Partial Risk Sharing Facility in Energy Efficiency PROCUREMENT PLAN I. General 1. Project information: • Project Name: Partial Risk Sharing Facility in Energy Efficiency • Country: India • Project Code: P128921 2. Bank’s approval Date of the procurement Plan Draft Procurement Plan dated November 13, 2014 Revision 0 agreed by the Bank on November 13, 2014 3. Implementing Agencies: Small Industries Development Bank of India (SIDBI) and Energy Efficiency Services Limited (EESL) 4. Period covered by this procurement plan: 18 months 5. Risk Rating for the Implementing Agency: Moderate 6. Original Procurement Risk Rating for the Project: Moderate 7. Current Procurement Risk Rating for the Project: Moderate II. Non-consulting services and Goods. 1 a) Procurement Methods and Thresholds Category Method of Procurement Threshold (USD Equivalent) Goods International Competitive Bidding (ICB) > 3,000,000 and Non- Limited International Bidding (LIB) wherever agreed by Bank consultant National Competitive Bidding (NCB) Up to 3,000,000 (with NCB services conditions) 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 As per paragraph 3.9 of Guidelines Framework Agreement (FA) As per paragraph 3.6 of Guidelines Procurement from United Nations (UN) As per paragraph 3.10 of Guidelines Agencies Performance Based Procurement As per paragraph 3.16 of Guidelines 1 b) Prior Review Threshold Goods: All contracts more than USD 6 million equivalent Non-Consultant Services and IT systems: All contracts more than USD 6 million equivalent In addition, the justifications for all contracts to be issued using LIB or direct contracting shall be subject to prior review. First framework agreement will be subject to prior review irrespective of value. For prior review contracts, the amendments for increasing the cost or extension of time beyond 15% of original value shall also be subject to Bank’s prior review. 2. Pre-qualification – Not envisaged 3. Applicable Guidelines: All the contracts issued under the project will follow the World Bank’s “Guidelines: Procurement of goods, works and non-consulting services under IBRD loans and IDA credits & grants by World Bank borrowers” dated January 2011 (as updated in July 2014). 4. Any Other Special Procurement Arrangements: NCB will be conducted in accordance with paragraph 3.3 and 3.4 of the 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 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) 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. Such contracts will be acceptable however for any procurement under the Shopping procedures; ix. Two or three envelope system will not be used (except when using e- Procurement system assessed and agreed by the Bank) Other agreed provisions are: • Any discount received from the bidders after bid submission deadline will not be considered either during the bid evaluation or the contract award. • Domestic preference will be applicable for ICB procurement of Goods as per Appendix 2 of the Procurement Guidelines. • Bids received from foreign bidders will not be rejected under NCB. 5. Procurement Packages with Methods and Time Schedule – As per STEP. III. Selection of Consultants 1 a) Selection Methods and Thresholds Category Method of Procurement Threshold (USD Equivalent) Consultants’ Selection Based on Consultants’ Up to 300,000 Services Qualifications (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 for all other cases (QCBS)/ Quality-Based Selection (QBS)/ Selection under a Fixed Budget (FBS) 1 b) Prior Review Threshold Consultancy Services: > US$ 4 Million equivalent for firms; and > US$ 500,000 equivalent for individuals In addition, the justifications for all contracts to be issued on the basis of single-source selection will be subject to prior review. For prior review contracts, the amendments for increasing the cost or extension of time beyond 15% of original value shall also be subject to Bank’s prior review. 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than $ 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: The evaluation committees will have external experts, as and when required, apart from in-house experts. 