to submit copies of his calculations of the strength and stability of the
formwork or false work but not withstanding the Engineer-in-Charge’s approval of these calculations,
nothing shall relieve the contractor of his responsibility for the safely or adequacy of the formwork.

Formwork shall be true to line and braced and strutted to prevent deformation under the weight and
pressure of the unset concrete, constructional load, wind and other forces. The deflection shall not
exceed 3 mm. Beam bottom shall be erected with an upward chamber of 2 mm per meter of the span.
The form work for a column may be erected.

One side shall. be left open and shall be built up in sections as placing of the concrete proceeds. Before
placing the concrete, bolts and fixtures shall be in .position, and cores and other devices, used for
forming openings, holes, chases, recesses and other cavities shall be filled to the formwork. No holes
shall be cut in any concrete unless approved. Approved mould oil or other material shall be applied to
faces of formwork in contact with unset concrete to prevent adherence of the non-staying concrete.
Such coating shall be insoluble in water, non-staying and non detrimental to the concrete and shall not
be flaky or removed by wash water.

4.2.4 Tolerance in finished concrete

(As per IS code 456-2000, 0.1)

The form work shall be so made as to produce a finished concrete true to shape, lines, level, plumb and
dimensions as shown in the drawing subject to the following tolerances, unless otherwise specified in
drawings or directed by the Engineer-in-Charge.

For

Deviation from specified

Dimensions of cross-section of columns

And beams = -6mm

+12mm

b. Deviations of dimension of footings

(See Note)

Dimensions in plane = -12mm

+50mm

Eccentricity = 0.02 times the width of footing in the direction

28
of deviation but not more than 50 mm

Thickness = +/- 0.05 times the specified thickness

Note: Tolerences applied to concrete dimensions only, not to positioning of vertical reinforcing steel
or dowels.

4.2.5 False work and Centering

Detailed plans for false work or centering shall be supplied by the contractor if specifically asked for by
the Engineer-in-Charge at least 14 days in advance of the time the contractor begins construction of the
false work. Not withstanding the approval by the Engineer-in-Charge of any designs for false work
submitted by the contractor, the contractor shall be solely responsible for the strength, safety and adequacy
of the false work or centering.

All false work shall be designed and constructed to provide the necessary rigidity and to support the
loads from the weight of green concrete and shuttering and incidental construction loads.

False work or catering shall be founded upon a solid footing safe against undermining and protected
from softening.

False work which cannot be founded on satisfactory footing shall be supported on piling which shall be
spaced, driven and removed in a manner approved by the Engineer-in-Charge. The Engineer-in-Charge
may require the contractor to employ screw jacks or hardwood wedges to make up any settlement in
the formwork either before or during the placing of concrete. Props of the upper storey shall be placed
directly over those in the storey immediately below.

False work shall be set to give the finished structure the required grade and camber specified on the
plans.

4.2.6 Formwork and Construction Joints

Where permanent or temporary joints are to be made in horizontal or inclined members, stout stopping off
boards shall be securely fixed across the mould to form a watertight joint. The form of the permanent
construction joint shall be as shown on the drawings. Temporary construction joints shall have blocks
of timber at least 75 mm thick, slightly tapered to facilitate withdrawal and securely fixed to the face of
the stopping off board. The area of the key or keys so formed shall be atleast 30% the area of the member.
The blocks shall be kept back atleast 50 mm from the exposed face of the concrete.

Where reinforcement passes through the face of a construction joint the stopping off board shall be
drilled so that the bars can pass through, or the board shall be made in sections which a half round
indentation in the joint faces for each bar so that when laced, the board is a neat and accurate fit and no
grout leaks from the concrete through the bar holes or joints.

4.2.7 Removal of Forms and False work

In the determination of the time for the removal of forms, falsework and housing, consideration shall be
given to the location and character of the structure, the weather and other conditions influencing the
settings of the concrete and the materials used in the mix.

MS shuttering/formwork and scaffolding should be of standard reputed make to ensure better quality of
concrete finish.
29
Forms shall be removed in such a manner as not to injure the concrete and no formwork shall be
removed before the concrete has sufficiently set and hardened. The minimum periods which shall elapse
between the placing and compacting of normal Portland cement concrete for the various parts of the
structures are given in the following table, but compliance with these requirements shall not relieve the
contractor of the obligation to delay the removal of the forms if the concrete has not set sufficiently hard.

Forms shall not be struck until the concrete has reached strength at least twice the stress to which the
concrete may be subject at the time of removal of formwork. In normal circumstance, generally where
the temperatures are above 20ºC and where ordinary Portland cement is used, form may generally be
removed after the expiry of the following periods, according to the Clause 10.3, IS:456-2000.

Table 4.2 : Removal of the Forms

a. Walls columns and vertical faces of 12 to 48 hours as may be decided

all structural members by the engineer-in-charge

b. Slabs (Props left under) 3 days

c. Beam soffit (props left under) 7 days
d. Removal of props under slabs
1. Spanning upto 4.5m 7 days
2. Spanning above 4.5 m 14 days
e. Removal of props under beams and arches
1. Spanning upto 4.5m 14 days
2. Spanning above 4.5 m 21 days

Where sulphate resistant cement is used, manufacturers instructions are to be followed.

The Engineer-in-Charge may modify these requirements taking into account the type of cement and
method of compaction used, and contractor shall obtain the Engineer-in-Charge’s written approval for
any decrease in time of stripping of the formwork given above. The contractor shall notify the Engineer-
in-Charge when he proposes to stripe of any formwork and no formwork shall be struck except in the
presence of the Engineer-in-Charge or his representative.

4.2.8 Reuse of Forms

Only mild steel formwork of best quality as per approved vendor list given by Engineer-in-Charge shall
be used for concreting purpose. These shuttering shall not be reused unless it is properly scraped cleaned
and repaired, so that it gives a plane, even, fair and dense concrete surface.

4.2.9 Cleaning and treatment of Forms

All forms shall be thoroughly cleaned of old concrete, wood shavings, sawdust, dirt and dust sticking to
them before these is fixed in position. All rubbish, loose concrete, chippings, shavings, saw dust etc.
should be scrupulously removed from the interior of the forms before concrete is poured. Wire brushes,
brooms, compressed air jet and/or water jet etc. shall be kept handy for cleaning, if directed by the
Engineer-In-Charge.

Before formwork is placed in position, the form surface that will be in contact with concrete shall be
treated with approved non-staining oil or composition, which is insoluble in water and not injurious to
concrete. Care shall be taken that the oil or composition does not come in contact with reinforcing steel or
stain the concrete surface. Burnt oil shall not be allowed to be used especially where the concrete
surface will require finishing and/or plaster.

30
4.3 Materials for Concrete

4.3.1 Water

Water used for cement concrete mortar, plaster, grout, curing or washing of sand shall be clear and free
from injurious amount of Oil, Acid, Alkali, Organic matter or other harmful substances in such amounts
that may impair the strength or durability of the structure.

Potable water shall generally be considered satisfactory for mixing and curing concrete. In case of doubt
regarding development of strength, the suitability of water for making concrete shall be ascertained by
compressive strength and initial setting time specified in the IS: 456 Code of Practice for Plain and
Reinforced concrete. The Engineer-in-Charge may require the contractor to get the water tested from an
approved laboratory at his own expense and in case the water contains any salts for an excess of acid,
alkali, any injurious substances etc., the Engineer-in-Charge may refuse its use. And the contractor shall
be required to arrange suitable water at his own cost.

