UP Core Road Network Project– Procureme For first Eighteen M UP CORE ROAD NETWORK DEVELOPMENT PROJECT– PROCUREMENT PLAN 1. Procurement for the project will be carried out in accordance with the World Bank’s Procurement Regulations for IPF Borrowers, July 2016, Revised November 2017 and August 2018 and applicable to Investment Project Financing (IPF). The project will be subject to the World Bank’s Anticorruption Guidelines, dated October 15, 2006, as revised in January 2011 and July 2016. 2. A Project Procurement Strategy for Development (PPSD) has been prepared for the project. Extensive market analysis has been carried out for different packages of procurement. Decisions on packages and lots are made to ensure adequate participation of bidders. Consultancy contracts are framed based on market research and packaging decided in terms of scope of services and period. Based on the needs assessment, the project has decided to use Government e Marketplace [GeM] for procurement of Goods up to US$ 100,000 and as mentioned under National Procurement Procedures at para 9 below. Based on risk and market analysis, the procurement plan has been prepared to set out the selection methods to be followed by the Borrower during project implementation in the procurement of works, goods, IT system procurement, non-consulting and consulting services financed by the World Bank. 3. The table below describes various procurement methods to be used for activities financed by the loan. The thresholds (Table 11) indicated in apply to the initial 18-months of implementation period and are based on the procurement performance of the project; these thresholds may be subsequently modified. Table 1: Procurement Thresholds Procurement Approaches and Methods Thresholds (US$ equivalent) Open international (works – including turnkey, supply and > 40 million installation of plant and equipment and PPP) Open national (works – including turnkey, supply and installation > 100,000 and up to 40 million of plant and equipment and PPP) Open international (goods, IT system, and non-consulting > 3 million services) Open national (goods, IT system, and non-consulting services) > 100,000 and up to 3 million National request for quotation (goods and works) Up to 100,000 Direct selection No threshold; For works, goods, non-consulting services and IT system procurement: According to paragraphs 6.8–6.10 of the Regulations; For consultants: According to paragraphs 7.13–7.15 of the Regulations Shortlist of national consultants Up to 800,000 February 26, 2019 1 UP CORE ROAD NETWORK DEVELOPMENT PROJECT– PROCUREMENT PLAN 4. Procurement prior-review thresholds. The World Bank will prior review the following contracts: (a) Works (including turnkey, supply and installation of plant and equipment and PPP): All contracts more than US$ 10 million equivalent (b) Goods and IT system: 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 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 the World Bank on technical specifications will be obtained by the project. Irrespective of the thresholds, ToRs shall be prior reviewed by Bank. 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 the prior review thresholds. The details of National Procurement Procedures are outlined in the Procurement Plan, herein below at para 9. 6. Prior review contract. In the case of contracts subject to prior review, the Implementing Agencies will seek the World 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 and other significant changes to the terms and conditions of the contract; (c) any variation order or amendment (except in cases of extreme urgency) that, singly or combined with all variation orders or amendments previously issued, increases the original contract amount by more than 15 percent; and (d) the proposed termination of the contract. Complaints received in all prior review cases shall be sent to Bank for review and the response to the complaint in such cases, shall be cleared with the Bank. Complaints with allegations of fraud and corruption, shall be shared with Bank, irrespective of the thresholds. 7. Disclosure of procurement information. The following documents shall be disclosed on the project/state websites: (a) Procurement Plan and its updates; (b) an invitation for bids for procurement of works, goods, IT system procurement and non-consulting services; (c) request for expression of interest for selection/hiring of consulting services; (d) contract awards of works, goods, IT system procurement and non- consulting services procured following international and national procedures; (e) a list of contracts/purchase orders placed following RFQ (Request for Quotation) procedures on a quarterly basis; (f) a list of contracts following direct contracting (DC) on a quarterly basis; (g) an annual financial and physical progress report of all contracts; and (h) an action taken report on the complaints received on a quarterly basis. 