Procurement Plan Grant No: ECTF019226 Project ID P145231 Project Name: Serbia Innovation and Technology Project I. General Agreed date of procurement Plan Latest no objection: Sep 13, 2016 Date of General Procurement Notice: Published on UNDB online on June 11, 2015 II. Goods and Works 1. Prior Review Threshold: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement - January 2011, revised July 2014 Procurement Method Procurement Method Threshold (Euro) Prior Review 1 ICB (Goods) ≥ 900,000 All Threshold (in Euro) 2 NCB (Goods) Packages ≤ 900,000 First Contract 3 ICB (Works) Packages ≥ 4,500,000 All 4 NCB (Works) Packages ≤ 4,500,000 First Contract 5 ≤ 90,000 in accordance with 3.5 of the Shopping (Goods) First Contract Procurement Guidelines 6 ≤180,000 in accordance with 3.5 of the Shopping (Works) First Contract Procurement Guidelines 7 All (with justification) Direct Contracting (Goods In accordance with paragraph 3.7 of the and Works) Procurement Guidelines 8 All (with justification) Commercial Practice Up to $2 million for goods and works III. Selection of Consultants 1. Prior Review Threshold: Selection Decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants - January 2011, revised July 2014 Selection Method Selection Method Threshold (Euro) Prior Review Threshold (in Euro) Quality and Cost Based 1 ≥ 220,000 All Selection (QCBS)* Fixed Budget Selection In accordance with paragraph 3.5 of the 2 ≥ 1,780,000 (FBS) Consultants Guidelines Least Cost Selection In accordance with paragraph 3.6 of the 3 ≥ 1,780,000 (LCS) Consultants Guidelines Consultants' Qualification In accordance with paragraph 3.7 of the 4 Above 220,000 Selection (CQS) Consultant's Guidelines Single Source Selection In accordance with paragraphs 3.8 thru.3.11 of All (with justification) 5 (SSS) (Firms) the Consultants Guidelines Individual Consultants In accordance with Section V of the 6 ≥ 45,000 (IC) Consultants Guidelines Single Source Selection In accordance with paragraph 5.6 of the All (with justification) 7 (SSS) (Individuals) Consultants Guidelines *All ToRs for Consulting Contracts will be reviewed 2. Short list comprising entirely of national consultant: Short list of consultants for services, estimated to cost less thant Euro 219,000 equivalent per contract, may comprise entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultants Guidelines. Detailed Procurement Plan for goods and consulting services contracts are in the next excel spread sheet The Borrower prepared Project Operations Manual which includes a section IV. Procurement Procedures to be followed under the project. IV. Ex-Post review All other contracts for goods, consulting services and Grants below prior review thresholds are subject of Bank’s selective ex-post review. Record Keeping: The IF will maintain complete procurement files which will be reviewed during supervision missions. (A) List of goods and consulting assignments (Component 1: Establishment of a Technology Transfer Facility) GOODS & SERVICES Deadline Planned/ Sent to Sent to Sent to Bank's Issue for Bank's Bank's R the the the Review NO date submissio NO NO evised/Ac Procure Bank Bid Bank Bank Contract Number by Bank n Bid Contract № Contract Contract t ual Type m ent Documen Completi of (Prior/ t Bids / Openin Signing Reference (Description) Procure Method Bid Doc / Bid Evaluation on Contract Post) /Invitatio Proposals g Draft contract m ent TOR/RFP/TR Report s n for / ReOIs / Plan/cost / Tech. Eval. Bids/ReO CVs Report EUR RoS-SRITTP- Planned 1 IC Prior I 8-Jan-15 15-Jan-15 16-Jan-15 30-Jan-15 2-Feb-15 16-Feb-15 17-Feb-15 24-Feb-15 9-Feb-15 2-Mar-15 31-Jan-18 1 ECTF019226-CS-IC- TTF Coordinator Revised CS Publiche 4-Jun-15 8-Jun-15 15-Jun-15 23-Jun-15 31-Jan-18 d 001 Actual 1 IC Prior 8-Jan-15 3-Apr-15 9-Apr-15 24-Apr-15 26-May-15 28-May-15 3-Jun-15 1-Jul-15 2-Jul-15 10-Jul-15 RoS-SRITTP- Planned mtpl IC Prior n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a 31-Jan-18 2 ECTF019226-CS-IC- Business Advisor Revised CS 002 Actual RoS-SRITTP- Planned 1 IC Prior 12-Jan-15 19-Jan-15 21-Jan-15 4-Feb-15 5-Feb-15 12-Feb-15 19-Feb-15 20-Feb-15 27-Feb-15 4-Mar-15 31-Jan-18 Business Operation 2.1 ECTF019226-CS-IC- Revised CS 8-Jun-15 18-Jun-15 25-Jun-15 29-Jun-15 6-Jul-15 8-Jul-15 31-Jan-18 Specialist 002.1 Actual 1 IC Prior 18-Mar-15 3-Apr-15 9-Apr-15 24-Apr-15 2-Jun-15 16-Jun-15 26-Jun-15 21-Jul-15 22-Jul-15 22-Jul-15 RoS-SRITTP- Planned 1 IC Prior 12-Jan-15 19-Jan-15 21-Jan-15 4-Feb-15 5-Feb-15 12-Feb-15 19-Feb-15 20-Feb-15 27-Feb-15 4-Mar-15 31-Jan-18 Lead Transaction 2.2 ECTF019226-CS-IC- Revised CS 16-Jun-15 19-Jun-15 26-Jun-15 3-Jul-15 6-Jul-15 13-Jul-15 17-Jul-15 31-Jan-18 Specialist 002.2 Actual 1 IC Prior 3-Mar-15 3-Apr-15 9-Apr-15 16-Jun-15 18-Jun-15 30-Jul-15 5-Aug-15 24-Aug-15 27-Aug-15 28-Aug-15 Planned 1 IC Prior 9-Jun-15 12-Jun-15 2-Jul-15 6-Jul-15 20-Jul-15 27-Jul-15 30-Jul-15 12-Aug-15 31-Dec-15 6-Aug-15 RoS-SRITTP- IP expert Revised 24-Sep-15 30-Nov-15 2.3 ECTF019226-CS-IC- Actual CS 1 IC Prior 26-May-15 3-Jun-15 15-Jun-15 14-Aug-15 4-Sep-15 7-Sep-15 8-Sep-15 14-Sep-15 23-Sep-15 24-Sep-15 002.3 Amendment 1 Actual 1 IC Prior 12-Oct-15 12-Oct-15 13-Oct-15 Amendment 2 Actual 1 IC Prior 19-Nov-15 19-Nov-15 20-Nov-15 31-Dec-15 RoS-SRITTP- Planned 1 SSS Post 15-Jan-16 1-Feb-16 n/a n/a n/a n/a n/a n/a 1-Feb-16 31-Jan-18 2.4 ECTF019226-CS-IC- Procurement Specialist Revised CS 002.4 Actual 30-Jan-16 5-Feb-16 RoS-SRITTP- Planned 1 CQ Post 21-Jan-15 28-Jan-15 29-Jan-15 13-Feb-15 16-Feb-15 20-Feb-15 27-Feb-15 2-Mar-15 9-Mar-15 11-Mar-15 31-Jan-18 3 ECTF019226-CS-CQ- Legal Services Revised CS 27-Nov-15 4-Dec-15 7-Dec-15 29-Jan-16 1-Feb-16 n/a n/a n/a n/a 18-Mar-18 31-Jan-18 003 Actual 6-Dec-15 17-Dec-15 24-Dec-15 29-Jan-16 1-Feb-16 7-Apr-16 Planned mtpl TR Post 23-Jan-15 30-Jan-15 n/a n/a n/a n/a n/a n/a n/a n/a 31-Jan-18 Project Visibility Revised 29-Jan-16 5-Feb-16 Workshops, Trainings, RoS-SRITTP- 4 Translation, Printing TR ECTF019226-TR-004 Material and Launch Event Actual Technology Transfer Planned mtpl IC/CQ/CP Post