4.3.2 Aggregate

General

Coarse and Fine Aggregates for concrete shall confirm in all respect to PWD Specification / IS:383
Specification for Coarse and Fine Aggregates from Natural Sources for Concrete. Aggregates shall be
obtained from a source known to produce satisfactory material for concrete. Aggregates shall consist of
naturally occurring sand and gravel or stone, crushed or uncrushed or a combination thereof. They shall
be chemically inert, hard strong, dense, durable, clean and free from veins and adherent coatings and of
limited porosity. Flaky and elongated pieces shall not be used. Whenever required by the Engineer-in-
Charge the aggregates shall be washed by the Contractor before use in the work.

The source of aggregates shall be approved by the Engineer-in-Charge and shall not be changed during
the course of the job without his approval. Rejected aggregates shall be promptly removed from the
work site by the contractor at his own expense.

4.3.2.1 Deleterious Materials

Aggregates shall not contain any harmful material, such as iron pyrites, coal, mica, shale or similar
laminated materials, clay, alkali, soft fragments, sea shells, organic impurities etc, in such quantities as
to affect the strength or durability of the concrete and in addition to the above, for reinforced concrete,
any material which might cause corrosion of the reinforcement. Aggregates which are chemically
reactive with the alkalis of cement shall not be used.

The maximum quantities of deleterious materials in the aggregate, shall be in accordance with IS: 2386
(Part II). Methods of Test for Aggregates for Concrete, shall not exceed the limit given in Table I of IS:
383.
The sum of the percentages of all deleterious materials shall not exceed five. Deleterious materials also
include material passing 75 micron IS sieve.

4.3.2.2 Coarse Aggregates

Coarse aggregate is aggregate most of which is retained on 4.75 mm IS: sieve. Coarse aggregate for
concrete shall conform to IS: 383.

These may be obtained from crushed or uncrushed gravel or stone and shall be clean and free from
elongated, Flaky or laminated pieces, adhering coatings, clay lumps, coal residue, clinkers, slag, alkali,

31
 mica, organic matter or other deleterious matter. Coarse aggregate shall be either in single size or graded,
in both cases the grading shall be within the following limits.

Table 4.3: Grading of Coarse Aggregates

IS Sieve Percentage Passing For Single Sized Aggregate Percentage Passing for Graded
size of Normal Size Aggregate of Normal Size
(mm) 40mm 20mm 16mm 12.5mm 10mm 40mm 20mm 16mm 12.5mm
63 100 - - - - 100 - - -
40 85-100 100 - - - 95-100 100 - -
20 0-20 85-100 100 - - 30-70 95-100 100 -
16 - - 85-100 100 - - - 90-100 -
12.5 - - - 85-100 100 - - - 90-100
10 0-5 0-20 0-30 0-45 85-100 10-35 25-35 30-70 40-85
4.75 - 0-5 0-5 0-10 0-20 0-5 0-10 0-10 0-10
2-36 - - - - 0-5 - - - -
The Engineer-in-Charge may allow graded aggregates to be used provided they satisfy the requirements
and Table IV of IS: 383.

GSB for CC Road –

GSB stone ballast size range - 53 mm to 5.00 mm = 50 %
- 9.5 mm to 2.36 mm = 20 %

- 2.36 mm and bellow = 30 %

4.3.2.3 Fine Aggregates

Fine aggregates is aggregate most of which passes 4.75 mm IS sieve but not more than 10% passes
through 150 micron IS Sieve. These shall comply with the requirements of grading zones I, II and 1II as
given in Table III of 15:383. Fine aggregate conforming to grading zone IV shall not be normally used
in reinforced concrete unless tests have been made by the contractor to ascertain the suitability of the
proposed mix proportions and approved by the Engineer-in-Charge.

As per IS: 383 Table is given below:

Table 4.4: Grading of Aggregates

IS: Sieve Grading Grading Grading Grading

Designation Zone-I Zone-II Zone- Zone-
10 mm 100 100 III
100 IV
100
4.75 mm 90-100 90-100 90-100 95-100
2.36 mm 60-95 75-100 85-100 95-100
1.18 mm 30-70 5-90 75-100 90-100
600 microns 15-34 35-59 60-79 80-100
300 microns 5-20 8-30 12-40 15-50
150 microns 0-10 0-10 0-10 0-15

Note: To use the sand falling in Zone -IV, IS: 383 shall be followed.

Fine aggregates shall consist of natural sand resulting from natural disintegration of rock and which has
been deposited by streams or glacial agencies, or crushed stone sand or crushed gravel sand.

32
4.3.2.4 Sampling and Testing

Sampling and testing shall be carried out by the contractor, at the contractor’s expense, in accordance
with:

IS: 516 METHOD OF TEST FOR STRENGTH OF CONCRETE

IS: 2386 Methods of Test for Aggregates for concrete

4.3.2.5 Storage of Aggregates

The contractor shall at all times maintain at the site of work such quantities of aggregates as are
considered by the Engineer-in-Charge to be sufficient to ensure continuity of work.

Each type and grade of aggregate shall be stored separately on hard firm ground having sufficient slope
to provide adequate drainage to rain water.

Any aggregate delivered to site in a wet condition or becoming wet at site due to rain shall be kept in
storage for at least 24 hours to obtain adequate drainage, before it is used for concreting, or the water
content of mix must be suitably adjusted as directed by Engineer-in-Charge.

4.3.3 Cement

4.3.3.1 General

The cement used shall be ordinary Portland cement conforming to IS: 8112 or as specified in the
particular specifications/drawings or as directed by the Engineer-in-charge. Supply of cement shall be
taken either in silos or in 50 kg bags bearing manufacturer’s name and BIS marking. Ordinary Portland
cement, as required in the work, only, from reputed manufacturers such as L&T, ACC, Gujarat Ambuja,
Cement Corporation of India, Vikram, J.P. etc. and as approved by the Employer, Ministry of Industry,
Government of India and holding license to use BIS certification mark for their product, whose name
shall be got approved from Engineer In-charge.

4.3.3.2 Storage on the site

The cement shall be stored in a suitable weatherproof building and in such a manner as to permit easy
access for proper inspection and counting. The cement shall be stored in such a manner as to prevent
deterioration. Cement of different types and brands shall be kept in separate stacks and marked
accordingly. Cement older than two months shall not be used on site.

All cement stored on the site shall be arranged in batches, and used in the same order as received from
the manufacturer. A cement register shall be maintained at site in which all entries shall be completed
day to day, showing the quantities received date of receipt, source of receipt, type of cement etc, and
also the daily cement consumption on site. This register shall be accessible to the Engineer-in-charge for
his certification. The godown / room in which cement shall be kept, shall be locked double; one of UPJN
and another of contractor.

4.3.3.3 Rejection of Cement

The Engineer-in-charge may reject any cement as a result of any tests (cost of such tests would be borne
by the contractor), thereof, not withstanding the manufacturer’s certificate. He may also reject cement,
which has deteriorated owing to inadequate protection during storage from moisture or due to intrusion
of foreign matter or other causes. Any such cement which is considered defective by the Engineer-in-
Charge shall not be used, and shall be promptly removed from the site of the work by the contractor at
33
his own expense.

