Swachh Bharat Mission Project Ministry of Drinking Water & Sanitation Government of India Procurement Plan I. General 1. Project information Country : India Borrower : Government of India Project Name : Swachh Bharat Mission Project(TA component only) Project Identification No (ID) : P153251 -- Project Implementing Agency (PIA): MDWS : Applicable Bank Guideline : a) For Goods ,Works and Non-consulting Services :"Guidelines: Procurement of Goods, Works and Non-Consulting Services under IBRD Loans and IDA Credits & Grants by World Bank Borrowers" dated January 2011 (Procurement Guidelines) and revised July 2014; and b) For Consultancy Services :"Guidelines: Selection and Employment of Consultants under IBRD Loans and IDA Credits & Grants by World Bank Borrowers" dated January 2011 (Consultant Guidelines) and revised July 2014; II. Goods, Works and Non-Consulting Services Category Method of Procurement Threshold (US$ Equivalent)* Prior review threshold Goods and International competitive Contracts more than the equivalent of US$ 3 Non- Bidding million per contract All contracts equal to or consulting Limited International Bidding As per para 3.2 of the Guideline .All Contracts greater than US$1.5million services more than the equivalent of US $ 100,000 per equivalent; contract National competitive Bidding Contracts more than the equivalent of US$ 100,000 but less than the equivalent of US$ 3 million per contract (with NCB conditions) Shopping ** Contracts equivalent of US$ 100,000 or less per contract. Direct Contracting Proprietary software; educational journals and other procurement justified as per para 3.7 of Guidelines and estimated to cost equivalent of US$ 10,000 or less per contract Force Account As per para 3.9 of Guidelines Community participation# As per guideline para 3.19 of the guideline Framework Agreements@ As per para 3.6 of Guidelines Works International Competitive Civil works more or equivalent of All contracts equal to or Bidding US$40,000,000 per contract greater than US$5 million National competitive Bidding Civil works more than $10000 and Up to equivalent $40,000,000 per contract (with NCB conditions) Shopping** Civil works Up to $100,000 per contract Direct contracting As per para 3.7 of Guidelines. Community participation# As per provision of guideline 3.19 of the guideline Force Account As per para 3.9 of Guidelines Consultant Consultant Qualification /Least As per the provision of the guideline All contracts equal to or s’ cost selection greater than US$500,000 Services Single source selection As per para 3.9-3.11 of Guidelines equivalent for firms; and Individual Contracts As per Section V of Guidelines equal to or greater than Quality and cost Based selection As per the provision of the guideline US$200,000 equivalent for /Quality Based Selection /Fixed individuals Based Selection (i) International shortlist >800,000 (ii) Shortlist may comprise Up to 800,000 national consultants only * If a transaction comprises several contracts, lots or slices, the aggregate estimated value of all contracts, lots or slices will determine the applicable threshold amount# *State Rate Contracts cannot be used at par with Shopping. If state rate contract exists for an item, the same can be considered as one of the 3 quotations to be sought under shopping procedures. .#Community Procurement would be applicable to activities under learning/training pilots It would be based on World Bank “Guidance Note For Management of Procurement Responsibilities In Community-Driven Development Projects dated December 2009 and as included in the Procurement manual. 2. Pre-qualification: Not Applicable 3. Any Other Special Procurement Arrangements (Goods & Works) : A. Contracts procured in advance will be financed under retroactive financing within the specified limits, as agreed to in the Credit Agreement provided they are procured in accordance with agreed processes and procedures for the project and have been cleared as part of procurement plan. B. National Competitive Bidding (NCB) method for procurement of goods, works and non- consulting services as per the above value thresholds will be conducted in accordance with paragraph 3.3 and 3.4 of the World Bank Procurement 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 prior review without the prior concurrence of the World Bank (i) for the first request for extension if it is longer than four weeks; and (ii) for prior approved packages, 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); (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 unless agreed with the Bank on case to case basis. Such contracts will be acceptable however for any procurement under the Shopping procedures. (ix) Two or three envelop system will not be used (except when using e-Procurement system assessed and agreed by the Bank). (x) As per 1.1(e) of World Bank Procurement Guidelines, the Association’s right to inspect accounts and records of the bidders, suppliers and contractors will be included in the bidding document. III) Selection of Consultants 1. Methods and Value thresholds for Consultancy Services Consulting Methods Value Threshold* Review Arrangements Services Consulting i) Quality and Cost All contracts valued above US$ Services Based Selection 500,000 will be subject to Prior (Firms) (QCBS) Review by the World Bank. All ii) Quality Based other contracts will be subject to Selection (QBS) post review. iii) Selection based on a Fixed Budget (FBS) iv) Selection Based on Least Cost Basis (LCS) v) (Selection based on Contracts estimated to Consultant’s cost equivalent of US$ Qualification (CQS) 300,000 or less per contract. vi) Single Source Selection (SSS)# provided the All contracts in accordance with conditions stipulated para 3.9-3.11 of the Bank in paragraph 3.8 to guidelines. 