KERALA URBAN SERVI PROJECT– Procurem KERALA URBAN SERVICE DELIVERY 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. 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 3. 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 February 26, 2019 1 KERALA URBAN SERVICE DELIVERY PROJECT– PROCUREMENT PLAN 4. 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 7. 5. 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. 6. 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. 7. 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. February 26, 2019 2 KERALA URBAN SERVICE DELIVERY PROJECT– PROCUREMENT PLAN (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. 8. Domestic preference. The provision of domestic preference will be applied in the evaluation of bids in accordance with Annex VI of the Regulations. Name of the Project: Kerala Urban Service Delivery Project ( P168633) 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 3 PROCUREMENT India : Kerala Urban Service Delivery Project PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2019-03-06 2019-03-06 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P168633 GPN Date: 2019-03-05 Project Name: Kerala Urban Service Delivery Project Loan / Credit No: / Executing Agency(ies): Local Self Government Department ( PMU) 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 KUSDP NO 1 / Consultancy services for preparation of Environment Management Framework Quality And Cost- Pending (EMF) and Social / Post Open - National 0.00 2019-03-06 2019-03-08 2019-04-21 2019-05-19 2019-06-18 2019-07-23 2019-08-27 2020-08-26 Based Selection Implementation Management Framework (SMF) for the Kerala Urban Service Delivery Project (KUSDP) in Kerala INDIVIDUAL CONSULTANTS Page 1