4.3.4 Other Materials

AI materials including admixtures, joint filters and joint sealants not fully specified herein and which may
be used in the work shall be of quality approved by the Engineer-in-Charge and he shall have the right to
determine whether all or any of the materials offered or delivered for use in the works are suitable for
the purpose. Contractor shall give the samples of materials to the Engineer-in-Charge and shall get them
approved before procurement and use.

4.3.5 Reinforcement

All reinforcement shall be clean and free from pitting, loose mill scales, dust and coats of paints. oil or
other coating which may destroy or reduce the bond.

4.3.5.1 Welded Joints

Welding of joints in reinforcement for bars of 28 mm dia and below shall not be allowed. However, in
case of using welded joints for bars 32 mm and above the approval of the Engineer-in-Charge shall be
obtained. The Engineer-in-Charge may require the Contractor, prior to the use of welded joints to have
tests carried out at he contractor’s expense to prove that the joints are of the full strength of the bars
connected. The welding of the reinforcement shall be done in accordance with the recommendation of
IS: 2751 code of practice for welding of mild steel bars for reinforced concrete construction. Special
precautions are required in the welding of cold worked reinforcing bars. No extra payment for welded
joints shall be made to the contractor unless specifically mentioned in the schedule of rates or bill of
quantities and approved by the Engineer-in-Charge. Tack welding may be permitted by the Engineer-in-
Charge under certain conditions for fixing reinforcements.

4.3.5.2 Reinforcement Splices

Laps & anchorage length of reinforcing bars shall be in accordance with IS: 456, unless otherwise
specified. If the bars in a lap are not of the same diameter, the smaller dia will guide the lap lengths.
Laps shall be staggered as far as practicable and as directed by Engineer-in-Charge and not more than
50% of the bars shall be lapped at a particular section. Mechanical connections, for splicing
reinforcement bars in congested locations may be used by the contractor, only if approved by the Engineer-
in-Charge. Reinforcement bars shall not be lapped unless the length required exceeds the maximum
available lengths of the bars at site.

Unless otherwise specified the splices shall be wired contact lap splices as per the relevant standards.
No splicing of vertical bars shall be allowed except at specified or approved horizontal construction
joints. Splices in horizontal bars shall be lapped with atleast one continuous bar between adjacent splices.
The minimum spacing of splices in anyone run of bar shall be 6.0 m with splices in adjacent bars offset
at least 3.0 m where walls or slab contain two layers of reinforcement, splices in opposite layer shall be
offset by atleast 1.50m.

4.3.5.3 Supports and Accessories :

Support blocks shall be made of concrete with embedded wire ties for placement. Plastic coated spacers
shall be used on sides of walls columns and beams, if the material is approved by the Engineer in charge.

4.3.5.4 Fabrication and placement

Bars shall be pre fabricated accurately to dimensions, forms and shapes, Bending procedure shall be

34
approved by the Engineer-In-Charge. Placing and typing of reinforcement shall conform to IS: 2502-1963
Code of practice for bending and fixing of bars for concrete reinforcement. Bar bending schedules for
the reinforced concrete works shown on the drawings shall be prepared by the contractors and furnished
to the Engineer-in-Charge at least two weeks before the commencement of bending. Dimensions shown
as furnished by the colletractor’s shall be his responsibility and approval of the schedule shall not
constitute the approval of the dimensions thereon.

4.3.5.5 ANTICORROSIVE TREATMENT TO STEEL REINFORCEMENT:

These specifications cover the general guidelines for applying anticorrosive treatment to steel
reinforcement. However details of chemical process being out of the scope of these specifications are
not given.

All the M.S./H.Y.S.D. bars to be used for the work as primary or secondary reinforcement, spacers,
chairs, hangers etc. shall be provided with anticorrosive treatment as per the processes covered by the
following patent numbers.

a) Indian Patent No. 465- dipping reinforcement in derusting solution.

b) Indian Patent No. 109879-Applying phosphating jelly.

c) Indian Patent No. 109784/67- Applying inhibitor solution.

d) Indian Patent No. 1124067- Applying sealing solution.

The treatment shall be carried out as per the processes developed by Central Electrochemical Research
Institute. Karaikudi (Tamil Nadu), to be done by the contractor either through an agency holding licence
from NRDC of India or in association with the CECRI, of the contractor may himself obtain a licence
from the NRDC of India, 20, Zamroodpur Community Centre, Kailash colony Extension, New Delhi-
11004 for the technical knowhow and process in which case entire cost of procuring licence for giving
the treatment shall be borne by the contractor.

a) PROCEDURE:

The sequence of operations to be followed is described below which shall be strictly followed:

Bars to be used shall be cut and bent to the dimensions indicated on detailed drawings and bars bending
schedule.

These bars shall be cleaned of rust and dirt with a wire brush. All scale, rust, grease, oil shall be removed
from the surface to be treated.

These bars shall then be placed in derusting solution for pickling for a period of 30 minutes or for such
sufficient time so that all rust is removed from the bars and natural colour of steel appears.

This shall be followed by cleaning the bars with wet waste cloth carrying alkaline powder.

Alternatively bars may be rinsed in a tank filled with alkaline solution.

Bars shall be rinsed well with water after removing from alkaline tank.

The rinsed bars shall be applied with phosphating jelly such a manner that all the surface of bars is
coated with a thin film of jelly. This shall be done with the help of a nylon fibre brush.

After application of jelly the bars shall be air dried for 45-60 minutes at a place specially prepared for
35
this purpose.

After drying, the bars shall be rinsed well with water or cleaned with wet waste cloth.

This shall be followed by application of first coat of cement slurry with inhibitor. The bars shall be dried
for 24 hours after this at a place specially reserved for this purpose..

After drying, sealing solution with required chemicals shall be applied and the bars shall be dried for 24
hours.

After drying, again sealing solution shall be applied and bars shall be allowed to dry for 4 hours. After,
drying final coat of sealing solution shall be applied and the bars after drying shall be stacked properly.

It shall be strictly observed during the entire process, that as soon as the acid (derusting) and alkali
solutions lose their strength, they shall be drained off to the nearby sump and tanks shall be cleared
thoroughly and filled again with fresh solutions.

b)- HANDLING:

While handling the bars the following instructions shall be strictly observed:

Only that steel, which is required immediately shall be treated as per recommendations of
manufacturer.

Treated bars shall be consumed within 30 days or as per recommendations of the manufacturer. If time
limit is exceeded, the contractor shall have to treat the bars again at no extra cost.

Extreme care shall be taken while stacking, storing transporting and placing to see that the protective
covering does not get damaged.

Bars shall be placed gently in position and not dropped from a height.

Once the treatment is started, no bar shall be allowed to come in contact with ground.

Special chairs shall be prepared for drying and stacking, so as to avoid any contact with ground.

4.3.5.6 Field Control

The contractor shall appoint a qualified Engineer experienced in reinforcement cutting, bending and
placing the same correctly, binding and cleaning before pouring the concrete. The reinforcement shall
be continuously kept in correct position during connections.

