Second Tamil Nadu Road Sector Project PROCUREMENT PLAN I. General 1. Project information: • Project: Second Tamil Nadu Road Sector Project • Country: India • Project Code: P143751 2. Bank’s approval Date of the procurement Plan Draft Procurement Plan dated March 19, 2015 Revision 0 agreed by the Bank on March 19, 2015 3. Implementing Agencies: TNRSP/ Highways Department, Govt. of Tamil Nadu 4. Period covered by this procurement plan: 18 months 5. Risk Rating for the Implementing Agency: Substantial 6. Original Procurement Risk Rating for the Project: Substantial 7. Current Procurement Risk Rating for the Project: Substantial II. Works, Non-consulting services and Goods. 1 a) Procurement Methods and Thresholds Category Method of Procurement Threshold (US$ Equivalent) Works International Competitive Bidding (ICB) > 40,000,000 National Competitive Bidding (NCB) Up to 40,000,000 (with NCB conditions) Shopping Up to 100,000 Direct Contracting (DC) As per paragraph 3.7 of Guidelines Public-Private Partnership (PPP) for Works As per paragraph 3.14 of Guidelines Force Account As per paragraph 3.9 of Guidelines Framework Agreement (FA) As per paragraph 3.6 of Guidelines Goods and International Competitive Bidding (ICB) > 3,000,000 non- Limited International Bidding (LIB) wherever agreed by Bank consultant National Competitive Bidding (NCB) Up to 3,000,000 (with NCB conditions) services Shopping Up to 100,000 (NCS) Direct Contracting (DC) As per paragraph 3.7 of Guidelines Public-Private Partnership (PPP) As per paragraph 3.14 of Guidelines Force Account (only for NCS) As per paragraph 3.9 of Guidelines Framework Agreement (FA) As per paragraph 3.6 of Guidelines Procurement from United Nations (UN) Agencies As per paragraph 3.10 of Guidelines 1 b) Prior Review Threshold Works: All contracts more than USD 10 million equivalent Goods: All contracts more than USD 2 million equivalent Non-Consultant Services and IT systems: All contracts more than USD 2 million equivalent In addition, the justifications for all contracts to be issued using LIB or direct contracting shall be subject to prior review with procurement plan. First framework agreement will be subject to prior review irrespective of value. For prior review contracts, the amendments for increasing the cost beyond 15% of original value shall also be subject to Bank’s prior review. 2. Pre-qualification – Not envisaged 3. Applicable Guidelines: All the contracts issued under the project will follow the World Bank’s “Guidelines: Procurement of goods, works and non-consulting services under IBRD loans and IDA credits & grants by World Bank borrowers” dated January 2011 (as updated in July 2014). 4. Any Other Special Procurement Arrangements: NCB will be conducted in accordance with paragraph 3.3 and 3.4 of the Guidelines and the following provisions: i. Only the model bidding documents for NCB agreed with the GOI Task Force (and as amended for time to time), shall be used for bidding; ii. Invitations to bid shall be advertised in at least one widely circulated national daily newspaper (or on a widely used website or electronic portal with free national and international access along with an abridged version of the said advertisement published in a widely circulated national daily inter-alia giving the website/electronic portal details from which the details of the invitation to bid can be downloaded), at least 30 days prior to the deadline for the submission of bids; iii. No special preference will be accorded to any bidder either for price or for other terms and conditions when competing with foreign bidders, state-owned enterprises, small-scale enterprises or enterprises from any given State; iv. Except with the prior concurrence of the Bank, there shall be no negotiation of price with the bidders, even with the lowest evaluated bidder; v. Extension of bid validity shall not be allowed with reference to Contracts subject