Procurement Plan (Textual Part) I. General 1. Project Information Country: Zambia Project Name: Great Lakes Trade Facilitation Project Project ID: P155329 2. Project Implementation Agency: Ministry of Commerce Trade and Industry 3. Date of the Procurement Plan: 6 March 2018 4. Period Covered by this procurement plan: II. Preamble In accordance with paragraph 5.9 of the “World Bank Procurement Regulations for IPF Borrowers” (July 2016) (“Procurement Regulations”) the Bank’s Systematic Tracking and Exchanges in Procurement (STEP) system will be used to prepare, clear and update Procurement Plans and conduct all procurement transactions for the Project. This textual part along with the Procurement Plan tables in STEP constitute the Procurement Plan for the Project. The following conditions apply to all procurement activities in the Procurement Plan. The other elements of the Procurement Plan as required under paragraph 4.4 of the Procurement Regulations are set forth in STEP. III. Bank’s Standard Procurement Documents: The Bank’s Standard Procurement Documents shall be used for all contracts subject to international competitive procurement and those contracts as specified in the Procurement Plan tables in STEP. IV. National Procurement Arrangements: The Zambia Public Procurement Act (PPA) no 12 of 2008 and amended in 2013 and its Regulations of 2011 govern all public procurements carried out in Zambian Public Institutions. Under the Bank funded project, the provisions of the PPA, its Regulations and the Statutory Instrument No. 63 of 2011(the Regulations), will apply to all procurement carried out under Open National Bidding (ONB) procedures subject to modifications to make the provisions acceptable to the World Bank Procurement Regulations for IPF Borrowers applicable to Procurement in Investment Project financing – Goods, Works, Non-Consulting and Consulting Services of July 2016 amended in November 2017. The current procurement act is largely in line with most of the requirements of the Procurement Framework of 2016 amended November 2017. Its provisions are being amended to modernize and improve it further. It is expected that the legislative process will be finalized in 2018. Notably the amendment will explicitly allow the use of electronic bidding and use of framework contracts. 1 When the Borrower uses its own National Open Competitive Procurement arrangements as set forth in PPA No.12 of 2008 and amended 2013, such arrangements shall be subject to paragraph 5.3 and 5.4 of the Procurement Regulations and the following additional provisions: a. Eligibility: Eligibility to participate in a procurement process and to be awarded an Association-financed contract shall be as defined under Section I of the Procurement Guidelines; accordingly, no bidder or potential bidder shall be declared ineligible for contracts financed by the Association for reasons other than those provided in Section I of the Procurement Guidelines. No restriction based on nationality of bidders and/or origin of goods shall apply, and foreign bidders shall be allowed to participate in NCB without application of restrictive conditions, such as, but not limited to, mandatory partnering or subcontracting with national entities. b. Domestic Preference: No margins of preference of any sort shall be applied in the bid evaluation. c. Bidding Documents: Procuring entities shall use bidding documents acceptable to the Association. d. Bid validity: An extension of bid validity, if justified by exceptional circumstances, may be requested in accordance with Appendix 1 of the Procurement Guidelines. A corresponding extension of any bid guarantee shall be required in all cases of extension of bid validity. A bidder may refuse a request for extension of bid validity without forfeiting its bid guarantee. e. Qualification: Qualification criteria shall be clearly specified in the bidding documents. All criteria so specified, and only such specified criteria, shall be used to determine whether a bidder is qualified. Qualification shall be assessed on a “pass or fail” basis, and merit points shall not be used. Such assessment shall be based entirely upon the bidder’s or prospective bidder’s capability and resources to effectively perform the contract, taking into account objective and measurable factors, including: (i) relevant general and specific experience, and satisfactory past performance and successful completion of similar contracts over a given period; (ii) financial position; and where relevant (ii) capability of construction and/or manufacturing facilities Prequalification procedures and documents acceptable to the Association shall be used for large, complex and/or specialized works. Verification of the information upon which a bidder was prequalified, including current commitments, shall be carried out at the time of contract award, along with the bidder’s capability with respect to personnel and equipment. Where pre- qualification is not used, the qualification of the bidder who is recommended for award of contract shall be assessed by post-qualification, applying the qualification criteria stated in the bidding documents. f. Bid Evaluation: All bid evaluation criteria other than price shall be quantifiable in monetary terms. Merit points shall not be used, and no minimum point or percentage value shall be assigned to the evaluation criteria or significance of price in bid evaluation. No negotiations shall be permitted. 