4.3.5.7 Steel Reinforcement

The reinforcement shall be High Yield Strength Deformed (HYSD) bars. Grade Fe-415 conforming to
IS: 1786-1985 shall be used unless otherwise specified.

Placement of reinforcement should be as per IS: 456 Clause 11.3.

Approved Manufacturers: TISCO, SAIL, Rashtriya Ispat Nigam

4.3.5.8 Structural Steel

Structural steel shall conform to IS: 226 and IS: 2062.

Electrodes for welding shall conform to IS: 814 or IS: 815 or equivalent.
All bolts and nuts shall conform to IS: 1367. Stainless steel nuts and bolts shall be of SS 307 type. All
materials shall be of new and unused stocks. Manufacturer’s test certificate shall be made available to
36
the Engineer-in-charge when called for.

4.3.5.9 Storage

The steel reinforcement and structural steel shall be stored in steel yard in such a way as to prevent
deterioration and corrosion, preferably at least 150 mm above ground by supporting on wooden or
concrete sleepers at contractor’s expenses.

4.4 Proportioning of Concrete

The determination of the water-cement ratio and proportions of the aggregates to obtain the required
strength shall be made from preliminary tests by designing the concrete mix as per provisions laid down
in IS: 456-2000 &IS: 10262 or its latest revision. Design mix shall be admissible only if contractor is
able to manage the quality control of design mix e.g. weighbridge, proper water measuring device etc.
and designing the concrete mix as and when source of any of the constitnent of concrete is changed.
If contractor fails to comply with the requirements of design mix concrete, he shall have to follow
the nominal mix as sabulated below.

Table- 4.5 Recommended Water-Cement Ratio (As per IS: 456-2000)

Grade of Nominal Mix of Quantity of Water per 50 Kg. of

Concrete Concrete cement (Max)
M5 1:5:10 60 litres
M 7.5 1:4:8 45 litres
M 10 1:3:6 34 litres
M 15 1:2:4 32 litres
M 20 1:1.5:3 30 litres
M-25 1:1:2 26 litres

Cube tests shall be carried out by the contractor on the trail mixes before the actual concreting operation
starts. Based on the strength of the concrete mix sanction for its use has to be obtained from Engineer-in-
charge.
If during the execution of the works it is found necessary to revise the mix because of the cube tests
lower strengths than the required one due to inconsistency of quality of material or otherwise, the
Engineer-in-charge shall ask for fresh trial mixes to be made by the contractor. No extra claim shall be
entertained due to such change in mix variations, as it is the contractor’s responsibility to produce the
concrete of the required grade.
Great care shall be exercised when mixing the actual works concrete using the proportions of the selected
trial mix. The final concrete mix shall have the same proportions of cement, fine and coarse
aggregates and water as that of the approved selected mix.

Where the weight of cement is determined by accepting the manufacturer’s weight per bag, a
reasonable number of bags should be weighed separately to check the next weight. Proper control of
mixing water is deemed to be of paramount importance. If mixers with automatic addition of water are
used water should be either measured by volume in calibrated buckets, tins or weighed. All measuring
equipment shall be maintained in a clean serviceable condition and their accuracy periodically checked
and certified and the Engineer-in-Charge’s approval obtained.

The Engineer-in-Charge may require the contractor to carry out moisture content tests in both fine and
coarse aggregates. The amount of the added water shall then be adjusted to compensate for any observed
variations in the moisture contents. For the determination of moisture content IS: 2386 shall be referred
to.
37
No substitution in material, used on the work or alternation in the established proportions shall be
made without additional tests to show that the quality and strength of concrete are satisfactory. No
alternations shall be permitted .without the prior sanction of the Engineer-in-Charge.

4.5 Mixing of Concrete

The mixing of concrete shall be strictly carried out in an approved type of mechanical concrete mixer.
The mixing equipment shall be capable of combining the aggregates, cement and water within the
specified time into a thoroughly mixed and uniform mass, and of discharging the mixture without
segregation. The entire batch shall be discharged before recharging. Mixing periods shall be measured
from the time when all of the solid materials are in the mixing time has elapsed. The mixing time in no
case shall be less than two minutes. The mixer speed shall not be less than 14 and not more than 20
revolutions per minute.

Mixing shall be continued until there is a uniform distribution of the materials and the mass is uniform in
colour and consistency. Hand mixing of concrete shall not be permitted at all.

4.6 Grades of Concrete

The different grades of concrete shall conform to the strength as required by IS:456-2000. Standard
deviation shall be calculated as stated in clause 14.5 of IS:456-2000. The acceptable criteria for concrete
shall be as stated in clause 15 of IS: 456-2000.

The assumed standard deviations as given in table 6 of 18:456-2000 have to be followed. and are given
hereunder :

Table 4.6 : Assumed Standard Deviation

Grade of Concrete Assumed standard Deviation N/mm2

M 10 2.3
M 15 3.5
M 20 4.6
M 25 5.3

In order to get a quick idea of quality of concrete, the optional tests are conducted as stipulated in
14.1.1 of IS: 456-2000 and the results are analysed according to table 5 of IS: 456-2000.

4.6.1 Concrete

In general design mix concrete shall be used conferming to IS:456-2000. Nominal Mix concrete batching
by volume can only be ony if the contractor is not able to adhere to the quality controal provison of the
design mix.

The mix proportions for all grades of nominal mix concrete shall be provided corresponding to the
values specified in Table -4.7 below for respective grades of concrete.

Table - 4.7 Characteristics Compressive strength of Concrete

Grade Designation Proportion of cement : fine Specified characteristic

aggregate: coarse aggregate compressive strength at 28
days (N/mm2)
M 15 1:2:4 15
M 20 1:1.5:3 20
M 25 1:1:2 25
38
The maximum water-cement ratio for all concrete works shall be as specified in IS:456-2000 and
required by the Engineer-in-Charge.

To keep the water cement ratio to the designed value, allowance shall be made for the moisture contents
in both fine and coarse aggregates and determination of the same shall be made as frequently as directed
by the Engineer-in-charge. The determination of moisture contents shall be according to IS: 2386 (Part
III).

4.6.1.1 Controlled concrete-

Controlled concrete shall be used on all concreting works except where specified otherwise.

The mix proportions for all grades of concrete shall be designed to obtain strengths corresponding to
the values specified in Table I below for respective grades of concrete.

Table –I

Grade of Concrete Specified characteristic compressive strength at 28

days [N/mm2]
M 15 15
M20 20
M25 25
M30 30

The maximum water cement ration for all controlled concrete works shall be as specified in IS: 456 and
Preliminary tests as specified in the IS code and required by the Engineer shall be carried out, sufficiently
ahead of the actual commencement of the work with different grades of concrete, made form
representative sample of aggregates and cement expected to be used on the job to ascertain the ratios by
weight of cement, of total quantity of fine and coarse aggregates and the water cement ration required to
produce a concrete of specified strength and desired workability.

The minimum cement content for each grade of concrete shall be as per Table-2 below. If the
requirement of cement is found to be more than that specified below then such excess quantites of
cement shall be used and for which no extra payment shall be made.