n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a 31-Jan-18 RoS-SRITTP- 5 ECTF019226-G/CS- Transaction Preparation Revised G/CS Activities (details in table B IC/CQ/CP-005 below) Actual RoS-SRITTP- Planned 1 LCS/SSS Prior 27-Apr-15 4-May-15 8-May-15 22-May-15 25-May-15 1-Jun-15 8-Jun-15 11-Jun-15 18-Jun-15 23-Jun-15 31-Jan-18 6 ECTF019226-CS-LCS- Audit Revised CS SSS 8-Dec-15 5-Feb-16 23-Feb-16 11-Mar-16 11-Mar-16 n/a n/a 18-Mar-16 25-Mar-16 29-Mar-16 31-Jan-18 006 Actual 15-Jan-16 29-Jan-16 4-Apr-16 7-Apr-16 12-Apr-16 Planned 1 DC Prior n/a n/a n/a n/a n/a n/a n/a 28-Apr-16 26-May-16 31-Jan-18 Intellectual Property 6.1 021-2015 6409-01 Protection (Serbian IP Revised NCS Office) Actual 28-Apr-16 26-May-16 9-Sep-15 RoS-SRITTP- Planned 1 SH Post 8-Jan-15 15-Jan-15 16-Jan-15 30-Jan-15 2-Feb-15 9-Feb-15 16-Feb-15 17-Feb-15 20-Feb-15 25-Feb-15 12-Mar-15 Furniture for TT 7 ECTF019226-G-SH- Revised G Prior 1-Jun-15 1-Jul-15 Facility office 007 Actual Prior 9-Jan-15 21-Jan-15 3-Feb-15 18-Feb-15 19-Feb-15 3-Mar-15 4-Mar-15 3-Mar-15 4-Mar-15 28-Jul-15 4-Aug-15 RoS-SRITTP- Planned 1 SH Post 13-Jan-15 20-Jan-15 21-Jan-15 4-Feb-15 6-Feb-15 13-Feb-15 20-Feb-15 23-Feb-15 27-Feb-15 3-Mar-15 7-Apr-15 IT Equipment for TT 8 ECTF019226-G-SH- Revised G Prior 3-Jun-15 4-Jun-15 11-Jun-15 18-Jun-15 19-Jun-15 26-Jun-15 29-Jun-15 13-Sep-15 Facility office 008 Actual Prior 21-Apr-15 8-May-15 13-May-15 3-Jun-15 4-Jun-15 24-Jun-15 2-Jul-15 n/a n/a 30-Jul-15 20-Aug-15 RoS-SRITTP- Planned mtpl CQ/IC Post tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd 31-Jan-18 9 ECTF019226-CS-IC- S&T Area Expert Revised CS 009 Actual RoS-SRITTP- Technology Planned 1 CQ Post 29-Dec-15 29-Jan-16 5-Feb-16 26-Feb-16 26-Feb-16 n/a n/a n/a n/a 15-Apr-16 31-Jan-18 9.1 ECTF019226-CS-CQ- Commercialization Revised CS 29-Feb-16 29-Feb-16 21-Apr-16 31-Jan-18 009.1 Firm Actual 29-Dec-15 29-Jan-16 5-Feb-16 29-Feb-16 29-Feb-16 13-May-16 RoS-SRITTP- Planned mtpl IC Post 3-Oct-16 10-Oct-16 14-Oct-16 28-Oct-16 28-Oct-16 n/a n/a n/a n/a 25-Nov-16 31-Jan-18 9.2 ECTF019226-CS-IC- S&T Area Expert Revised CS 2-Dec-16 31-Jan-18 009.2.xx Actual RoS-SRITTP- Planned 1 SH Post - - 19-Oct-15 2-Nov-15 3-Nov-15 - - - - 12-Nov-15 11-Mar-16 10 ECTF019226-G-SH- Portal Revised G 4-Feb-16 010 Actual 21-Oct-15 4-Nov-15 4-Nov-15 - - - - 6-Nov-15 11-Feb-16 RoS-SRITTP- Planned 1 SH Post 16-Mar-16 17-Mar-16 23-Mar-16 7-Apr-16 7-Apr-16 n/a n/a n/a n/a 12-Apr-16 30-Jun-16 Additional 10.1 ECTF019226-G-SH- Revised G Development of Portal 010.1 Actual 23-Mar-16 7-Apr-16 7-Apr-16 n/a n/a n/a n/a 12-Apr-16 30-Jun-16 RoS-SRITTP- Planned 1 SH Post tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd 11 ECTF019226-G-SH- IP Database Revised G 1-Dec-16 15-Dec-16 15-Dec-16 22-Dec-16 28-Feb-17 011 Actual Shopping of One 1- Planned 1 SH Post 14-Jun-16 27-Jul-16 n/a n/a n/a n/a n/a n/a n/a 30-Sep-16 30-Sep-17 Year PatBase License Revised 14-Jun-16 27-Jul-16 n/a n/a n/a n/a n/a n/a n/a RoS-SRITTP- (including Patent 11.1 ECTF019226-G-SH- NCS Order) for the 011.1 Actual Technology