Procurement Plan General 1. Project information Country India Borrower Government of India Project Name Capacity Building for Urban Development Project Credit No. 4997-IN Project Implementing Agencies i. Ministry of Urban Development (MOUD) ii. Ministry of Housing and Urban Poverty Alleviation (MoHUPA) These agencies will be assisted by the Project Management Unit 2. Bank’s approval Date of the Procurement Plan 3. Date of General Procurement Notice: 30 September 2007 and 19 August 2012 4. Period covered by this procurement plan: Covers period of first 18 months. Procurement plan will be reviewed annually or as required for necessary modifications as the project progresses. 5. Guidelines: Procurement will be carried out in accordance with the World Bank’s "Guidelines: Procurement under IBRD Loans and IDA Credits" dated May 2004, revised October, 2006 and May 1, 2010 (Procurement Guidelines); and "Guidelines: Selection and Employment of Consultants by World Bank Borrowers" dated May 2004, revised October 2006 and May 01, 2010 (Consultant Guidelines). This being a Technical Assistance project the procurement is limited to consulting services and goods. No procurement of works is envisaged under the project. Goods and non-consulting services. 1. Prior Review Threshold: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement. Prior review threshold as given below, may be changed by Bank during the implementation of the Project: Goods, IT and non-consulting services : USD 2 mn ICB (Goods, IT and Non-consulting services) : For contracts above USD 3 mn Shopping (Goods): Applicable for items costing less than US $ 100,000 per contract after the proposal for procurements of goods and non-consultancy services under this method has been reviewed and agreed with the Bank. Direct Contracting: This method will be followed by the Project after the proposal for procurements of goods and non-consultancy services under this method supported by adequate justification by the implementing agencies/ULB has been reviewed and agreed with the Bank. 2. Prequalification. NOT APPLICABLE 3. Reference to (if any) Project Operational/Procurement Manual: The Procurement Manual for CBUD. 4. Any Other Special Procurement Arrangements: [including advance procurement and retroactive financing, if applicable] A procurement manual based on the procurement guidelines of the Bank has been reviewed by the Bank. Based on Bank’s ‘No Objection’, the manual has been finalized. All procurement under the project and formats to guide procurement and thresholds based methods for goods and services shall be guided by Manual. The manual describes the proposed systems along with procurement management and administrative mechanism as well as SBDs, bidding formats, protocols for planning & scheduling. In case of any inconsistency between the provisions under procurement manual and the provisions of the “Bank’s Guidelines, SRFP and SBDs,” the latter shall prevail. 5. Procurement Packages with Methods and Time Schedule: No procurement of works is envisaged under the project. For Goods as per Annexure III. III. Selection of Consultants 1. Methods of Procurement: The following methods of selection will be adopted depending upon size and complexity of assignment, as defined in the Consultant Guidelines: A. Selection of Firms (a) Quality and Cost based Selection (b) Quality-Based Selection (c) Selection under a Fixed Budget (d) Least Cost Selection (e) Selection Based on Consultant‘s Qualifications (f) Single Source Selection B. Selection of Individuals (g) Procedures set forth in paragraphs 5.2 and 5.3 of the Consultant Guidelines for the Selection of Individual Consultants (h) Selection of Individual Consultants on sole source basis as per the Procedures set forth in Paragraph 5.4 of Guidelines 2. Prior Review Threshold: Selection decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants. Prior review threshold as given below, may be changed by Bank, during the implementation of the project : Consultancy firms : USD 1 mn Individual Consultants : USD 300,000 3. 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 paragraph 2.7 of the Consultant Guidelines. 4. Any Other Special Selection Arrangements: The Expression of Interest for consultancy services estimated to cost above US$300,000 equivalent per contract for firms shall be advertised in UNDB online and dg Market and other provisions of paragraph 2.5 of the Consultant Guidelines. 