Table –2

Minimum Cement Content In Concrete

Grade of Concrete Minimum cement content as per

IS: 456 in kg./cu. M of finished Concrete
M 15 310
M20 360
M25 410
M30 500

At least 4 (four) trial batches are to be made and 7 (seven) test cubes taken for each batch noting the
slump on each mix. These cubes shall then be properly cured and two cubes for each mix shall be tested
in a testing laboratory approved by the Engineer at 7 (seven) days and others at 28 (twenty eight) days
for obtaining the ultimate compressive strength. The test reports shall be submitted to the Engineer.
The cost of mix design and testing shall be borne by the contractor.

On the basis of the preliminary test reports for trial mix, a proportion of mix by weight and water
39
cement ration will be approved by the Engineer, which shall be expected to give the required strength,
consistency and workability and te proportions so decided for different grades of concrete shall be adhered
to, during all concreting operations. If howerer, at any time the Engineer feels that the quality of
material being used has been changed from those used for preliminary mix design, the contractor shall
have to run similar trial mixes to ascertain the mix proportions and consistency.

The mix once approved must not be varied without prior approval of the Enginner. However, should the
contractor anticipate any change in the quality of future supply of materials than that used for
preliminary mix design, he shall inform the same to engineer and bring fresh samples sufficiently ahead
to carry out fresh trial mixes. The Engineer shall have access to all places and laboratory where design
mix is prepared. Design mix will indicate by means of graphs and curves etc. the extent of variation in
the grading of aggregates which can be allowed. In designing the mix proportions of concrete, the
quantity of both cement, and aggregate and water shall be determined by weight. All measuring
equipment shall be maintained in clean and serviceable condition and their accuracy periodicall
checked.

To keep the water cement ratio to the designed value, allowance shall be made for the moisture contents
in both fine and coarse aggregates and determination of the same shall be made as frequently as directed
by the Engineer. The determination of moisture contents shall be according to IS: 2386 (Part III).

4.6.2 Strength Requirements

Where ordinary Puzzolano Portland cement conforming to IS: 269 is used the compressive strength
requirements for various grades of concrete shall be as shown in Table -2 of IS: 456 -2000 where rapid
hardening Portland cement is used the 28 days compressive strength requirements specified in Table-2
shall be met in 7 days. The strength requirements specified in Table-2 as previously given shall apply to
both controlled concrete and ordinary concrete.

Other requirements of concrete strength as may be desired by the Engineer-in-Charge shall be in

accordance with India Standard IS: 456-2000. The acceptance of strength of concrete shall be as per
clause 14 “Sampling and Strength Test of Concrete” and clause. 15 “Acceptance Criteria” of IS: 456-
2000 subject to stipulations and/or modifications stated elsewhere in this specification. if any.

Concrete work found unsuitable for acceptance shall have to be dismantled and replaced to the
satisfaction of the Engineer-in-charge by the contractor free of cost to the Department. No payment for
the dismantled concrete, the relevant formwork and reinforcement, embedded fixtures, etc. washed in
the dismantled portion shall be made. In the course of dismantling if any damage is done to the
embedded items or adjacent structures, the same shall also be made good free of charge by the contractor
to the satisfaction of the Engineer-in-charge. If the water quantity has to be increased in special
cases, cement also be increased proportionately to keep the ratio of water to cement same as adopted
in trial mix design for each grade of concrete. No extra payment for the additional cement shall be
made.

4.6.3 Workability

The workability of concrete shall be checked at frequent intervals by slump test. Where facilities exist
and if required by the Engineer-in-Charge, alternatively the Compacting Factor test in accordance with
IS: 1199 shall be carried out. The degree of workability necessary to allow the concrete to be well
consolidated and to be worked into the corners of formwork and round the reinforcement to give the
required surface finish shall depend on the type and nature of the structure and shall be based on
experience and tests. The limits of consistency for structures are as specified in Table 4.8 below:
40
 Table 4.8: Limits of Consistency (as per IS : 456)

Placing Conditions Degree of Values of Workability

Concreting of shallow sections with
vibration
Concreting of lightly reinforced Low
sections with vibration
Concreting of lightly reinforced Medium
sections without vibration or heavily
reinforced section with vibration
Concreting of heavily reinforced High
sections with vibration
Workability
Very low 20.1 0 seconds, vee-bee time or 0.75.-
0.60 compacting factor
10-05 seconds, vee-bee time or 0.80
- 0.85 compacting factor
05-02 seconds, vee-bee time or 0.85
- 0.92 compacting factor or 25-
75mm, slump for 20mm aggregate
Above 0.92 compacting factor or 75
- 125 m, slump or 20 mm *aggregate

* For smaller aggregate the values shall be lower.

4.7 Workmanship

All workmanship shall be according to the latest relevant standards. Before starting a pour the
contractor shall obtain the approval of the Engineer-in-Charge or his representative in a “Pour Card”
maintained for this purpose. He shall obtain complete instructions about the material and proportion to be
used, slump, workability, quantity of water per unit of cement, number of test cubes to be taken,
finishing to be done, any admixture to be added, etc.

4.8 Transportation and Pouring

The concrete mixer shall be as close to the place of concreting as possible but not as close as to produce
vibration and disturbance to the shuttering and reinforcements. It shall be located at such a position
that time lapse for transportation of unloaded concrete mix from the mixer to the place of deposition of
concrete is minimum.

When there is a difference in level between the unloading platform of concrete from the mixer to the
actual place of deposition of concrete, the concrete shall be transported manually as by means of builders’
hoist/crane or concrete pump to the actual level of concreting, depending on requirement as approved
by Engineer-in-charge.

Chutes for transporting the concrete shall not normally be used. The Engineer-in-Charge’s written
permission shall be taken for transporting by means of chutes. If use of chutes is permitted then the
concrete shall be again thoroughly mixed by using spades manually before placing the concrete in the
moulds/shuttering to avoid segregation of concrete. It shall be ensured that initial setting of the concrete
shall not take place and the mix of the concrete is as good as that of freshly poured concrete delivered
directly into the moulds/shuttering. It shall be ensured that the drop of concrete is not from an excessive
height and that the vibration and deposition of concrete are simultaneously carried out.

Before placing concrete, all equipment for mixing and transporting the concrete shall be cleaned and all
debris shall be removed from the place to be occupied by the concrete. All form and soil surface shall be
finished to desired levels and shall be thoroughly wetted immediately prior to placing of concrete.

No concrete shall be placed until the Engineer-in-Charge has approved the excavation formwork and the
reinforcement. The competent formwork maker and steel fixer shall be in attendance during concreting
operation.
41
 Concrete shall be handled from the place of mixing to the place of final deposit as rapidly as practicable
by methods, which shall prevent the segregation or loss of any of the ingredients. If segregation does
occur during transport, the concrete shall be remixed before being placed. The concrete shall be place
and compacted before setting commences and shall not be subsequently disturbed.

To ensure bond and water tightness between old concrete surface and the concrete to be place PVC
water stops of approved make and size 150 mm wide, 10 mm thick should be used. The bonding of old
and new concrete shall be done by applying cement slurry after thoroughly watering the old concrete
surface and. removing all loose particles.

In specified cases, with approval of Engineer-in-charge the surface shall be cleaned and roughened by
initial green cut by wire brushes or chipping. The initial green cutting may be done after 6 hours of
placing concrete in order to facilitate the work. The old concrete walls/members shall be given a shear
of 50 x 65 mm deep. This key shall also be thoroughly cleaned with wire brush in green stage before
next lift pouring to avoid percolation of works.