to Bank prior review without the prior concurrence of the Bank (i) for the first request for extension if it is longer than four weeks; and (ii) for all subsequent requests for extension irrespective of the period (such concurrence will be considered by Bank only in cases of Force Majeure and circumstances beyond the control of the Purchaser/ Employer) vi. Re-bidding shall not be carried out with reference to Contracts subject to Bank prior review without the prior concurrence of the Bank vii. The system of rejecting bids outside a pre-determined margin or "bracket" of prices shall not be used in the project; viii. Rate contracts entered into by Directorate General of Supplies and Disposals will not be acceptable as a substitute for NCB procedures. Such contracts will be acceptable however for any procurement under the Shopping procedures; ix. Two or three envelope system will not be used (except when using e- Procurement system assessed and agreed by the Bank) Other agreed provisions are: • Any discount received from the bidders after bid submission deadline will not be considered either during the bid evaluation or the contract award. • Domestic preference will be applicable for ICB procurement of Goods as per Appendix 2 of the Procurement Guidelines. • Bids received from foreign bidders will not be rejected under NCB. • DGS&D rate contracts may be used as framework agreement (FA) provided: i. Use of DGS&D rate contracts as FA must be reflected on the procurement plan agreed by the Bank for particular goods. ii. Before issuing the purchasing order, the implementing agency will carry out a price analysis on the specific good that is intended to be purchased. If after this due diligence the implementing agency concludes (and Bank agrees) that the DGS&D rate contracts are more advantageous, DGS&D rate contracts may be used as FA. iii. To meet the Bank's requirements for right to audit and F&C, these clauses may be included in the Purchase Orders (in case the purchasers are directly placing the purchase orders to DGS&D rate contract holders). On the other hand, if indent is placed through DGS&D, the Purchaser has the option to sign a separate undertaking with DGS&D rate contract holder, where Bank's right to audit and F&C clauses could be mentioned. 5. Procurement Packages with Methods and Time Schedule – As per procurement plan available in STEP. III. Selection of Consultants 1 a) Selection Methods and Thresholds Method of Procurement Threshold (US$ Equivalent) Selection Based on Consultants’ Qualifications Up to 300,000 (CQS)/Least-Cost Selection (LCS) Single-Source Selection (SSS) As per paragraphs 3.9-3.11 of Guidelines Individuals As per Section V of Guidelines Particular Types of Consultants As per paragraphs 3.15-3.21 of Guidelines Quality- and Cost-Based Selection (QCBS)/ Quality- for all other cases Based Selection (QBS)/ Selection under a Fixed Budget (FBS) 1 b) Prior Review Threshold Consultancy Services: > US$ 1,000,000 for firms; and > US$ 300,000 for individuals In addition, the justifications for all contracts to be issued on the basis of single-source selection will be subject to prior review with procurement plan. For prior review contracts, the amendments for increasing the cost or extension of time beyond 15% of original value shall also be subject to Bank’s prior review. 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than $ 800,000 equivalent per contract, may comprise entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. 3. Any Other Special Selection Arrangements: None. 4. Applicable Guidelines: All the contracts issued under the project will follow the World Bank’s “Guidelines: Selection and employment of consultants under IBRD loans and IDA credits & grants by World Bank borrowers” dated January 2011 (as updated in July 2014). 