4. Applicable Guidelines: All the contracts issued under the project will follow the World Bank’s “Guidelines: Selection and employment of consultants under IBRD loans and IDA credits & grants by World Bank borrowers” dated January 2011 (as updated in July 2014). 5. Consultancy Assignments with Selection Methods and Time Schedule – As per STEP. PROCUREMENT India : Partial Risk Sharing Facility in Energy Efficiency PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2016-08-06 2020-01-14 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P128921 GPN Date: Project Name: Partial Risk Sharing Facility in Energy Efficiency Loan / Credit No: TF / 19308 Executing Agency(ies): Small Industries Development Bank of India 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 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-SIDBI-874-CS-QCBS / 2. Component 2: PRSF 13. Impact Assessment Quality And Cost- Pending TF / 19308 Technical assistance and Post Open - National 100,000.00 0.00 2017-08-01 2017-08-22 2017-10-05 2017-11-02 2017-12-02 2018-01-06 2018-02-10 2019-02-10 / Evaluation Study (Mid- Based Selection Implementation capacity building Term & Final) IN-SIDBI-100763-CS-CDS / 2. Component 2: Consultant Standard ESCO Financing Pending TF / 19308 Technical assistance and Post Qualification Open - National 70,000.00 0.00 2019-02-14 2019-03-07 2019-04-20 2019-05-20 2019-06-24 2020-06-23 Product for ESCO Projects Implementation capacity building Selection Pipeline Generation . IN-SIDBI-875-CS-QCBS / Hiring of Measurement & 2. Component 2: Verification Agency (MVA) Quality And Cost- Pending TF / 19308 Technical assistance and Post Open - National 100,000.00 0.00 2020-01-10 2020-02-09 2020-03-24 2020-04-21 2020-05-21 2020-06-25 2020-07-30 2023-04-25 for carrying M&E activities Based Selection Implementation capacity building on sample basis and M&V activities for guarantee claim 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 Page 1 Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-SIDBI-878-CS-INDV / Individual PRSF 16 (A). Hiring of Component 1: Partial risk Pending TF / 19308 Post Consultant Open - National 300,000.00 0.00 2017-03-01 2017-04-19 2017-05-10 2017-06-14 2018-06-13 Office Manager / Office sharing facility Implementation Selection Executive IN-SIDBI-870-CS-CDS / PRSF- 1. Marketing of 2. Component 2: PRSF scheme - Awareness Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2016-08-29 2016-09-08 2016-11-12 2018-11-11 workshops including Implementation capacity building sponsoring the event / program IN-SIDBI-877-CS-INDV / Individual Component 1: Partial risk Pending PRSF 16. Hiring of TF / 19308 Post Consultant Open - National 300,000.00 0.00 2017-02-28 2017-04-18 2017-05-09 2017-06-13 2018-06-12 sharing facility Implementation Technical Experts (Energy) Selection IN-SIDBI-872-CS-CDS / 2. Component 2: Under PRSF-5. Hiring of Legal TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2019-01-31 2019-02-10 2019-04-16 2019-10-13 Implementation Firm capacity building IN-SIDBI-873-CS-CDS / 2. Component 2: PRSF-8. Training of PFIs - Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2016-08-31 2016-09-10 2016-11-14 2017-11-13 Conducting Classroom Implementation capacity building Training IN-SIDBI-1006-CS-CDS / PRSF- 1A. Marketing of 2. Component 2: PRSF scheme - Awareness Pending TF / 19308 Technical assistance and Post Direct Selection Direct 50,000.00 0.00 2019-04-01 2019-04-11 2019-06-15 2020-06-14 workshops including Implementation capacity building sponsoring the event / program IN-SIDBI-1008-CS-CDS / 2. Component 2: Pending PRSF-5A. Hiring of Legal TF / 19308 Technical assistance and Post Direct Selection Direct 50,000.00 0.00 2021-04-01 2021-04-11 2021-06-15 2021-12-12 Implementation Firm capacity building IN-SIDBI-1009-CS-INDV / Individual PRSF 16A. Hiring of Component 1: Partial risk Pending TF / 19308 Post Consultant Open 300,000.00 0.00 2017-02-28 2017-04-18 2017-05-09 2017-06-13 2018-06-12 Technical Experts sharing facility Implementation Selection (Environment) IN-SIDBI-1011-CS-INDV / Individual Component 1: Partial risk Pending PRSF 16 B. Hiring of TF / 19308 Post Consultant Open 200,000.00 0.00 2017-02-28 2017-04-18 2017-05-09 2017-06-13 