42
 Special methods of Concreting

Should be contractor propose to use the special methods of concreting not included in this
specification, such as pumping concrete or using vacuum moulds he shall obtain the Engineer’s
approval before commencing work and coply with any subsequent specifications made by the
Engineer for this special methods of concreting. Contractor is advised to use modern techniques in
adapting methods of laying/finishing concrete in raft/wall etc., e.g. in raft, us of any other acceptable
and proven method will be welcomed. The contractor may alaborate same on while quoting the offer.

4.8.1 Placing of concrete in slabs and beams

Concrete in slabs shall be placed in one continuous operation for each span unless otherwise directed.
Longitudinal construction joints, if required by reason of the width to be placed shall be located as
shown on the drawings or as directed by the Engineer-in-Charge.

Concrete in the stem and slab of T -beam shall be placed in one continuous operation and shall
be deposited uniformly for the full length of the beam and brought up evenly in horizontal layers.

Where the size of the member is such that it cannot be made in one pour, transverse vertical
construction joints shall preferably be located within the area of contraflexure. For continuous spans,
where required by design considerations the concrete placing sequence shall be approved by the
Engineer-in-Charge.

4.8.2- Placing of Concrete in culverts and trenches:

In general, the base slab or footings of the culverts shall be placed and allowed to set before the
remainder of the culvert is constructed. In this case suitable provision shall be made for bonding the side
walls to the culvert base. preferably by means of raised longitudinal keys so constructed as to prevent as
far as possible, the percolation of water through the construction joint.

Before concrete is placed in the sidewalls, the culvert footing shall be thoroughly cleaned of all
the shaving, sticks, sawdust or other extraneous material and the surface carefully chipped and
roughened in accordance with the method of bonding construction joints.

In the construction of culvert/ trenches less than 1.2m in height the concrete in the wall shall be placed
and allowed to set before the top slab is placed. In this care appropriate keys shall be left in the
sidewalls for anchoring the cover slab.

4.8.3- Depositing concrete under water :

Concrete shall not be deposited in water, except with the approval of the Engineer and under his
supervision. Concrete deposited in water shall be of grade 20 with 10 percent excess cement. To
prevent the segregation it shall be by means of a termite, or other approved method and shall not be
disturbed after being deposited. To ensure through bonding at each succeeding layer, a seal shall be
placed before the preceding layer has taken initial set.

Concrete shall be placed in the horizontal layers not more than 300mm thick. When less than a
complete layer is placed in one operation it shall be terminated in a vertical bulkhead. Each layer
shall be placed and compacted before the initial set of the preceding layer takes place so that no cold
joint is formed.

Unless otherwise approved, concrete shall be placed in single operation to the full thickness of slabs,
beams and similar members and shall be placed in horizontal layers not exceeding 1M deep in

43
walls, columns and similar members, Concrete shall be placed continuously until completion of the
part of the work between construction joints or as directed by Engineer in charge.

4.8.4 Concreting floors

Concreting in floor shall be done in a chess board pattern, allowing sufficient time to elapse before
the adjacent band in cast. The panel size is restricted to 7.5m in reinforced concrete slab.

Concreting shall not be started unless the electrical conduits or any other piping Puddle Collars
wherever required or laid by the concerned agency. The civil contractor shall afford all the facilities
and maintain co-ordination of work with other agencies engaged in electrical and such other works as
directed by the Engineer-in-Charge.

Where concrete is placed on soil it shall be placed only on firm undisturbed ground. Any concrete that
is placed on a well compacted fill shall have the prior approval of the Engineer-in-Charge. Concrete
shall not be placed in standing water, on sub-grade or in foundation Excavation.

4.9 Compaction

Concrete during and immediately after depositing shall be thoroughly compacted. The compaction
shall be done by mechanical vibration subject to the following provisions:

a. The vibration shall be internal unless special authorization of other methods is given by the
Engineer-in-charge or as provided herein.

b. Vibrators shall be of type and design approved by the Engineer-in-charge. They shall be
capable of transmitting vibration to the concrete at frequencies of not less than 4,500 impulses per
minute.

c. The intensity of vibration shall be such as to visibly affect a mass of concrete of 25 mm

slump over a radius of at least 0.5m

d. The contractor shall provide a sufficiently number of vibrators to properly compact each
batch immediately after it is placed in the forms.

e. Vibrators shall be manipulated so as to the thoroughly work the concrete around the
reinforcement and embedded fixtures, and into the corners and angles of the forms.

Vibration shall be applied at the point of deposit and in the area of freshly deposited concrete.
The vibrators shall be inserted into and withdrawn out of the concrete slowly. The vibration shall be
of sufficient duration and intensity to thoroughly compact the concrete but shall not be continued so as
to cause segregation. Vibration shall not be continued at any one point to the extent that localised areas
of grout are formed.

Application of vibration shall be at points uniformly spaced and not further apart than twice the
radius over which the vibration is visibly effective.
f. Vibration shall not be applied directly or through the reinforcement to sections or layers of
concrete which have hardened to the degree that the concrete ceases to be plastic under vibration. It
shall not be used to make concrete flow in forms over distances so great as to cause segregation and
vibrators shall not be used to transport concrete in the forms.

g. Vibration shall be supplemented by such rodding/spading as necessary to ensure smooth

surface and dense concrete along form surfaces and in corners and locations impossible to reach with

44
the vibrators.

The whole process starting from the mixing of concrete to the placing and compaction shall
not take more than 20 minutes and the process shall be completed before the initial setting takes place.

4.10 Curing

Curing shall be accomplished in accordance with IS: 456-2000 by keeping the concrete covered with
a layer of sacking canvas, hessien or similar absorbent materials and kept constantly wet for at least
seven days from the date of placing of concrete unless otherwise specified. The approval of the
Engineer-in- Charge shall be obtained for the method of curing the contractor proposes to use on the
work. In very hot weather precautions shall be taken to see that temperature of wet concrete does not
exceed 38ºC while placing.

Heavy loads shall not be placed on or moved across over the floor slabs until curing is complete.
Care shall be taken to prevent floor surface from being marred during curing period. Freshly laid
concrete form work shall not be jarred. Concrete placed in trenches or Excavation shall be protected
from falling earth during and after placing.

4.11 Consistency

The consistency of concrete shall be frequently checked by means of a slump test performed as per the
relevant Indian Standard by the Engineer-in-Charge. The maximum and minimum slump for each class
of concrete shall be as directed by the Engineer-in-Charge, and any concrete as represented by the
slump test which fails to comply with these directions shall be removed from the site and disposal
off at the contractors cost.

4.12 Finishing Concrete

On striking the formwork, all blowholes and honeycombing observed shall be brought to the notice
of Engineer-in-Charge. The Engineer-in-Charge may, at his discretion allow such honeycombing or
blowholes to be rectified by necessary chippings and packing or grouting with concrete or cement
mortar. If mortar is used, it shall be 1:2 mix or as specified by Engineer-in-Charge. However, if
honey combing or blowholes are of such extent as being undesirable, the Engineer-in-Charge may
reject the work totally and his decision shall be binding. No extra payment shall be made for
rectifying these defects. All burrs and uneven faces shall be rubbed smooth with the help of
carborundum stone.