Transfer Offices (TTOs) Shopping of One 1- Planned 1 SH Post 14-Jun-16 27-Jul-16 n/a n/a n/a n/a n/a n/a n/a 30-Sep-16 30-Sep-17 RoS-SRITTP- Year License Thomson Revised 14-Jun-16 27-Jul-16 n/a n/a n/a n/a n/a n/a n/a 11.2 ECTF019226-G-SH- Innovation Analyst for NCS 011.2 the Technology Actual Transfer Facility (TTF) (B) Technology Transfer Transaction Preparation Activities - Additional Financing for Applicants Deadline Planned/ Sent to Sent to Sent to Bank's Issue for Bank's Bank's R the the the Review NO date submissio NO NO evised/Ac Procure Bank Bid Bank Bank Contract Number by Bank n Bid Contract № Contract Contract t ual Type m ent Documen Completi of (Prior/ t Bids / Openin Signing Reference (Description) Procure Method Bid Doc / Bid Evaluation on Contract Post) Proposals g Draft contract m ent TOR/RFP/TR /Invitatio Report s / ReOIs / Plan/cost n for / Tech. Eval. CVs Report EUR Bids/ReO RoS-SRITTP- Technology Transfer Planned mtpl CP Post tbd tbd I tbd tbd tbd tbd tbd tbd tbd tbd 31-Jan-18 1 ECTF019226-G/CS- Transaction Revised G Publiche 31-Jan-18 IC/CQ/CP-005.1 Preparation Materials Actual d Technology Transfer Planned mtpl IC/CQ/CP Post tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd 31-Jan-18 RoS-SRITTP- Transaction 2 ECTF019226-G/CS- Revised CS Preparation Services IC/CQ/CP-005.2 Actual RoS-SRITTP- Planned 1 CQ Post 31-Dec-15 30-Jan-16 5-Feb-16 4-Mar-16 4-Mar-16 n/a n/a n/a n/a 22-Apr-16 31-Jan-18 IP law office 2.1 ECTF019226-CS-CQ- Revised CS 18-Feb-16 7-Mar-16 7-Mar-16 27-Apr-16 31-Jan-18 005.2.1 Actual 31-Dec-15 30-Jan-16 17-Feb-16 7-Mar-16 17-Feb-16 12-May-16 (A) List of goods and consulting assignments (Component 1: Establishment of a Technology Transfer Facility) GOODS & SERVICES Deadline Planned/R Sent to Sent to Sent to Bank Issue date for Bank's Bank's evised/Act the Bank the the 's submissi NO NO ual Review Bank Bank NO Bid on Procureme Number of Procureme by Bank Bid Co № Contract Contract Typ Document nt Contracts nt Method (Prior/ Bids / Openi Si Referenc (Description) e Bid /Invitation Bid Evaluation Plan/cost Post) Proposals ng Draft contract e Doc / for Report EUR / ReOIs / TOR/RF Bids/ReOI / Tech. Eval. CVs Report P/TR Publiched Project Visibility Planned mtpl TR Post 23-Jan-15 30- n/a n/a n/a n/ n/a n/a n/a RoS- Workshops, Revised 29-Jan-16 Jan- 5- a 4 Trainings, TR 15 Feb- SRITTP- Translation, Printing Actual 16 ECTF019 Material and Launch 226-TR- Event Planned mtpl TR Post 1-Feb-16 9- n/a n/a n/a n/ n/a n/a n/a 004 RoS- Costs of publishing the Revised Feb- a 4 SRITT advertisements under TR 16 . P- the TTF 1 ECTF 01922 6-TR- 004.1 Actual Design, printing, Planned 1 TR Post 26-Feb-16 4- 4-Mar-16 11-Mar-16 11-Mar- n/ n/a n/a n/a 14 website and LinkedIn Revised Mar- 16 a RoS- 16 upgrades, promotion 4 SRITT TR of results and event . P- Actual 2 organization logistics ECTF support under the TTF 01922 6-TR- Planned 1 TR Post 26-Feb-16 4- n/a n/a n/a n/ n/a n/a n/a Catering services, RoS- 004.2 Revised Mar- a photographer, 16 4 SRITT TR hostesses