2018-06-12 sharing facility Implementation Technical Experts Selection IN-SIDBI-1012-CS-CDS / 2. Component 2: PRSF-8A. Training of PFIs - Pending TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2018-04-02 2018-04-12 2018-06-16 2019-06-15 Conducting Classroom Implementation capacity building Training IN-SIDBI-1013-CS-CDS / 2. Component 2: PRSF-8 B. Training of PFIs Pending TF / 19308 Technical assistance and Post Direct Selection Direct 66,000.00 0.00 2020-04-02 2020-04-12 2020-06-16 2021-06-15 - Conducting Classroom Implementation capacity building Training IN-SIDBI-1014-CS-CDS / 2. Component 2: PRSF-8 C. Training of PFIs Pending TF / 19308 Technical assistance and Post Direct Selection Direct 66,000.00 0.00 2021-04-01 2021-04-11 2021-06-15 2022-06-14 - Conducting Classroom Implementation capacity building Training IN-SIDBI-86268-CS-INDV / PRSF 16C. Hiring of Expert Component 1: Partial risk Pending TF / 19308 Post Direct Selection Direct 17,600.00 0.00 2018-11-19 2018-11-29 2019-01-08 2020-01-08 Operations under the PRSF sharing facility Implementation project. Page 2 IN-SIDBI-92321-CS-CDS / 2. Component 2: ESCO projects pipeline Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2018-12-21 2018-12-31 2019-01-23 2020-01-23 generation for Building Implementation capacity building Sector. IN-SIDBI-92322-CS-CDS / 2. Component 2: ESCO projects pipeline Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2018-12-21 2018-12-31 2019-01-23 2020-01-18 generation for Industries Implementation capacity building sector. IN-SIDBI-92325-CS-CDS / 2. Component 2: Under ESCO projects pipeline TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2018-12-28 2019-01-07 2019-01-27 2020-01-27 Implementation generation for Municipalities. capacity building IN-SIDBI-92326-CS-CDS / 2. Component 2: Individual Under Hiring of Chief Technical TF / 19308 Technical assistance and Post Consultant Direct 65,000.00 0.00 2019-01-14 2019-01-27 2019-02-06 2019-03-03 2020-03-02 Implementation Specialist capacity building Selection IN-SIDBI-92330-CS-CDS / 2. Component 2: ESCO projects pipeline Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2019-01-11 2019-01-26 2019-04-02 2019-09-29 generation in selected 10 Implementation capacity building clusters (Zone:1) IN-SIDBI-92332-CS-CDS / 2. Component 2: ESCO projects pipeline Under TF / 19308 Technical assistance and Post Direct Selection Direct 100,000.00 0.00 2019-01-11 2019-01-26 2019-04-02 2019-09-29 generation in selected 10 Implementation capacity building clusters (Zone:2) IN-SIDBI-80059-CS-CDS / 2. Component 2: PRSF 5B - External Audit TF / 19308 Technical assistance and Post Direct Selection Direct 897.00 844.29 Completed 2019-01-11 2019-01-21 2019-03-27 2020-03-26 of the PRSF project (FY capacity building 2017-18). IN-SIDBI-80070-CS-CDS / PRSF - 5C - Internal 2. Component 2: Under Financial Audit and TF / 19308 Technical assistance and Post Direct Selection Direct 1,860.00 0.00 2018-11-19 2018-11-29 2019-02-02 2020-02-02 Implementation Operational Audit for PRSF capacity building (FY 2018-19). IN-SIDBI-99536-CS-INDV / Individual Component 1: Partial risk Under Hiring of Lead Technical TF / 19308 Post Consultant Open - National 100,000.00 0.00 2019-02-07 2019-03-13 2019-03-23 2019-04-08 2021-04-07 sharing facility Implementation Expert. Selection IN-SIDBI-100747-CS-INDV / Individual Component 1: Partial risk Under Hiring of Senior Technical TF / 19308 Post Consultant Open - National 100,000.00 0.00 2019-02-14 2019-03-20 2019-03-30 2019-04-15 2021-05-04 sharing facility Implementation Expert Selection IN-SIDBI-100749-CS-CDS / Hiring of CA firm for 2. Component 2: maintenance of Books of TF / 19308 Technical assistance and Post Direct Selection Direct 10,000.00 8,418.91 Completed 2019-02-14 2019-02-18 2019-02-27 2020-03-03 Accounts and Providing capacity building Secretarial /Administrative Services. IN-SIDBI-151152-CS-CQS / International Conference on 2. Component 2: Pending implementation of Energy TF / 19308 Technical assistance and Post Direct Selection Direct 40,000.00 0.00 2019-12-20 2020-01-19 2020-02-13 2020-08-11 Implementation Efficiency Projects through capacity building ESCO mode Page 3