TNRTP- P157702- Procurement Arrangements and Thresholds- SUBSTANTIAL RISK 1. Procurement for the proposed project will be carried out in accordance with the Bank’s Procurement Regulations for Borrowers for Goods, Works, Non-Consulting and Consulting Services dated July 1, 2016 and applicable to Investment Project Financing (IPF) here in after referred to as “Regulations”. The project will be subject to the Bank’s anticorruption Guidelines3, dated October 15, 2006, and revised in January 2011 and as of July 1, 2016. 2. As per the requirement of the Regulations, a Project Procurement Strategy Document (PPSD) has been developed, based on which the procurement plan has been prepared and sets out the selection methods to be followed by the Borrower during project implementation in the procurement of goods, works, non-consulting and consulting services financed by the Bank. The Procurement Plan will be updated annually for larger procurements like NCB or as required to reflect the actual project implementation needs and improvements in institutional capacity. 3. Procurement methods: The table below describes various procurement methods to be used for activities financed by the loan. These along with agreed thresholds will be reproduced in the procurement plan. The thresholds indicated in the following table apply to the initial 18 month implementation period and are based on the procurement performance of the project; these thresholds may be subsequently modified. Table 7 – Procurement method threshold Thresholds for Procurement Thresholds (US$ equivalent) Approaches and Methods Open International (Goods, IT and non- > 3 million consulting services) Open National (Goods, IT and non- > 100,000 and up to 3 million consulting services) National Request For Quotation (Goods / Up to 100,000 Works) Open International (Works) > 40 million Open National (Works) > 100,000 and up to 40 million Direct Selection No threshold; For Goods / Works / non-consulting services: As per paragraph 6.8-6.10 of Regulation. For Consultants: As per paragraph 7.13-7.15 of Regulation. Shortlist of National Consultants Up to 800,000 4. Procurement Prior Review Thresholds: The World Bank will prior review (thresholds are based on SUBSTANTIAL rating) the following contracts: a) Works: All contracts more than US$ 10 million equivalent b) Goods and Information Technology: All contracts more than US$ 2 million equivalent c) Non-Consulting Services: All contracts more than US$ 2 million equivalent; d) Consultants: All contracts > US$ 1 million equivalent for firms and > US$ 300,000 equivalent for individuals. e) Direct Selection: All contracts more than US$ 100,000 equivalent 5. The above thresholds are for the initial 18 month implementation period; based on the procurement performance of the project these thresholds may be subsequently modified. Even for large value Post Review cases, the inputs of Bank on Technical Specifications / TORs will be obtained by project. The prior review thresholds will also be indicated in the procurement plan. The procurement plan will be subsequently updated annually (or at any other time if required) and will reflect any change in prior review thresholds. The prior review thresholds will be mutually reviewed during project implementation and modified based on the risk assessment. 6. In the case of contracts subject to prior review, the Implementing Agency shall seek the Bank’s no objection before granting/agreeing to (a) an extension of the stipulated time for performance of a contract that either increases the contract price or has an impact on the planned completion of the project; (b) any substantial modification of the scope of works, goods, non- consulting services or consulting services, other significant changes to the terms and conditions of the contract; (c) any variation order or amendment (except in cases of extreme urgency) which singly or combined with all variation orders or amendments previously issued, increase the original contract amount by more than 15 percent; (d) the proposed termination of the contract. 7. National Procurement Procedure Conditions: National competition for the procurement of goods, works and non-consulting services according to the established thresholds will be conducted in accordance with paragraphs 5.3 – 5.5 of Section V of the Regulations and the following provisions: (a) Only the model bidding documents agreed with the GoI task force (and as amended for time to time) shall be used for bidding. (b) 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, among others, giving the website/electronic portal details from which the details of the invitation to bid can be downloaded) at least 30 days before the deadline for the submission of bids. (c) No special preferences 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. (d) 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 the Bank only in cases of force majeure and circumstances beyond the control of the purchaser/employer). (e) Rebidding shall not be carried out with reference to contracts subject to Bank prior review without the prior concurrence of the Bank. The system of rejecting bids outside a predetermined margin or ‘bracket’ of prices shall not be used in the project. (f) Rate contracts entered into by the Directorate General of Supplies and Disposals (DGS&D) will not be acceptable as a substitute for national competition procedures unless incorporation of right to audit and fraud corruption clauses. DGS&D contracts and its new version will be acceptable, however, for any procurement under the shopping procedures. (g) No negotiations are conducted even with the lowest evaluated responsive bidders. 