The surface of non-shuttered faces shall be smoothened with a wooden float to give a finish equal to
that of the rubbed down shuttered faces. Concealed concrete faces shall be Ieft as from the shuttering
except that honeycombed surface shall be made good as detailed above. The top faces of slabs not
intended to be surfaced shall be leveled and floated to a smooth finish at the levels or falls shown on the
drawings or elsewhere. The floating shall not be executed to the extent of bringing excess fine
material to the surface.

The top faces of slabs intended to be covered with screed, granolithic or similar faces shall be left with
a rough finish.

4.13 Work in Extreme Weather

During hot weather (atmospheric temperature above 40 degree centigrade) or cold weather
(atmospheric temperature at 5 degree centigrade and below) the concreting shall be done as per the
procedure and precautions set out in IS: 7861 (Part I and II).
45
Dependence shall not be placed on salt or other chemicals for the prevention of freezing. Calcium
chloride shall not be used as an accelerator except with the approval of the Engineer-in-Charge.
Recommendation given in relevant clauses of IS: 456 shall be strictly adhered to.

4.14 CONSTRUCTION JOINTS:

Construction joints shall, in general, conform to the relevant clauses of IS:456-2000.

They shall be made in the positions as specified or elsewhere as approved. Such joints shall be
truly vertical or horizontal as the case may be, except that an inclined or curved member the joint
shall be strictly at right angles to the axis of the member.

Construction joints shall be rebated to an approved profile and an approved water stop shall be inserted
in the joints when specified.

When the work is to be interrupted the concrete shall be rebated at the joint to such shape and size as
may be required by the Engineer in charge or as shown on the drawings. All vertical construction
joints shall be made with stop boards, which are rigidly fixed and slotted to allow for the passage
of the reinforcing steel. If desired by the Engineer in charge, keys and/or dowel bars shall be
provided at the construction joints. In the case of water retaining structures, water stop of approved
materials shall be provided if specified on the drawing or desired by the engineer in charge.
Construction joints shall be provided in position as shown or described on the drawings. Where it is
not described the joints shall be in accordance with the following:

In a column the joint shall be formed about 75mm below the lowest soffit of the beams framing into it.

Concrete in a beam shall be placed throughout without a joint. A joint in a suspended floor slab shall be
vertical at the middle of the span and at right angle to the main reinforcement.

In forming a joint, concrete shall not be allowed to slope away to a thin edge. The locations of
construction joints shall be planned by the contractor well in advance of pouring and have to be
approved by the Engineer in charge.

Construction joints in foundations of equipment shall not be provided without specific concurrence
of the Engineer in charge. Before fresh concrete is placed the cement skin of the partially hardened
concrete shall be thoroughly removed and surface made rough by hacking, sand blastering, water
jetting, air jetting or any other method as directed by the Engineer in charge. The rough surface shall be
thoroughly wetted for about two hours and shall be dried and coated with 1:1 freshly mixed cement
sand slurry immediately before placing the new concrete. The new concrete shall be worked against the
prepared surface before the slurry sets. Special care must be taken to see that the first layer of concrete
placed after a construction joint is thoroughly rammed against the existing layer. Old joints during
pour shall be treated with freshly made cement sand slurry only after removing all the loose materials.

4.15 Expansion Joints:

Permanent expansion joints in structures shall be provided at maximum interval of 30m or where
directed. When joints are to be filled with joints filling materials as stipulated the permanently exposed
edges of joints shall be sealed with polysulphide of standard and approved make.

4.16 Loading of the Structures

No concrete structures shall be loaded until the concrete is at least 28 days old and only then with the
approval of the Engineer-in-Charge and subject to such conditions as he may lay down.
46
4.17 Testing and Acceptance Criteria of Concrete

The sampling of concrete making the test specimens, curing and testing procedures etc. shall be in
accordance with IS: 1199, IS: 3085 and IS: 516, the size of specimen being 15 cm cubes. Normally
only compression tests shall be performed in accordance with IS: 516.

For each grade of concrete and for each 8 hours of work or portion thereof the following samples
shall be taken.

At least six specimens shall be taken from the first 15.0 m3 or part thereof and three of these shall be
tested at 7 days and the remaining at 28 days. Four additional specimens shall be taken from each
additional 15.0 m3 of concrete or portion thereof of which 2 specimens shall be tested at 7 days and the
remaining at 28 days.

To control the consistency of concrete from every mixing plant slump tests, and/or compacting
factor tests in accordance with IS: 1199 shall be carried out by the contractor every two hours or as
directed by the Engineer-in-Charge. Slumps corresponding to the test specimens shall be recorded
for reference. The acceptance criteria of concrete shall be in accordance with IS: 456-2000.

Concrete work found unsuitable for acceptance shall have to be dismantled and replacement is to be
done as per specifications by the contractor. No payment for the dismantled concrete, the relevant
formwork and reinforcement embedded fixtures etc. shall be paid.

In the course of dismantling if any damage is done to, the embedded items or adjacent structures the
same shall be made good free of charge by the contractor to the satisfaction of the Engineer-in-Charge.

4.18 Load Test of Structures

The Engineer-in-Charge may instruct for a load test to be carried out on any structure if in his
opinion such a test is deemed necessary for any of the following reasons.

The works site made concrete test-cube failing to attain the specified strength, as per the criteria laid
down in IS: 456-2000.

Suspected overloading during construction of the structure under review

Shuttering being prematurely removed and not as per the specification

The concrete is being improperly cured.

Visible deficiencies of the concrete

If the results of the load test be unsatisfactory, the Engineer-in-Charge may instruct the Contractor to
demolish and reconstruct the structure or part thereof at the contractor’s cost. The load test of
structures shall be carried out as per the clause 16.5 of IS: 456-2000.

47
4.19 Special methods of concreting

The contractor should propose to use special methods of concreting not included in the
specifications, such as pumping concrete or using vacuum moulds, he shall obtain the
Engineer-in-Charge’s approval before commencing work and comply with any subsequent
specification made by the Engineer-in- Charge for this special method of concreting.
Contractor is advised to use modern techniques in adopting methods of laying/finishing concrete
in raft/walls etc. e.g. in raft use of any other acceptable and proven method will be welcomed.
The contractor may elaborate same on while quoting the offer.

48
TECHNICAL SPECIFICATION OF CESSPOOL VEHICLE

General

The equipment shall be a Mobile Unit suitable for desludging, dislodging and removing obstruction
sand blockages from containments (pits/septic tanks etc.) by a High Vacuum suctioning the
Sludge/slurry by Vacuum Suction System and discharging the collected sludge by Hydraulic
Tipping of the Tank, alternatively through Blow-back Arrangement.

System Description

The Jetting and Suction Unit mounted on mobile unit will comprise of the following:

- Driving System
- Tank
- Exhauster / Compressor–Indian/ Imported make
-Hydraulic System & Controls- Indian/ Imported Make
-Accessories

Driving System

The Engine of the Truck/ Tractor will be utilized to drive the vacuum pump through a split- shaft
power take-off unit installed between the vehicle gear box and the differential unit. The Hydraulic
pump shall be driven through the side Power Take Off (PTO)of the truck/ tractor gear box.

