Procurement Plan for UP Core Road Network Development Project I. General 1. Project information: Country : India Borrower : Republic of India Project Name : UP Core Road Network Development Project Loan No. : Project Implementing Agency : UP PWD, UP Police, UP Transport Department (PIA), etc. 2. Bank’s approval Date of the procurement Plan Original :as per STEP 3. Date of General Procurement Notice: 21st August 2015 4. Period covered by this procurement plan: Retroactive Financing II. Goods and Works and non-consulting services 1. Prior Review Threshold: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement. World Bank review of procurement: The World Bank will prior review (thresholds are based on “Substantial” rating, will be modified if risk rating is changed after assessment by Bank during the project implementation) the following contracts: a) Works including turnkey Supply & Installation of Plant and Equipment and PPP: All contracts more than US$ 10 million equivalent b) Goods, Information Technology and Non-consulting Services: All contracts more than US$ 2 million equivalent First contract issued by implementing agency [IA] will be subject to prior review irrespective of their value. In addition, the justifications for all contracts to be issued on the basis of LIB, single- source or direct contracting will be subject to prior review. The above thresholds are for the initial 18 months implementation period; based on the procurement performance of the project these thresholds may be subsequently modified by Bank. In case of Post Review contracts, the inputs of Bank on Technical Specifications will be obtained by project. 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 World Bank will carry out an annual ex-post procurement review of the procurement falling below the prior review thresholds provided above. To avoid any doubts, the Bank may conduct at any time Independent Procurement Reviews (IPRs) of all the contracts financed under the loan. Domestic preference is allowed only for Procurement of Goods and Information Technology and not for procurement of Works. Method Threshold Category Method of Procurement (US$ Equivalent) Works International Competitive Bidding (ICB) > 40,000,000 Up to 40,000,000 (with NCB National Competitive Bidding (NCB) conditions) Shopping Up to 100,000 As per paragraph 3.7 of Direct Contracting (DC) Guidelines Public-Private Partnership (PPP) for As per paragraph 3.14 of Works Guidelines As per paragraph 3.9 of Force Account Guidelines As per paragraph 3.6 of Framework Agreement (FA) 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 services conditions) (NCS) Shopping Up to 100,000 Direct Contracting (DC) As per paragraph 3.7 of Guidelines Public-Private Partnership (PPP) Services As per paragraph 3.14 of Guidelines Force Account (only for NCS) As per paragraph 3.9 of Guidelines Framework Agreement (FA)1 As per paragraph 3.6 of Guidelines Procurement from United Nations (UN) As per paragraph 3.10 of Agencies Guidelines 2. Prequalification. Pre-qualification is not envisaged for any package under the Project. 3. Proposed Procedures for CDD Components (as per paragraph. 3.17 of the Guidelines: Not Applicable 4. Reference to (if any) Project Implementation Plan: Not Applicable 5. Retroactive Financing : As per LA 6. NCB Condition: National competition for the procurement of goods and works according to the established thresholds will be conducted in accordance with paragraphs 3.3 & 3.4 of Section III of the Guidelines and the following provisions: 1/ DGS&D rate contracts may be used as framework agreement (FA) subject to the conditions mentioned under NCB conditions a) Only the model bidding documents for NCB agreed with the GoI Task Force (and as amended from 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 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; c) 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; d) Except with the prior concurrence of the Bank, there shall be no negotiation of price with the bidders, even with the lowest evaluated bidder; e) 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); f) Re-bidding 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 pre-determined margin or "bracket" of prices shall not be used in the project; g) Rate contracts entered into by Directorate General of Supplies and Disposals (DGS&D) will not be acceptable as a substitute for NCB procedures unless agreed with the Bank on case to case basis. Such contracts will be acceptable however for any procurement under the Shopping procedures; h) Use of DGS&D rate contracts as Framework Agreement must be reflected in the procurement plan agreed by the Bank for particular goods. Before issuing the purchasing order, the Bank will have to advise the government on carrying out a price analysis on the specific good that is intended to be purchased. If after this due diligence the borrower concludes [and Bank agrees] that the DGS&D rate contract is not suitable, then the borrower will have to proceed using NCB or shopping depending on the value. 