5. Consultancy Assignments with Selection Methods and Time Schedule – As per procurement plan available in STEP. PROCUREMENT India : Second Tamil Nadu Road Sector Project PLAN General Information Country: India Banks Approval Date of the Original Procurement Plan: 2016-06-10 Revised Plan Date(s): (comma delineated, leave blank if none) 2017-10-13 Project ID: P143751 GPN Date: Project Name: Second Tamil Nadu Road Sector Project Loan / Credit No: IBRD / 84990 Executing Agency(ies): TNRSP PMU, Highways Department WORKS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component A: Network Improvement WBR 1 / OPRC-1 (Arcot Single Stage - One IBRD / 84990 Component C: Road Safety Prior Request for Bids Open - National 10,000,000.00 14,098,367.60 Signed 2015-12-07 2015-12-16 Tiruvarur Corridor Roads) Envelope Component B: Institutional Capacity Enhancement Component A: Network WBR 2 / OPRC-2 Improvement Single Stage - One (Nagapattinam - Tuticorin IBRD / 84990 Component C: Road Safety Prior Request for Bids Open - National 0.00 18,868,799.49 Signed 2015-12-07 2015-12-21 Envelope Corridor) Component B: Institutional Capacity Enhancement Component A: Network Improvement WBR 9 / Upgradation of SH-9 Single Stage - One IBRD / 84990 Component C: Road Safety Prior Request for Bids Open - International 0.00 14,978,763.02 Signed 2015-07-22 2015-08-10 and SH-137 (EPC 03) Envelope Component B: Institutional Capacity Enhancement IN-TNRSP-1927-CW-RFB / Four Laning of Oddanchatram - Component A: Network Single Stage - Two Under IBRD / 84990 Prior Request for Bids Open - International 91,583,602.00 0.00 2016-09-25 2016-10-05 2016-10-06 2016-11-21 2017-02-10 2017-03-27 2017-09-23 Dharapuram Avinashipalayam Improvement Envelope Implementation Section of SH-37 (PPP-02) TNRSP II PPP 02 SH 37 / Four Laning of Oddanchatram - Dharapuram - Avinashipalayam Section of SH-37 ("TheProject State Highway") from Km 37+400 Component A: Network Single Stage - Two IBRD / 84990 Prior Request for Bids Open - International 101,833,333.00 0.00 Under Review 2017-04-07 2017-04-26 2017-04-26 2017-06-30 2017-07-06 2017-10-20 2017-12-12 2018-06-10 to Km 108+400 in the State of Improvement Envelope Tamil Nadu under TNRSP-II to be executed on Design, Build, Finance, Operate, Maintain and Transfer TNRSP II PPP 01 SH 15 / Project No.PPP01 - Four Laning of Gobi -Erode Section of SH-15 ("The Project State Highway") from Km 123+000 to Km Component A: Network Single Stage - Two Under IBRD / 84990 Prior Request for Bids Open - International 43,168,333.00 0.00 2017-04-20 2017-05-03 2017-07-06 2017-10-20 2017-12-12 2018-06-10 153+600 in the State of Tamil Improvement Envelope Implementation Nadu under TNRSP-II to be executed on Design, Build, Finance, Operate, Maintain and Transfer (DBFOMT) on Mod TNRSP II PPP03 SH39 / Strengthening and Widening (Four Lane) of Tirunelveli- Sengottai-Kollam Road of SH-39 ("The Project State Highway") Component A: Network Single Stage - Two IBRD / 84990 Prior Request for Bids Open - International 58,000,000.00 0.00 Under Review 2017-05-02 2017-05-04 2017-05-12 2017-06-29 2017-07-14 2017-10-27 2017-12-15 2027-12-14 from Km 5+000 to Km 50+600 in Improvement Envelope the State of Tamil Nadu under TNRSP-II to be executed on DBFOMT on Modified Annuity Basis. GOODS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-TNRSP-28280-GO-RFB / Providing Advanced Traffic Single Stage - Two Pending Management System in ECR IBRD / 84990 Component C: Road Safety Post Request for Bids Open - International 1,666,666.00 0.00 2017-10-11 2017-10-16 2017-11-27 2018-02-09 2018-03-16 2018-09-12 Envelope Implementation (East Coast Road) Km 22/300 - Km 56/700 NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Contract Type Estimated Actual Amount Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Technical Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Report and Draft Signed Contract Contract Completion Amount (US$) (US$) Notice Request for Proposals as Issued Proposals / Minutes Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component A: Network WBR 17 / Construction Improvement Quality And Cost- Under Supervision Consultancy services IBRD / 84990 Component C: Road Safety Prior Open - International 0.00 1,990,816.64 2016-05-30 Based Selection Implementation for EPC packages (SC-2) Component B: Institutional Capacity Enhancement Page 1 Component A: Network WBR 18 / Construction Improvement Quality And Cost- Supervision Consultancy services IBRD / 84990 Component C: Road Safety Prior Open - International 0.00 2,540,920.48 Signed 2015-06-08 2015-06-12 Based Selection for EPC packages (SC-3) Component B: Institutional Capacity Enhancement Component A: Network WBR 3 / Construction Improvement Quality And Cost- Supervision Consultancy services IBRD / 84990 Component C: Road Safety Prior Open - International 0.00 3,305,723.62 Signed 2015-06-04 2015-06-24 Based Selection for EPC packages (SC-1) Component B: Institutional Capacity Enhancement WBR 21 / Road Safety Quality And Cost- Under IBRD / 84990 Component C: Road Safety Prior Open - National 1,000,000.00 0.00 2016-08-04 2016-08-08 2016-08-18 2016-08-22 2016-08-23 2016-09-27 2016-11-01 2017-11-01 Management Consultancy Based Selection Implementation IN-TNRSP-3554-CS-QCBS / Activity relates to procurement of Road Safety Management Consultancy Service under the Road Safety Component. The Quality And Cost- Under IBRD / 84990 Component C: Road Safety Prior Open - International 1,083,333.33 0.00 2016-11-18 2016-12-09 2017-01-22 2017-02-19 2017-03-21 2017-04-25 2017-05-30 2018-05-30 process is in advance stage. EOI Based Selection Implementation evaluation completed; Technical and Financial Proposal evaluated and decided to go for fresh tenders now. IN-TNRSP-2152-CS-QCBS / Quality And Cost- Road Safety Management IBRD / 84990 Component C: Road Safety Prior Open - International 10,736,667.00 0.00 Canceled 2016-11-15 2016-12-06 2017-01-19 2017-02-16 2017-03-18 2017-04-22 2017-05-27 2018-05-27 Based Selection Consultancy Service(RSMCS) IN-TNRSP-3700-CS-QCBS / RUSS-Consultancy Service for Component B: Institutional Quality And Cost- Under Road User Satisfaction Survey - IBRD / 84990 Post Open - National 70,000.00 0.00 2016-12-15 2016-12-19 2017-01-05 2016-12-30 2017-02-18 2017-05-10 2017-03-18 2017-06-23 2017-04-17 2017-09-05 2017-05-22 2017-09-23 2017-06-26 2018-06-26 Capacity Enhancement Based Selection Implementation Base line survey & Midterm survey IN-TNRSP-3705-CS-QCBS / Proc Re-Engg - Consultancy Service for Process Re Component B: Institutional Quality And Cost- Under IBRD / 84990 Post Open - National 138,345.00 0.00 2016-12-15 2016-12-19 2017-01-05 2017-01-20 2017-02-18 2017-05-15 2017-03-18 2017-04-17 2017-05-22 2017-06-26 2018-06-26 Engineering - Capacity Enhancement Based Selection Implementation B2 Process Improvements and Organizational Restructuring IN-TNRSP-5233-CS-QCBS / LA - Consultancy Service to Prepare Amendments to Tamil Nadu Highways Act, 2001(Tamil Nadu Component B: Institutional Quality And Cost- Under IBRD / 84990 Post Open - National 35,650.00 0.00 2017-01-06 2017-01-11 2017-01-27 2017-01-25 2017-03-12 2017-03-28 2017-04-09 2017-05-30 2017-05-09 2017-09-05 2017-06-13 2017-09-23 2017-07-18 2018-07-18 Act 34 of 2002) under -B2) Capacity Enhancement Based Selection Implementation Process Improvements and Organizational Restructuring of ICE Components IN-TNRSP-6091-CS-QCBS / Training needs assessment and Component B: Institutional Quality And Cost- Under management for effective IBRD / 84990 Prior Open - National 1,116,180.00 0.00 2017-02-10 2017-06-19 2017-03-03 2017-07-28 2017-04-16 2017-05-14 2017-06-13 2017-07-18 2017-08-22 2018-08-22 Capacity Enhancement Based Selection Implementation resource utilization in Tamil Nadu Highways Department IN-TNRSP-20820-CS-FBS / RSM Consultant - Second Call- Road Safety Management Consultancy Services to help the Fixed Budget Under Government of Tamil Nadu