Tanker
The cylindrical tank and Dish ends shall be fabricated out of 5mm thick MS Plates conforming to
IS:2062 grade. The tank shall have a capacity of 1000 & 4000 Ltrs. The tank will be mounted on
an appropriate sub-frame, which in turn will be bolted to the truck/ tractor chassis. The tank exterior
will be spray painted with a coat of superior quality anticorrosive primer and two coats of enamel
paint of reputed make. The tank interior will be coated with two coats of anti-corrosive epoxy paint.

The tank has Blow– Back arrangement for discharge of material from the sludge tank using the
Exhauster/Compressor mode. The Blow-back Arrangement will be more hygienic and cleaner way
of evacuating the sludge from the tank by pressurizing the tank when the exhauster will run in
compressor mode.

Exhauster / Compressor / Imported Unit

The Exhauster / Compressor shall be of proven design with rated capacity of 7000 LPM of air flow
and will be capable of generating vacuum of up to 90% Vacuum during suction and alternatively
pressure of upto 1.5 Bar under pressure mode during Blow-back. The unit will be utilized for
operating under vacuum for suctioning sludge through a 80mm dia. suction hose and alternatively
in pressure mode for discharging the sludge by Blow back arrangement from the tank. Under the
pressure mode, compressed air can be injected in to the Sewer Manhole, Septic Tank, etc for
agitating the sludge/ slurry beforesuction.

Hydraulic System/Controls
The Hydraulic System includes hydraulic pump driven by vehicle PTO, hydraulic tipping cylinder,
hydraulic tank, oil pipe and control valve. All the controls required for operation of the hydraulic
system are grouped and mounted at a convenient place at the rear end so that the entire controls/
operations of the system is affected from a single location.
 Accessories
2Nos., 80 feet Long heavy duty, PVC flexible suction hoses of 80 mm internal diameter and fitted
with quick action couplings shall be provided along with the equipment.

Component Specifications/ Description

TruckChassis - Model &GVW TATA/Ashok Leyland/Eicher
Motororequivalent
GVW-9Ton2Axle

Vacuum-cum- CompressorPump
• Make Indian/ Imported Make
• Displacement 7000LPM
• Vacuum Pressure 700 mmHg (90%vacuum)
1.50Bar
Suction Hose-
• Internal Dia 80mminternal dia
• Max.Length 80feetlong
• Max.Depth 5 m depth

Cylindrical tankandDish ends-

• Thickness 5 mm thick
• Material & MS Plates
• Grade IS:2062grade A

Hydraulic System/ Control-

• Make Indian/ Imported Make

Size wise specifications of Vacuum Trucks

Category – A 0.5 m3
 Truck and Chassis – 2 axles, 4 tires or Tractor mounted
 Cab overall width not to exceed 1.5 m
 Sludge Tank – 260 kPa absolute pressure, equipped w/ gauge
 Vacuum Pump System – min. 100 m3/hr @ max. speed of 800 rpm
 Extension hose – 80 m (60 m x 100 mm, 20 m x 75 mm)
 Contents level/volume indicator

Category - B 3-m3 Vacuum Truck

 Truck and Chassis – 2 axles, 4 to 6 tires

 Cab overall width not to exceed 2.5 m
 Sludge Tank – 260 kPa absolute pressure, equipped w/ gauge
 Vacuum Pump System – min. 450 m3/hr @ max. speed of 1500 rpm
 Extension hose – 80 m (60 m x 100 mm, 20 m x 75 mm)
 With auxiliary water tank (1 m3) w/ high pressure washer
 Contents level/volume indicator
Category – C 5-m3 Vacuum Truck

 Truck and Chassis – 2 axles 6 tires, 3 axles 10 tires

 Cab overall width not to exceed 2.5 m
 Sludge Tank – 260 kPa absolute pressure, equipped w/ gauge
 The tank shall be hydraulically tipped by hydraulic cylinder/s at a minimum of 45 degrees
(optional)
 Vacuum Pump System – min. 750 m3/hr @ max. speed of 1500 rpm
 Extension hose – 80 m (60 m x 100 mm, 20 m x 75 mm)
 With auxiliary water tank (1m3) w/ high pressure washer
 Contents level/volume indicator

Category – D 10-m3 Vacuum Truck

 Truck and Chassis – 3 axles 10 tires

 Cab overall width not to exceed 2.5 m
 Sludge Tank – 260 kPa absolute pressure, equipped w/ gauge
 The tank shall be hydraulically tipped by hydraulic cylinder/s at a minimum of 45 degrees
(optional)
 Vacuum Pump System – min. 780.m3/hr @ max. speed of 1500 rpm
 Extension hose – 100 m (80 m x 100 mm, 20 m x 75 mm)
 With auxiliary water tank (1 m3) w/ high pressure washer
 Contents level/volume indicator

Desludging of Septic Tanks

 Company to submit to the Authority before start of month schedule of septic tanks of
customers for desludging.
 Company and the Authority to notify concerned customers of schedule of desludging of their
septic tanks at least one (1) week in advance.

 Household/establishment to open the access manholes of the septic tank.

 Company to desludge all accessible chambers of customer’s septic tank but to leave liquid
portion to about 1/3 of the total septage volume of the septic tank.
 Company to fill out Customer’s Septic Tank Desludging Form for information on date and time
of desludging, number of chambers, accessibility of each chamber, total volume desludged,
and Customer’s certification on the service rendered.
 If there is no septic tank, Customer shall also certify visit by the Compan;
 Inaccessible households/establishments shall be reported by the Company, stating why
Company is unable to service said households/establishments; better if Company can get the
customer to certify visit;
 List of alternate households/establishments should be ready to substitute for customers
without septic tank; Advance notice should also be done;
 Three (3) copies of Customer’s Septic Tank Desludging Form: for Customer, for Company,
and for Authority;
 May need random inspection

Transport to/from Septage Treatment Plant

 Every trip to the FSTP shall be recorded on “Septage Delivery Form” containing date and
time, and volume delivered as verified through the vacuum truck’s contents level/volume
indicator along with a certified government ID proof of the company.
 Two (2) copies: for Company and for Authority
 May need representative/guard to verify entries
 The Company shall be responsible for assessing the route conditions, hauling distances and
volume of traffic in the locality from the various septic tanks to be serviced to the Septage
Treatment Plant.
PROJECT :

Septage Management
Project
42 KLD FSTP

By- U.P Jal Nigam, Lko

Title:

Boundary Wall Drawing

Drg Ref : UPJN/FSTP/03-03

Work : FSTP
Project Manager GPCU-I
U.P. Jal Nigam, Lko

Scale: NTS

Sheet : 03 of 03
PROJECT :

Septage Management
Project
42 KLD FSTP

By- U.P Jal Nigam, Lko

Title: Main Gate Drawing

Drg Ref No.: UPJN/FSTP/01-03

Work : FSTP
o/o Project Manager GPCU 1st
Uttar Pradesh Jal Nigam, Lko

Scale: NTS
Sheet : 01 of 03
PROJECT :

Septage Management
Project
42 KLD FSTP

By- U.P Jal Nigam, Lko

Title: Utility Building Drg.

Drg Ref:UPJN/FSTP/02-03

Work : FSTP
Project Manager GPCU-I
U.P. Jal Nigam, Lko

Scale: NTS

Sheet : 02 of 03