Appendix to Annex 3 Procurement Plan I. General 1. Project Information Country : India Borrower : Government of India Project Name : National Hydrology Project Loan Credit No. : 2. Bank’s Approval Date of the Procurement Plan : 3. Date of General Procurement Notice : 4. Period Covered by this procurement plan : 18 months II. Goods, Works, and Non-Consulting Services Thresholds for Method of Procurement for procurement of goods, works and non-consulting services Procurement of Goods, Information technology and non consultancy services: Method of Procurement Thresholds for Methods International Competitive Bidding (ICB) > US Dollars 3 million Limited Competitive Bidding (LIB) Must meet the requirements as per Para 3.2 of the Procurement Guidelines, and with prior agreement in PP with the Bank National Competitive Bidding (NCB) > USD 100,000 and up to USD 3 million Shopping Up to USD 100,000 (INR 6.5 m) Direct Must meet the requirements as per Para 3.7 of the Procurement Guidelines, and with prior agreement in PP with the Bank Framework Agreement Must meet the requirements as per Para 3.6 of the Procurement Guidelines, and with prior agreement in PP with the Bank Procurement of Works: Method of Procurement Thresholds for Methods International Competitive Bidding (ICB) > US Dollars 40 million National Competitive Bidding (NCB) > USD 100,000 and up to USD 40 million Comparison of three quotations / Shopping Up to USD 100,000 (INR 6.5 m) Force Account Must meet the requirements as per Para 3.9 of the Procurement Guidelines, and with prior agreement in PP with the Bank Prior Review Thresholds: The following would be subject to Prior review of the Bank regardless of the Method of selection: (a) Works: First procurement under the project irrespective of value and all procurements estimated to cost more than USD 10 million (b) Goods: First procurement under the project irrespective of value and all procurements estimated to cost more than USD 2 million; and The Prior Review Thresholds will be reviewed and updated during the implementation of the project, and modified based on the risk assessment. 1. In the case of contracts subject to prior review, Project Implementing Entity 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 such that 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; or (d) the proposed termination of the contract.. A copy of all amendments to the contract shall be furnished to the Bank for its record. 2. Prequalification Not Applicable Domestic Preference: The provision of domestic preference is applicable in the evaluation of Goods only. 3. Reference to Procurement Manual The procurement manual for the project is presently under preparation. SBDs agreed between the Project and Bank will be used for all works, goods, and non consultancy procurements. 4. Any Other Special Procurement Arrangements The National bidding method for procurement and goods and works according to the above value thresholds will be conducted in accordance with paragraphs 3.3 and 3.4 of the Bank’s Procurement Guidelines and the following provisions: (a) 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. (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 DGS&D will not be acceptable as a substitute for NCB procedures unless incorporation of right to audit and fraud corruption clauses. DGS&D contracts will be acceptable, however, for any procurement under the shopping procedures. (g) Two or three envelope system will not be used (except when using the e-procurement system assessed and agreed by the Bank). (h) No negotiations are conducted even with the lowest evaluated responsive bidders. 