8. The following details shall be sent to the World Bank for publishing on the United Nations Development Business and the World Bank external website: (a) Specific Procurement Notice (i.e. invitation for bids) for procurement of works, goods , IT system procurement and non-consulting services using open international procedures; (b) Requests for Expression of Interests above USD 800,000; (c) contract award details of all procurement of works, goods, IT system procurement and non-consulting services using open international procedure; and(d) a list of contracts/purchase orders placed following DC procedures on a quarterly basis. Further, the implementing agency will also publish on their websites any information required under the provisions of ‘suo moto’ disclosure as specified by the Right to Information Act. February 26, 2019 2 UP CORE ROAD NETWORK DEVELOPMENT PROJECT– PROCUREMENT PLAN 9. National Procurement Procedures : National competition for the procurement of works, goods, IT system procurement 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 for National Competitive Procurement (NCP) 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 on a widely used website or electronic portal with free open access at least 30 days prior to the deadline for the submission of bids, unless otherwise agreed in the approved procurement plan. (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) Government e-Marketplace (GeM) set-up by Ministry of Commerce, Government of India will be acceptable for procurement under Request for Quotations (RFQ) method. (f) At the Borrower’s request, the Bank may agree to the Borrower’s use, in whole or in part, of its electronic procurement system, provided that the Bank is satisfied with the adequacy of such system. (g) Procurement will be open to eligible firms from any country. This eligibility shall be as defined under Section III of the Procurement Regulations. Accordingly, no bidder or potential bidder shall be declared ineligible for contracts financed by the Bank for reasons other than those provided in Section III of the Procurement Regulations. (h) The request for bids/request for proposals document shall require that Bidders/Proposers submitting Bids/Proposals include a signed acceptance in the bid, to be incorporated in any resulting contracts, confirming application of, and compliance with, the Bank’s Anti- Corruption Guidelines, including without limitation the Bank’s right to sanction and the Bank’s inspection and audit rights. (i) The Borrower shall use an effective complaints mechanism for handling procurement related complaints in a timely manner. (j) Procurement Documents will include provisions, as agreed with the Bank, intended to adequately mitigate against environmental, social (including sexual exploitation and abuse and gender-based violence), health and safety (“ESHS”) risks and impacts. 10. Domestic preference. The provision of domestic preference will be applied in the evaluation of bids in accordance with Annex VI of the Regulations. February 26, 2019 3 UP CORE ROAD NETWORK DEVELOPMENT PROJECT– PROCUREMENT PLAN Name of the Project: Uttar Pradesh Core Road Network Development Project (P147864) Allocated / Sanctioned Amount: Project yet to be negotiated Procurement of Works, Goods (Supply and Installation; and IT Equipment), Non-Consultancy Services and Consultancy Services – As per procurement plan approved in STEP. February 26, 2019 4 PROCUREMENT India : Uttar Pradesh Core Road Network Development Project PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2016-11-08 2019-12-09 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P147864 GPN Date: Project Name: Uttar Pradesh Core Road Network Development Project Loan / Credit No: / , IBRD / 89400 Executing Agency(ies): Uttar Pradesh Public Works Department (PWD) 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 IN-UPPWD-14106-CW-RFB / Rebidding- Construction of SH-51 Badaun-Bilsi-Bijnaur Open - Single Stage - One / Network Improvement Prior Request for Bids 54,431,569.00 0.00 Canceled 2017-05-01 2017-05-08 2017-06-22 2017-07-22 2017-08-26 2018-02-22 Road International Envelope (From Km 58.400 to Km 137.820) IN-UPPWD-14105-CW-RFB / Construction of SH-93 Gola - Open - Single Stage - One / Network Improvement Prior Request for Bids 50,951,282.00 0.00 Canceled 2017-05-01 2017-05-08 2017-06-22 2017-07-22 2017-08-26 2018-02-22 Shahjahanpur Road (from International Envelope Km 1.280 to Km 58.580) IN-UPPWD-14020-CW-RFB / Construction of SH-42 Open - Single Stage - One / Network Improvement Prior Request for Bids 48,391,695.00 0.00 Canceled 2017-05-01 2017-05-08 2017-06-22 2017-07-22 2017-08-26 2018-02-22 Hamirpur-Rath Road (from International Envelope Km 2.060 to Km 76.500) UPCRNDP/UPG/04/2016 / Open - Single Stage - One Construction of SH-51 / Network Improvement Prior Request for Bids 54,431,569.00 0.00 Canceled 2016-11-08 2016-11-08 2016-12-24 2017-02-22 2017-04-21 2019-04-21 International Envelope Badayun-Bilsi-Bijnaur Road UPCRNDP/UPG/01/2016 / Open - Single Stage - One Construction of SH-42 / Network Improvement Prior Request for Bids 48,391,695.00 0.00 Canceled 2016-11-08 2016-11-08 2016-12-24 2017-02-22 2017-04-21 2019-04-21 International Envelope Hamirpur-Rath Road UPCRNDP/UPG/03/2016 / Open - Single Stage - One Construction of SH-93 Gola- / Network Improvement Prior Request for Bids 50,951,282.00 0.00 Canceled 2016-11-08 2016-11-08 2016-12-24 2017-02-22 2017-04-21 2019-04-21 International Envelope Shahjahanpur Road IN-UPPWD-48710-CW-RFB / Engineering Procurement and Construction