3.11 of Consultant Guidelines are met Individual Competitive Selection . All contracts above US$ Consultants $200,000 shall be subject to prior review, * If a transaction comprises several packages, lots or slices, the aggregate estimated value of contracts will determine the applicable threshold amount. # Irrespective of contract value any hiring of Government or Research Institutes of unique and exceptional nature requires prior no objection of the World Bank on case to case basis. 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than US $800,000 equivalent per contract, may comprise entirely of national consultants in accordance with the provisions of Para 2.7 the World Bank Consultant Guidelines. 3. Any Other Special Selection Arrangements (Consulting Services) : (a) Contracts procured in advance will be financed under retroactive financing within the specified limits, as agreed to in the Credit Agreement provided procurement is in accordance with agreed processes and procedures for the project. (b) Requests for Expression of Interest (REOI) for assignments expected to cost more than US$ 300,000 shall be advertised in UNDB online in accordance with Para 2.5 of the Consultant Guidelines. (c) With respect to each contract for the employment of individual consultants estimated to cost the equivalent of US $ 30,000 or more, the qualifications, experience, terms of reference and terms of employment of the consultants shall be furnished to the World Bank for its prior review and No Objection. iv) Implementing Agency Capacity Building Activities with Time Schedule S. No. Expected outcome / Start Date Comments Activity Description 1 Training in World Bank online To familiarise the procurement official in STEP system June 2016 regard to electronic submissions to the Bank. 2 Trainings in Bank Procurement at To make procurement Officials from ASCI participating AU’s familiar with WB September 2016 procurement procedures 3 Customized training for all Based on the learning from the project and selected official at PIU and hands on experience a customized training selected AU’s. November 2016 to be conducted for strengthening the specific understanding for all IA. ----------------------------------------------------------------------------------------------------------- PROCUREMENT India : IN Swachh Bharat Mission Support Operation PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2018-01-03 2019-05-06 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P153251 GPN Date: Project Name: IN Swachh Bharat Mission Support Operation Loan / Credit No: IBRD / 85590 Executing Agency(ies): Ministry of Drinking Water and Sanitation 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$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) (US$) 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 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 IN-MODWS-19502-CS-QCBS / Hiring of Programme Quality And Cost- Open - Management Consultancy IBRD / 85590 Prior 0.00 Canceled 2017-06-29 2017-07-20 2017-09-02 2017-09-30 2017-10-30 2017-12-04 2018-01-08 2019-01-08 Based Selection International (PMC) for supporting SBM(G) programme. IN-MODWS-19504-CS-QCBS / Hiring of an Independent Quality And Cost- Open - Verification Agency (IVA) for IBRD / 85590 Prior 5,808,389.60 Signed 2017-06-29 2017-07-20 2017-09-02 2017-09-30 2017-10-30 2017-12-04 2018-01-08 2019-01-08 Based Selection International conducting National Annual Rural Sanitation Survey. IN-MODWS-45564-CS-QCBS / Hiring of consulting Quality And Cost- Open - Under services for Knowledge IBRD / 85590 Prior 0.00 2018-02-22 2018-03-15 2018-04-28 2018-05-26 2018-06-25 2018-07-30 2018-09-03 2019-09-03 Based Selection International Implementation Management (KM) for supporting SBM(G) IN-MODWS-57255-CS-QCBS / Hiring of Programme Quality And Cost- Open - Management Consultancy IBRD / 85590 Prior 1,252,891.88 Signed 2018-04-05 2018-04-26 2018-06-09 2018-07-07 2018-08-06 2018-09-10 2018-10-15 2019-10-15 Based Selection International (PMC) for supporting SBM(G) programme. Page 1 IN-MODWS-95777-CS-QCBS / Hiring of Survey Agency Quality And Cost- Open - IBRD / 85590 Prior 0.00 Canceled 2019-02-18 2019-03-11 2019-03-23 2019-04-20 2019-04-27 2019-05-05 2019-05-17 2019-09-19 for "Swachh Survekshan Based Selection International Grameen-2019" IN-MODWS-95777-CS-QCBS- 2 / Hiring of Survey Agency Quality And Cost- Open - Pending for "Swachh Survekshan IBRD / 85590 Prior 0.00 2019-05-06 2019-05-20 2019-06-01 2019-06-29 2019-07-06 2019-07-14 2019-07-26 2020-10-23 Based Selection International Implementation Grameen in years 2019 and 2020 INDIVIDUAL CONSULTANTS Page 2