5. The bid evaluation will be carried out according to the agreed timeline in the Procurement Activity Schedule. III. Selection of Consultants 1. Methods and Prior Review Threshold Procurement methods of procurement of Consultants' Services (Firms) Method of Procurement Thresholds for Methods Quality and Cost Based Selection (QCBS) Quality Based Selection (QBS) Must meet the requirements as per Para 3..2 to 3.4 of the Consultant Guidelines Selection based on a Fixed Budget (FBS) Must meet the requirements as per Para 3.5 of the Consultant Guidelines, Selection Based on Least Cost Basis (LCS) Must meet the requirements as per Para 3.6 of the Consultant Guidelines, Selection based on Consultant’s Qualification Estimated not to exceed USD 300,000, and (CQ) must meet the requirements as per Para 3.7 of the Consultant Guidelines. Single Source Selection (SSS) Must meet the requirements as per Para 3.8 to 3.11 of the Consultant Guidelines, and with prior agreement in PP with the Bank. Procurement methods for Selection of Individual Consultants (IC) Method of Procurement Thresholds for Methods Competitive Selection Must meet the requirements of Section V, Para 5.1 to 5.5 of the Consultant Guidelines. Single Source Selection (SSS) Must meet the requirements of Section V, Para 5.6 of the Consultant Guidelines and with prior agreement in PP with the Bank *Shall meet the requirements as stated in Consultant Guidelines Prior Review Thresholds: (a). Consulting Firm: First procurement under the project irrespective of value and all procurements estimated to cost more than USD 1 million. (b). Individual Consultant: all procurements estimated to cost more than USD 0.3 million Terms of Reference (ToR) for all consultant contracts shall be furnished to the Bank for its prior review and No Objection. Note: The Prior Review Thresholds will be reviewed during the implementation of the project and modified. 1. In the case of contracts subject to prior review, before agreeing to: (a) an extension of the stipulated time for performance of a contract; (b) any substantial modification of the scope of services, substitutions of key experts, or other significant changes to the terms and conditions of the contract; or (c) the proposed termination of the contract, the Borrower shall seek the Bank’s no objection. A copy of all amendments to the contract shall be furnished to the Bank for its record. 2. Short List comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than USD 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. The Request for Expression of Interest for consultancy services estimated to cost above USD 300,000 equivalent per contract for firms shall be advertised in UNDB online and World Bank external Website and in accordance with other provisions of Para 2.5 of the Consultant Guidelines 4. Any other Special Selection Arrangements: [including advance procurement and retroactive financing, if applicable] I. Implementing Agency Capacity Building Activities with Time Schedule No Expected Outcome/Activity Description Estimated Date Duration ASCI training on Procurement Procedures arranged for 1. Executive, Assistant Engineers who are responsible for 2 weeks Continuous Procurement – multiple trainings 2. Contract management training – multiple trainings 2 weeks Continuous Customized training on Procurement Procedures arranged for 3. Executive, Assistant Engineers who are responsible for 1 week Continuous Procurement – multiple trainings PROCUREMENT India : National Hydrology Project PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2018-03-01 2019-07-22 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P152698 GPN Date: Project Name: National Hydrology Project Loan / Credit No: IBRD / 87250 Executing Agency(ies): Uttar Pradesh Surface Water WORKS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification 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) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-UTTAR PRADESH SW- 50743-CW-RFB / Supply, Installation, Testing, Commissioning, Training, Single Stage - Two Dissemination, Operation and IBRD / 87250 Post Request for Bids Open - National 0.00 Canceled 2018-02-23 2018-02-23 2018-03-17 2018-04-30 2018-05-25 2026-02-24 Envelope maintenance of SCADA System at Okhla Barrage and Head Regulator of Agra Canal, New Delhi NHP-2019-2020-UPSW- Pending Single Stage - Two 567121 / Furnishing & IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-08-16 2019-08-21 2019-10-02 2019-12-15 2020-01-19 2020-07-17 Envelope Upgradation of SPMU Office on NHP-2019-2020-UPSW- Pending 596967 / Renovation of Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-11-20 2019-11-25 2020-01-06 2020-03-20 2020-04-24 2021-04-24 Divisional/Sub-Divisional Envelope on Offices GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) (US$) 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 NHP-2018-2019-UPSW- 988325-GO-NCB-DE / Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Canceled 2018-09-27 2018-10-02 2018-11-13 2019-01-26 2019-03-02 2024-03-01 RTDAS for Vindhyanchal Envelope Region for Surface Water NHP-2018-2019-UPSW- 320396-GO-NCB-DE / Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Canceled 2018-09-27 2018-10-02 2018-11-13 2019-01-26 2019-03-02 2024-03-01 RTDAS for Bundelkhand Envelope Region for Surface Water Under NHP-2018-2019-UPSW- Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2018-10-20 2018-10-25 2018-12-06 2019-02-18 2019-03-25 2019-09-21 124234-GO-SH-QU / ADCP Envelope on NHP-2018-2019-UPSW- Single Stage - Two 820116-GO-NCB-DE / HIS IBRD / 87250 Post Request for Bids Open - National 0.00 Canceled 2018-12-20 2018-12-25 2019-02-05 2019-04-20 2019-05-25 2024-05-24 Envelope for Gandak Canal System NHP-2018-2019-UPSW- Under 583881 / SCADA Sytem for Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2018-08-29 2018-09-03 2018-10-15 2018-12-28 2019-02-01 2024-01-31 Okhla Barrage & Its Envelope on Regulators Page 1 NHP-2018-2019-UPSW- Under Request for Single Stage - One 229665 / Control Room for IBRD / 87250 Post Open - National 0.00 Implementati 2018-09-03 2018-10-29 2019-04-27 Quotations Envelope Okhla Barrage on NHP-2018-2019-UPSW- 436066-GO-SH-QU / Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Canceled 2018-10-15 2018-10-20 2018-12-01 2019-02-13 2019-03-20 2019-09-16 Furnishing & Upgradation of Envelope SPMU Office IN-UTTAR PRADESH SW- Under 98181-GO-RFB / RTDAS for Single Stage - Two IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-02-15 2019-02-20 2019-04-03 2019-06-16 2019-07-21 2024-03-30 Bundelkhand Region for Envelope on Surface Water IN-UTTAR PRADESH SW- Under Single Stage - Two 98184-GO-RFB / HIS for IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-02-20 2019-02-25 2019-04-08 2019-06-21 2019-07-26 2024-03-31 Envelope Gandak Canal System on NHP-2018-2019-UPSW- Under Single Stage - Two 884248 / RTDAS for IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-03-20 2019-03-25 2019-05-06 2019-07-19 2019-08-23 2024-08-21 Envelope Vindhyanchal Region on NHP-2019-2020-UPSW- Pending Request for Single Stage - One 283036 / Computer/Laptops IBRD / 87250 Post Open - National 0.00 Implementati 2019-10-20 2019-12-15 2020-06-12 Quotations Envelope for SPMU Office on NHP-2019-2020-UPSW- Pending Single Stage - Two 531389 / SCADA for Saryu IBRD / 87250 Post Request for Bids Open - National 0.00 Implementati 2019-07-18 2019-07-23 2019-09-03 2019-11-16 2019-12-21 2025-12-19 Envelope Barrage on NHP-2019-2020-UPSW- Pending 711742 / AUTOCAD Request for Single Stage - One IBRD / 87250 Post Open - National 0.00 Implementati 2019-10-15 2019-12-10 2020-03-09 Software for Water Quotations Envelope on Management, GIS etc. NHP-2019-2020-UPSW- Pending Request for Single Stage - One 593946 / Printer/Plotter for IBRD / 87250 Post Open - National 0.00 Implementati 2020-01-27 2020-03-23 2020-06-21 Quotations Envelope SPMU Office on NHP-2019-2020-UPSW- Pending Request for Single Stage - One 873653 / VC Equipment for IBRD / 87250 Post Open - National 0.00 Implementati 2020-01-20 2020-03-16 2020-09-12 Quotations Envelope SPMU Office on NHP-2019-2020-UPSW- Pending 326051 / Software for Water IBRD / 87250 Post Direct Selection Direct 0.00 Implementati 2019-12-20 2019-12-25 2020-01-29 2020-07-27 Management, GIS etc. on Pending NHP-2019-2020-UPSW- Request for Single Stage - One IBRD / 87250 Post Open - National 0.00 Implementati 2019-10-20 2019-12-15 2020-06-12 385539 / Software of IT Quotations Envelope on NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification 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) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit Market Contract Type Actual Amount Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Description Component Review Type Method Process Status Terms of Reference Report and Draft Signed Contract Contract Completion No. Approach (US$) 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 Page 2 INDIVIDUAL CONSULTANTS Page 3