Contract for Up-gradation and Open - Single Stage - One / Network Improvement Prior Request for Bids 48,800,000.00 48,444,429.96 Signed 2018-02-15 2018-02-20 2018-04-12 2018-05-15 2018-06-20 2020-06-19 Maintenance of Badaun-Bilsi- International Envelope Bijnaour section of SH-51, from Km 58.400 to Km 137.820-UPG 04 IN-UPPWD-48718-CW-RFB / Engineering Procurement and Construction Contract for Up-gradation and Open - Single Stage - One / Network Improvement Prior Request for Bids 51,343,000.00 51,765,918.08 Signed 2018-02-15 2018-02-20 2018-04-12 2018-05-15 2018-06-20 2020-06-19 Maintenance of Gola- International Envelope Shahjahanpur section of SH- 93, from Km 1.280 to Km 58.580-UPG 03 Page 1 IN-UPPWD-48722-CW-RFB / Engineering Procurement and Construction Contract for Up-gradation and Open - Single Stage - One / Network Improvement Prior Request for Bids 45,500,000.00 38,058,610.46 Signed 2018-02-15 2018-02-20 2018-04-12 2018-05-15 2018-06-20 2020-06-19 Maintenance of Hamirpur - International Envelope Rath section of SH-42, from Km 2.060 to Km 76.500-- UPG-01 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$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit Market Contract Type Estimated Actual Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Description Component Review Type Method Process Status Terms of Reference Report and Draft Signed Contract Contract Completion No. Approach Amount (US$) 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 IN-UPPWD-3670-CS-QCBS / Consultancy Services for Hiring Services of Quality And Cost- / Network Improvement Post Open - National 71,500.00 0.00 Canceled 2016-11-30 2017-01-09 2017-02-22 2017-03-24 2017-04-23 2017-06-06 2017-07-04 2020-01-02 Independent Quality Auditor Based Selection for U.P. Core Road Network Development Project IN-UPPWD-14307-CS-QCBS / Consultancy Services for Hiring Services of Quality And Cost- / Network Improvement Post Open - National 71,500.00 0.00 Canceled 2017-05-12 2017-06-11 2017-07-15 2017-08-14 2017-09-01 2017-09-29 2017-10-23 2020-04-22 Independent Quality Auditor Based Selection for U.P. Core Road Network Development Project IN-UPPWD-45830-CS-QCBS / Consultancy Services for Independent Quality Auditor Quality And Cost- Under for UP Core Road Network / Network Improvement Post Open - National 71,000.00 0.00 2018-01-31 2018-03-15 2018-05-14 2018-06-23 2018-07-23 2018-08-28 2018-09-27 2021-03-27 Based Selection Implementation Development Project proposed from World Bank Loan IN-UPPWD-50016-CS-QCBS / Consultancy Services for Gender Assessment and Quality And Cost- / Network Improvement Post Open - National 100,000.00 143,021.04 Signed 2018-02-21 2018-02-21 2018-02-21 2018-03-22 2018-04-11 2018-07-28 2018-08-12 2019-02-08 Preparation of Gender Action Based Selection Plan for Uttar Pradesh Core Road Network Development Project (UPCRNDP) Page 2 IN-UPPWD-124129-CS-CQS / Hiring of Accounting Firm Consultant Under in U.P. Core Road Network IBRD / 89400 Network Improvement Post Qualification Open - National 72,000.00 0.00 2019-07-24 2019-08-24 2019-10-23 2019-12-22 2020-01-21 2022-01-20 Implementation Development Project from Selection World Bank loan. IN-UPPWD-124136-CS-CQS / Hiring services of firm for carrying out base line (first) Road user /Customer Consultant Under Satisfaction Survey on IBRD / 89400 Network Improvement Post Qualification Open - National 58,000.00 0.00 2019-07-24 2019-08-24 2019-10-23 2019-12-22 2020-01-21 2022-01-20 Implementation designated roads of U.P. Selection Core Road Network Development Project from World Bank loan . IN-UPPWD-148146-CS- QCBS / Consultancy Services for Independent Quality Quality And Cost- Pending Auditor for UP Core Road IBRD / 89400 Network Improvement Post Open - National 62,000.00 0.00 2019-12-09 2020-01-10 2020-02-24 2020-04-04 2020-04-24 2020-05-30 2020-06-29 2022-06-29 Based Selection Implementation Network Development Project proposed from World Bank Loan. 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 IN-UPPWD-5827-CS-INDV / Qualified individual consultant with expertise in relevant environmental field, Individual who will work as a member / Network Improvement Post Consultant Open 58,600.00 0.00 Canceled 2017-03-21 2017-05-23 2017-06-13 2017-07-18 2020-07-17 of Environmental and Social Selection 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 Individual will work as a member of / Network Improvement Post Consultant Open 58,600.00 0.00 Canceled 2017-03-21 2017-05-23 2017-06-13 2017-07-18 2020-07-17 Environmental and Social Selection Development Cell (ESDC) of PMU to support the activities of ESDC. IN-UPPWD-61318-CS-INDV / Individual Consultant (IC) for the Consultancy Services Individual to support the Under / Network Improvement Post Consultant Open 80,000.00 0.00 2018-05-15 2018-08-11 2018-09-01 2018-10-06 2021-10-05 Environmental component Implementation Selection under Environment and Social Development Cell (ESDC). IN-UPPWD-5834-CS-INDV-2 / Individual Consultant (IC) for the Consultancy Services Individual Under to support the Social / Network Improvement Post Consultant Open 80,000.00 0.00 2018-05-15 2018-08-11 2018-09-01 2018-10-06 2021-10-05 Implementation component under Selection Environment and Social Development Cell (ESDC). Page 3