in IBRD / 84990 Component C: Road Safety Prior Open - International 1,250,000.00 0.00 2017-07-19 2017-08-03 2017-08-09 2017-08-07 2017-09-22 2017-10-13 2017-10-20 2017-11-19 2017-12-24 2018-01-28 2020-07-16 Selection Implementation carrying out strategic and operational level initiatives to enhance Tamil Nadu's road safety management capacity IE01/PPP02/TNRSPII/2017 / Appointment of Independent Engineer for Four Laning of Oddanchatram - Dharapuram - Component A: Network Quality And Cost- Under IBRD / 84990 Prior Open - International 2,600,000.00 0.00 2017-08-17 2017-09-06 2017-09-18 2017-12-14 2018-01-18 2018-02-02 2018-03-26 2018-05-01 2021-04-30 Avinashipalayam Section of SH- Improvement Based Selection Implementation 37 from Km 37+400 to Km 108+400 in the State of Tamil Nadu under TNRSP-II IE02/PPP03/TNRSP II/2017 / Invitation of Proposals for Expression of Interest for Independent Engineer for "Strengthening and Widening Component A: Network Quality And Cost- Under IBRD / 84990 Prior Open - International 1,395,300.00 0.00 2017-08-17 2017-09-06 2017-09-18 2017-12-14 2018-01-18 2018-02-02 2018-03-26 2018-05-01 2021-04-30 (Four Lane) of Tirunelveli - Improvement Based Selection Implementation Sengottai - Kollam Road of SH- 39 ("The Project State Highway") from Km 5+000 to Km 50+600 in the State of Tamil Nadu TPTARC / Third Party Technical and Accounting Review Consultancy Services (TPTARC) to carryout semi-annual review on Tamil Nadu Road Sector Project Component A: Network Quality And Cost- Under IBRD / 84990 Post Open - National 492,783.00 0.00 2017-09-14 2017-09-21 2017-10-25 2017-12-01 2018-01-07 2018-02-15 2018-03-31 2018-04-15 2021-04-29 II Implementation, Project Improvement Based Selection Implementation Performance, compliance with safeguard documents and statutory / regulatory requirements WBR 20 / Third Party Technical Component A: Network Quality And Cost- and Accounting Review IBRD / 84990 Prior Open - National 400,000.00 0.00 Canceled 2016-08-04 2016-11-23 2016-08-25 2016-10-08 2016-11-05 2016-12-05 2017-01-09 2017-02-13 2019-03-31 Improvement Based Selection Consultancy Services (TPTARC) FORENSIC AUDIT / Forensic Component A: Network Fixed Budget Under audit for Procurement cycle IBRD / 84990 Post Open - National 203,000.00 0.00 2017-09-25 2017-10-11 2017-09-28 2017-10-12 2017-10-11 2017-11-21 2018-01-05 2018-02-09 2018-03-16 2021-03-15 Improvement Selection Implementation under TNRSP II. Quality And Cost- WBR 19 / Forensic Audit IBRD / 84990 Component C: Road Safety Prior Open - National 100,000.00 0.00 Canceled 2016-08-04 2016-09-14 2016-08-25 2016-10-08 2016-09-15 2016-11-05 2016-12-05 2017-01-09 2017-02-13 2019-08-31 Based Selection Page 2 IN-TNRSP-29719-CS-FBS / MC for IT-ICT : Management consultancy services for IT-ICT Component B: Institutional Fixed Budget Pending IBRD / 84990 Post Open - National 325,916.00 0.00 2017-10-23 2017-11-13 2017-12-27 2018-01-24 2018-02-23 2018-03-30 2018-05-04 2019-05-04 related procurements and e- Capacity Enhancement Selection Implementation pathai enhancement in Highways Department INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Contract Type Estimated Actual Amount Draft Negotiated Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual TNRSP II / 191/RP IMP /LA CON / Procurement of Consultancy services for Land Component A: Network Individual Consultant Acquisition Consultant to assist IBRD / 84990 Post Direct 13,000.00 10,959.74 Signed 2017-08-07 2017-08-09 2017-08-09 2017-08-11 2017-08-16 2017-08-18 2017-08-30 2017-08-24 2018-08-31 Improvement Selection project implementation unit in Land Acquisition matters in TNRSP II IN-TNRSP-28273-CS-CDS / Consultancy Service to Explore Component B: Institutional Pending IBRD / 84990 Post Direct Selection Direct 100,000.00 0.00 2017-09-14 2017-09-24 2017-11-28 2018-05-27 Best Principles in Human Capacity Enhancement Implementation Resources Development Page 3