and technical . P- Actual 3 support under the TTF ECTF 01922 Planned 1 TR Post 26-Feb-16 4- n/a n/a n/a n/ n/a n/a n/a 6-TR- RoS- Revised Mar- a Translation services 16 4 004.3 SRITT TR under the TTF . P- Actual 4 ECTF 01922 Planned 1 TR Post 26-Feb-16 4- 3-Jun-16 10-Jun-16 10-Jun-16 n/ n/a n/a n/a 10 6-TR- RoS- Revised Mar- a 4 004.4 SRITT Media Cliping TR 16 . P- Actual 5 ECTF 01922 Catering servicesfor Planned 1 TR Post 30-May-16 1- n/a n/a n/a n/ n/a n/a n/a 6-TR- RoS- for Training of the Revised Jun- a 4 004.5 SRITT TTOs by the TTF - TR 16 . P- Basics of sales and Actual 6 ECTF marketing 01922 6-TR- 004.6 PROCUREMENT Serbia : Serbia Research, Innovation and Technology Transfer Project PLAN General Information Country: Serbia Banks Approval Date of the Original Procurement Plan: 2016-09-15 Revised Plan Date(s): (comma delineated, leave blank if none) 2017-10-02 Project ID: P145231 GPN Date: Project Name: Serbia Research, Innovation and Technology Transfer Project Loan / Credit No: TF / 19226 Executing Agency(ies): Innovation Fund 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$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual YF-IF-30881-GO-DIR / Upgrade Pending of Portal for Innovation Fund to TF / 19226 Post Direct Selection Direct 7,050.00 0.00 2017-10-02 2017-10-10 2017-10-27 2017-11-27 Implementation Include Innovation Voucher NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (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$) Notice Request for Proposals as Issued Proposals / Minutes Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Contract Type Estimated Actual Amount Draft Negotiated Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CANCELLED / LEAD Individual Consultant TF / 19226 Prior Open N 0.00 118,335.00 Terminated 2015-08-27 2015-08-28 TRANSACTIONS SPECIALIST Selection CANCELLED- / Business Individual Consultant Operations Specialist (BO TF / 19226 Prior Open N 0.00 106,228.71 Terminated 2015-07-22 2015-07-22 Selection Specialist) SRITTP/2/LTS/INDV / LEAD Individual Consultant TF / 19226 Prior Open N 0.00 118,335.00 Signed 2015-09-25 2015-08-28 TRANSACTIONS SPECIALIST Selection Ref. No. RoS-SRITTP- ECTF019226-CS-IC-002 / Individual Consultant TF / 19226 Prior Open N 0.00 109,276.11 Signed 2015-09-25 2015-07-22 Business Operations Specialist Selection (BO Specialist) IP LAW CONSULTANT / Consulting Services for SERBIA Individual Consultant INTELLECTUAL PROPERTY TF / 19226 Prior Open N 0.00 13,393.20 Signed 2015-09-23 2015-09-24 Selection LAW CONSULTANT (IP LAW CONSULTANT) RoS-SRITTP-ECTF019226-CS- LCS-006 / Audit Services of the TF / 19226 Prior Direct Selection Direct N 0.00 9,987.56 Signed 2016-04-12 Serbia Research, Innovation and Technology Transfer Project ROS-SRITTP-ECTF019226-CS- IC-0025 / Innovation voucher Individual Consultant TF / 19226 Post Open 17,980.00 15,185.89 Signed 2017-07-19 2017-09-07 2017-08-15 2017-09-14 2017-08-17 2017-10-05 2017-08-24 2018-01-31 scheme design Expert - Short- Selection term consultant Page 1