8. Domestic Preference. The provision of domestic preference will be applied in the evaluation of bids in accordance with Annex VI of the Regulations. 9. Record keeping. All records pertaining to award of tenders, including bid notification, register pertaining to sale and receipt of bids, bid opening minutes, bid evaluation reports and all correspondence pertaining to bid evaluation, communication sent to/with the Bank in the process, bid securities, and approval of invitation/evaluation of bids would be retained by IAs. 10. Disclosure of procurement information. The following documents shall be disclosed on the project/state websites: (a) a Procurement Plan and updates; (b) an invitation for bids for goods and works for all contracts; (c) request for expression of interest for selection/hiring of consulting services; (d) contract awards of goods and works procured following international and national procedures; (e) a list of contracts/ purchase orders placed following shopping procedures on a quarterly basis; (f) a list of contracts following direct contracting (DC) on a quarterly basis; (g) a monthly financial and physical progress report of all contracts; and (h) an action taken report on the complaints received on a quarterly basis. 11. The following details shall be sent to the Bank for publishing on the United Nations Development Bank and Bank external website: (a) an invitation for bids for procurement of goods and works using open international procedures; (b) contract award details of all procurement of goods and works using open international procedure; and (c) a list of contracts/ purchase orders placed following DC procedures on a quarterly basis. 12. Further, SPIU will also publish on their website any information required under the provisions of ‘suo moto’ disclosure as specified by the Right to Information Act. 13. Oversight and Monitoring by the Bank. All contracts not covered under prior review by the Bank will be subject to post review during implementation support missions and/or special post review missions, including missions by consultants hired by the Bank. To avoid doubts, the Bank may conduct, at any time, Independent Procurement Reviews of all the contracts financed under the loan. 14. The high risk and high value procurements, if any will be identified for increased contract management support and indicated in the procurement plan. The SPIU will develop key performance indicators (KPIs) for such identified contracts and the KPIs would be monitored during actual execution of contracts. Bank team will provide additional due diligence and independent review of the contract performance of such identified procurements. Frequency of procurement supervision, the World Bank will normally carry out implementation support missions, including review and support on procurement, on a semi- annual basis. Mission frequency may be increased or decreased based on the procurement performance of the project. *** PROCUREMENT India : Tamil Nadu Rural Transformation Project (TNRTP) PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2018-12-05 2020-02-09 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P157702 GPN Date: Project Name: Tamil Nadu Rural Transformation Project (TNRTP) Loan / Credit No: IBRD / 87950 Executing Agency(ies): Tamil Nadu Rural Transformation Society WORKS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual 058/TNRTP/2018 / Project Management, Results Refurbishment of Identified Monitoring and Single Stage - One Space for Setting up of IBRD / 87950 Post Request for Bids Open - National 384,615.00 0.00 Canceled 2018-12-07 2018-12-12 2019-01-11 2019-01-18 2019-02-01 2019-05-02 Implementation Support Envelope State Project Management Systems Unit (SPMU) IN-TNRTS-152334-CW-RFB Project Management, Results Pending / Office Refurbishment for Monitoring and Single Stage - One IBRD / 87950 Post Request for Bids Open - National 214,285.00 0.00 Implementati 2019-12-30 2020-01-05 2020-02-05 2020-02-12 2020-02-26 2020-05-26 State Project Management Implementation Support Envelope on Unit of TNRTP. Systems GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Project Management, Results 043/TNRTP/2018 / Purchase Monitoring and Request for Single Stage - One of Vehicles for SPMU of IBRD / 87950 Post Limited 70,000.00 46,501.12 Signed 2018-12-20 2019-01-04 2019-02-03 Implementation Support Quotations Envelope TNRTP Systems ROC.NO.045/TNRTP/2018 / Project Management, Results Purchase of Desktops, Monitoring and Request for Single Stage - One IBRD / 87950 Post Open - National 57,392.00 50,862.42 Signed 2019-10-01 2019-11-26 2020-05-24 Laptops and Printers in Implementation Support Quotations Envelope TNRTP SPMU Systems ROC.NO.101/TNRTP/2018 / Project Management, Results Pending Printing of Diaries, Note Monitoring and Request for