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. i) Two or three envelope system will not be used (except when using e-procurement system assessed and agreed by the Bank). 7. Procurement Packages with Methods and Time Schedule as per approved plan in STEP III. Selection of Consultants 1. Prior Review Threshold: Selection decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants: a) Consultancy Services for selection of firms : All contracts more than US$ 1.0 million equivalent; b) Consultancy services for selection of individuals: All contracts above US$ 0.3 million. c) First contract issued by implementing agency [IA] will be subject to prior review irrespective of their value. In addition, the justifications for all contracts to be issued on the basis of single-source or direct contracting will be subject to prior review. 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 by Bank. In case of Post Review contracts, the inputs of Bank on TORs will be obtained by project. 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 World Bank will carry out an annual ex-post procurement review of the procurement falling below the prior review thresholds provided above. To avoid any doubts, the Bank may conduct at any time Independent Procurement Reviews (IPRs) of all the contracts financed under the loan. Selection Method Method Threshold (USD) Consultants’ Selection Based on Consultants’ Qualifications Up to 300,000 Services (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) (i) International shortlist > 800,000 (ii) Shortlist may comprise national consultants only Up to 800,000 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than US $ 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: First consultancy selection shall be prior reviewed irrespective of threshold. Refer to sl. No. 4 under Section-II of the procurement plan 4. Consultancy Assignments with Selection Methods and Time Schedule as per approved plan in STEP Procurement Plan for Goods, Works and Non-Consultancy Services 1 2 3 4 5 6 7 8 9 10 Estimate Estimate Estimate Quantit d unit d total d total Sl. Method of y to be cost (Rs. cost (Rs Review Unit cost (in No. Description of Goods / Works / procureme procure In in By Bank NIT Date US$ Non consulting Services nt d (Nos.) million) million) million) INR INR Works - Phase -I Review Information 1 Upgradation & Maintenance of ICB 2701 45.02 Prior 24th Dec Hamirpur-Rath Section of SH-42 14 (2.065 km to 76.500 km) UPCRNDP/UPG/01 2 Upgradation & Maintenance of NCB 1961 32.68 Prior 26th Dec Garautha-Chirgaon Section of 14 SH-42 (118.600 km to 167.540 km) UPCRNDP/UPG /02 3 Upgradation & Maintenance of ICB 2981 49.68 Prior 1st Jan 15 Gola-Shahjahanpur Section of SH-93 (1.280 km to 59.380 km) UPCRNDP/UPG/03 4 Upgradation & Maintenance of ICB 3035 50.58 Prior 16th Jan 15 Badaun-Bilsi-Bijnaour Section of SH-51(58.400 km to 137.525 km) UPCRNDP/UPG/04 Works - Phase -II 5 Upgradation & Maintenance of NCB 1837 30.61 Prior 1st March Rath-Garautha Section of SH-42 16 (Missing Link) UPCRNDP/UPG/05 6 Construction of Sharda Bridge ICB 4494 74.90 Prior 8th March UPCRNDP/UPG/06 16 7 Upgradation & Maintenance of ICB 4271 71.18 Prior 15th March Balrampur-Utraula-Faizabad 16 Section of SH-26 and SH-9 UPCRNDP/UPG/07 Goods 8 Procurement of Servers to host Shopping/ 8.64 0.14 Post 2nd April PMIS DGS&D 15 9 OS & Software licensing cost Shopping/ 5.00 0.83 Post 10th April DGS&D 15 10 Procurement of Desktops Shopping/ 1.44 0.02 Post 1st May 15 DGS&D 11 Procurement of Notebooks Shopping / 1.62 0.28 Post 1st May 15 DGS&D 12 Procurement of Printers Shopping / 2.00 0.03 Post 1st May 15 /scanners/ UPS & other IT DGS&D accessories Non Consulting Services First 18 months Procurement Plan for UP Core Road Network Development Project (UPCRNDP) Procurement Plan for