5.Consultancy Assignments with Selection Methods and Time Schedule As per Annexure I (MoUD) and Annexure II (MoHUPA) IV. Implementing Agency Capacity Building Activities with Time Schedule Submitted Separately Procurement Plan : As per procurement plan approved in STEP PROCUREMENT India : Capacity Building for Urban Development Project PLAN General Information Country: India Banks Approval Date of the Original Procurement Plan: 2016-09-02 Revised Plan Date(s): (comma delineated, leave blank if none) 2017-09-08 Project ID: P099979 GPN Date: 2017-04-25 Project Name: Capacity Building for Urban Development Project Loan / Credit No: IDA / 49970 Executing Agency(ies): PMU CBUD Ministry of Urban Development WORKS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual GOODS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Capacity Building for Strengthened Urban Management Implementation Support CBUD/IT/201 (Lot 1*) / Provision Capacity Building for of Computers and Computer Request for IDA / 49970 Strengthened Urban Prior Open - International N 80,000.00 85,993.12 Signed 2013-12-24 2014-02-12 2014-04-24 Peripherals for CBUD Cities - Quotations Management and Support to roll Desktop Lot-1 out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Contract Type Estimated Actual Amount Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Technical Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Report and Draft Signed Contract Contract Completion Amount (US$) (US$) Notice Request for Proposals as Issued Proposals / Minutes Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Capacity Building for Strengthened Urban Management CBUD/FIN/11 / Technical Implementation Support Support in Implementation of Capacity Building for Quality And Cost- Reforms in property tax system, IDA / 49970 Strengthened Urban Prior Open - International N 0.00 695,620.69 Signed 2013-01-07 2013-04-07 2013-07-06 2013-08-05 2013-09-19 2014-02-11 2013-11-18 2014-02-18 2014-11-13 Based Selection user charges and other fees and Management and Support to roll taxes by 7 ULBs - Pkg 1 out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring Capacity Building for Strengthened Urban Management Implementation Support CBUD/FIN/09 / Implementation Capacity Building for of Accrual based Double Entry Quality And Cost- IDA / 49970 Strengthened Urban Prior Open - International N 12,500,000.00 432,691.63 Signed 2014-05-20 2014-06-10 Acounting System (DEAS) for 5 Based Selection Management and Support to roll urban local bodies out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring Capacity Building for Strengthened Urban Management Implementation Support CBUD/FIN/10 / Implementation Capacity Building for of Accrual based Double Entry Quality And Cost- IDA / 49970 Strengthened Urban Prior Open - International N 750,000.00 596,551.16 Signed 2014-05-20 2014-06-10 Accounting System (DEAS) for 3 Based Selection Management and Support to roll Urban Local Bodies out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring Capacity Building for Strengthened Urban Management Implementation Support CBUD/SD/13 / Preparation of Capacity Building for Quality And Cost- City Sanitation Plans for selected IDA / 49970 Strengthened Urban Prior Open - International N 740,000.00 587,926.54 Signed 2013-12-23 2014-01-13 Based Selection cities Management and Support to roll out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring Capacity Building for Strengthened Urban Management Implementation Support CBUD/SD/26 / Preparation of Capacity Building for Detailed Project Report for Solid Quality And Cost- IDA / 49970 Strengthened Urban Prior Open - International N 0.00 196,657.71 Signed 2013-02-04 2013-05-05 2013-08-03 2013-09-02 2013-10-17 2014-08-18 2013-12-16 2014-08-27 2014-12-11 Waste Management for selected Based Selection Management and Support to roll cities out of National Urban Missions Capacity Building for Effective Urban Poverty Alleviation and Monitoring Page 1 IN-MOUD-2426-CS-QCBS / Procurement of Project Quality And Cost- Management Unit for IDA / 49970 Implementation Support Prior Open - International 717,647.00 724,023.64 Signed 2016-10-07 2017-06-13 2016-10-08 2017-06-14 2016-10-10 2017-06-15 2016-10-11 2016-08-08 2016-10-11 2017-06-16 2016-10-12 2017-06-21 2016-10-13 2016-10-13 2018-06-30 Based Selection implementation Support of CBUD project IN-MOUD-14653-CS-QCBS / Procurement of an agency (a firm Capacity Building for or a consortium of eligible firms) Strengthened Urban Quality And Cost- IDA / 49970 Prior Open - National 2,524,615.00 0.00 Canceled 2017-05-09 2017-05-10 2017-06-04 2017-06-07 2017-06-22 2017-06-24 2017-07-06 2018-02-01 to carry out assessments of Management and Support to roll Based Selection Liveability Standards in 114 out of National Urban Missions selected cities of India in 2017. IN-MOUD-18268-CS-QCBS / Procurement of an agency (a firm Capacity Building for or a consortium of eligible firms) Strengthened Urban Quality And Cost- IDA / 49970 Prior Open - International 2,524,615.00 0.00 Canceled 2017-06-16 2017-07-12 2017-06-29 2017-07-13 2017-07-07 2017-08-04 2017-08-14 2017-09-18 2017-10-23 2018-03-22 to carry out assessments of Management and Support to roll Based Selection Liveability Standards in 116 out of National Urban Missions selected cities of India. IN-MOUD-27866-CS-QCBS / Capacity Building for Shortlisting of Consulting Firms Strengthened Urban Quality And Cost- Pending IDA / 49970 Prior Open - International 3,000,000.00 0.00 2017-09-08 2017-09-29 2017-11-12 2017-12-10 2018-01-09 2018-02-13 2018-03-20 2019-03-20 For Assessment of Liveability in Management and Support to roll Based Selection Implementation Selected Cities out of National Urban Missions INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Contract Type Estimated Actual Amount Draft Negotiated Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Page 2