Single Stage - One IBRD / 87950 Post Open - National 34,632.00 0.00 Implementati 2019-11-23 2020-01-18 2020-07-16 Books, Binding Pads & Implementation Support Quotations Envelope on Wrapper Sheets Systems 090/TNRTP/2019 / Printing Pending of PGP Manuals for Rural Enterprise Ecosystem Request for Single Stage - One IBRD / 87950 Post Limited 20,000.00 0.00 Implementati 2020-02-12 2020-04-08 2020-10-05 Participatory Growth plan Development Quotations Envelope on exercise NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Page 1 099/TNRTP/2018 / Selecting Project Management, Results an Outsourcing Agency for Monitoring and Request for Single Stage - One IBRD / 87950 Post Limited 30,000.00 2,356.92 Signed 2018-12-20 2019-01-07 2020-01-07 recruiting Non-Technical Implementation Support Quotations Envelope Basic staff for TNRTP Systems 098/TNRTP/2018 / Taking Project Management, Results Pending Video film and Documentary Monitoring and Request for Single Stage - One IBRD / 87950 Post Limited 96,000.00 0.00 Implementati 2018-12-24 2019-01-10 2019-03-26 about TNRTP and its Implementation Support Quotations Envelope on components Systems Project Management, Results 43/TNRTP/2018 / Hiring of Monitoring and Request for Single Stage - One Vehicles for SPMU of IBRD / 87950 Post Limited 37,000.00 601.47 Signed 2018-12-22 2019-01-01 2019-01-03 Implementation Support Quotations Envelope TNRTP Systems CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit Market Contract Type Estimated Actual Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Description Component Review Type Method Process Status Terms of Reference Report and Draft Signed Contract Contract Completion No. Approach Amount (US$) Amount (US$) Notice Request for Proposals as Issued Proposals / Minutes Technical Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual 096/TNRTP/2018 / Hiring of Agency for Capacity Building Rural Enterprise Ecosystem Quality And Cost- Under Support for Development and IBRD / 87950 Prior Open - National 2,000,000.00 0.00 2018-12-15 2018-12-20 2019-01-19 2019-02-18 2019-02-28 2019-03-13 2019-04-17 2022-04-16 Development Based Selection Implementation Strengthening for Producer Collectives under TNRTP. Consultant 381/TNRTP/2017 / Matching Enterprise Business Plan Under IBRD / 87950 Post Qualification Open - National 21,000.00 0.00 2019-01-31 2019-02-21 2019-03-17 2019-04-16 2019-05-21 2019-11-17 Grants Program Financing Implementation Selection 002-A/TNRTP/2019 / Project Management, Results Consultant Statutory Auditor Monitoring and Pending IBRD / 87950 Post Qualification Limited 4,500.00 0.00 2019-04-05 2019-04-19 2019-05-04 2019-05-18 2022-05-17 procurement for 3 Years Implementation Support Implementation Selection (2018-19,2019-20 and 2020- Systems 21) 001/TNRTP/2019 / Internal Auditor procurement for 3 Project Management, Results Years (2019-20,2020-21 and Monitoring and Least Cost Under IBRD / 87950 Post Open - National 90,270.00 0.00 2019-04-05 2019-04-26 2019-06-09 2019-07-07 2019-07-22 2019-08-26 2019-09-30 2022-09-29 2021-22) - Converted Rupees Implementation Support Selection Implementation in Current Dollar Rate Systems (68.76) ROC.NO.051/TNRTP/2019 / Transaction Manager is an agency who will identify and enter into partnership Enterprise Business Plan Quality And Cost- Under IBRD / 87950 Post Open - National 249,000.00 0.00 2019-09-25 2019-10-16 2019-11-29 2019-12-27 2020-01-26 2020-03-01 2020-04-05 2021-04-05 with different financial Financing Based Selection Implementation Institution for implementation of Matching Grant Program. ROC.NO.122/MIS/2019 / System Integrator to Design, Project Management, Results Develop, Deploy and Monitoring and Quality And Cost- Under Operation & IBRD / 87950 Prior Open - National 1,714,286.00 0.00 2019-12-03 2019-12-24 2020-02-06 2020-03-05 2020-04-04 2020-05-09 2020-06-13 2021-06-13 Implementation Support Based Selection Implementation Maintenance(OM) of Systems Integrated Digital Platform for TNRTP. 068/TNRTP/2019 / Hiring agency to design, develop Project Management, Results and effectively deploy the Monitoring and Quality And Cost- Under IBRD / 87950 Post Open - National 500,000.00 0.00 2020-01-05 2020-01-26 2020-03-10 2020-04-07 2020-05-07 2020-06-11 2020-07-16 2021-07-16 knowledge management and Implementation Support Based Selection Implementation communication strategy for Systems the project . Page 2 INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Loan / Credit Market Contract Type Estimated Actual Draft Negotiated Description Component Review Type Method Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion No. Approach Amount (US$) Amount (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Project Management, Results 002/TNRTP/2019 / Statutory Monitoring and Under Auditor procurement for IBRD / 87950 Post Direct Selection Direct 1,500.00 0.00 2019-02-14 2019-02-17 2019-02-20 2019-03-12 Implementation Support Implementation 2017-18 Systems ROC.NO.115/MIS/2019 / Developing a Field Level Rural Enterprise Ecosystem Pending Data Capturing Mobile IBRD / 87950 Post Direct Selection Direct 41,907.00 0.00 2019-11-26 2019-12-06 2020-02-09 2020-08-07 Development Implementation Application For Participatory Growth Plan (PGP) Exercise. Page 3