Consultancy Services 1 2 3 4 5 6 7 8 9 13 Hosting charges 0.02 0.96 Estimated Post 2nd April Methods Unit Cost Estimate Planned Sl. No of cost (in Review by 15 Description of Services of (Rs. in d cost Date of No. Units million Bank selection million) (Rs. in REoI US$) million ) 14 STQC certification 1.50 0.03 Post 1st May 15 Hiring of Project Management 1 Consulting Services (excluding QCBS 593.80 9.90 Prior 8th Aug 14 Service tax) 15 Internet connectivity in 10 6.24 0.10 Post 1st June15 divisional & 3 circle offices Hiring of services of Supervision 2 QCBS 400.00 6.67 Prior 1st Oct 15 consultant for Phase II roads 16 Hiring of firm/institution for 12.00 0.20 Post 1st May 15 Consultancy for Road capacity building User in LA of PWD Post 3 CQS 3.00 0.05 2nd Apr 15 and R&R Surveys (Initial) Satisfaction 4 Independent Quality Audit QCBS 48.00 0.80 Prior 1st Oct 15 Consultancy for Independent Social 30th Sept 5 LCS 6.90 0.11 Post and Environment Reviewer 14 NGOs for RAP Implementation 2nd Sept. 6 LCS 7.00 0.11 Post 14 Independent Consultant to support the Environment component under 7 Environment and Social IC 3.75 0.06 Post 15th Apr 15 Development Cell Independent Consultant to support the Social component under 8 IC 3.75 0.06 Post 15th Apr 15 Environment and Social Development Cell Individual Consultant for Sensitive 9 IC 4.40 0.07 Post 15th Apr 15 Ecological Studies 10 Gender Assessment QCBS 18.00 0.30 Post 15th Jun 15 Consultancy for Financial 11 FBS 5.00 0.08 Post 2nd Apr 15 Management support Consultancy for Internal Auditor 12 FBS 9.28 0.15 Post 1st June 15 (Financial) PROCUREMENT India : UP CORE ROAD NETWORK DEVELOPMENT PROGRAM PLAN General Information Country: India Banks Approval Date of the Original Procurement Plan: 2016-11-08 Revised Plan Date(s): (comma delineated, leave blank if none) 2017-04-27 Project ID: P147864 GPN Date: Project Name: UP CORE ROAD NETWORK DEVELOPMENT PROGRAM Loan / Credit No: Executing Agency(ies): Uttar Pradesh Public Works Department (PWD) 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$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual UPCRNDP/UPG/01/2016 / Single Stage - One Under Construction of SH-42 Hamirpur- Network Improvement Prior Request for Bids Open - International 48,391,695.00 0.00 2016-11-08 2016-11-11 2016-11-08 2016-11-24 2016-12-24 2017-01-03 2017-02-22 2017-04-21 2019-04-21 Envelope Implementation Rath Road UPCRNDP/UPG/03/2016 / Single Stage - One Construction of SH-93 Gola- Network Improvement Prior Request for Bids Open - International 50,951,282.00 0.00 Under Review 2016-11-08 2016-11-11 2016-11-08 2016-12-24 2017-02-22 2017-04-21 2019-04-21 Envelope Shahjahanpur Road UPCRNDP/UPG/04/2016 / Single Stage - One Under Construction of SH-51 Badayun- Network Improvement Prior Request for Bids Open - International 54,431,569.00 0.00 2016-11-08 2016-11-11 2016-11-08 2016-12-24 2017-02-22 2017-04-21 2019-04-21 Envelope Implementation Bilsi-Bijnaur Road GOODS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (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$) Notice Request for Proposals as Issued Proposals / Minutes Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-UPPWD-3670-CS-QCBS / Consultancy Services for Hiring Quality And Cost- Under Services of Independent Quality Network Improvement Post Open - National 71,500.00 0.00 2016-11-30 2016-12-19 2017-01-09 2017-02-22 2017-03-24 2017-04-23 2017-06-06 2017-07-04 2020-01-02 Based Selection Implementation Auditor for U.P. Core Road Network Development Project INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Contract Type Estimated Actual Amount Draft Negotiated Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-UPPWD-5827-CS-INDV / Qualified individual consultant with expertise in relevant environmental field, who will work Individual Consultant Pending Network Improvement Post Open 58,600.00 0.00 2017-03-21 2017-05-23 2017-06-13 2017-07-18 2020-07-17 as a member of Environmental Selection Implementation and Social Development Cell (ESDC) of PMU to support the activities of ESDC. IN-UPPWD-5834-CS-INDV / Qualified individual consultant with expertise in relevant social field, who will work as a member Individual Consultant Pending Network Improvement Post Open 58,600.00 0.00 2017-03-21 2017-05-23 2017-06-13 2017-07-18 2020-07-17 of Environmental and Social Selection Implementation Development Cell (ESDC) of PMU to support the activities of ESDC. Page 1