2 g. Guarantees: Guarantees shall be in the format, shall have the period of validity and shall be submitted when and as specified in the bidding documents. h. Cost Estimates: Detailed cost estimates shall be confidential and shall not be disclosed to prospective bidders. No bids shall be rejected on the basis of comparison with the cost estimates without the Association’s prior written concurrence. i. Rejection of bids and re-bidding: No bid shall be rejected solely because it falls outside of a predetermined price range or exceeds the estimated cost. All bids (or the sole bid if only one bid is received) shall not be rejected, the procurement process shall not be cancelled, and new bids shall not be solicited without the Association’s prior written concurrence. j. Fraud and corruption: In accordance with the Procurement Guidelines, each bidding document and contract shall include provisions stating the Association’s policy to sanction firms or individuals found to have engaged in fraud and corruption as set forth in the Procurement Guidelines. k. Inspection and audit rights: In accordance with the Procurement Guidelines, each bidding document and contract shall include provisions stating the World Bank’s policy with respect to inspection and audit of accounts, records and other documents relating to the submission of bids and contract performance V. Procurement Prior Review Thresholds (US$ millions) Type of Procurement High Substantial Moderate Low Risk Risk Risk Risk Works (including turnkey, supply & 5 10 15 20 installation of plant and equipment, and PPP) Goods, information technology and non- 1.5 2 4 6 consulting services Consultants: firms 0.5 1 2 4 Consultants: Individuals 0.2 0.3 0.4 0.5 Post Review: All contacts not subject to prior review shall be subject to post review. VI. Thresholds for Procurement Approaches and Method (US$ millions) 3 Works Goods, IT and Non-consulting Services Shortlist of National Consultants Open Open Request Open Open Request Consulting Engineering International National for International National for Services & Quotation Quotation Construction ≥ < ≥ < Supervision ≤ ≤ 10 10 0.2 2 2 0.1 0.2 0.3 VII. Summary of the procurement packages: (Planned for the first 18 months after project effectiveness): Sr. Contract Estimated Review Market Selection Evalua- Procure- Prequali Domestic Expected Expected No Descrip- Cost (US$) by Approach Method tion ment -fication Preference date of date of tion Bank (Open- (RFP, Options Process (Yes/ (Yes/No) bid/ Contract (Prior/ National/ RFB, (BAFO, (Single No) proposal Signature Post) Limited QCBS Rated stage-single opening etc.) etc.) Criteria envelope etc.) etc.) 4 Appendix 1 Letter of Acceptance of the World Bank’s Anti-Corruption Guidelines and Sanctions Framework Date: Invitation of Bids/Proposals No.__________ To: ___________________________________________________________________________ We, along with our sub-contractors, sub-consultants, service providers, suppliers, agents (whether declared or not) consultants and personnel, acknowledge and agree to abide by the World Bank’s policy regarding Fraud and Corruption (corrupt, fraudulent, collusive, coercive, and obstructive practices), as set out and defined in the World Bank’s Anti-Corruption Guidelines1 in connection with the procurement and execution of the contract (in case of award), including any amendments thereto. We declare and warrant that we, along our sub-contractors, sub-consultants, service providers, suppliers, agents (whether declared or not), consultants and personnel, , are not subject to, and are not controlled by any entity or individual that is subject to, a temporary suspension, early temporary suspension, or debarment imposed by a member of the World Bank Group, including, inter alia, a cross-debarment imposed by the World Bank Group as agreed with other international financial institutions (including multilateral development banks), or through the application of a World Bank Group finding of non-responsibility on the basis of Fraud and Corruption in connection with World Bank Group corporate procurement. Further, we are not ineligible under the laws or official regulations of [Insert name of Employer as per bidding document] or pursuant to a decision of the United Nations Security Council. We confirm our understanding of the consequences of not complying with the World Bank’s Anti-Corruption Guidelines, which may include the following: a. rejection of our Proposal/Bid for award of contract; b. in the case of award, termination of the contract, without prejudice to any other remedy for breach of contract; and c. sanctions, pursuant to the Bank’s Anti-corruption Guidelines and in accordance with its prevailing sanctions policies and procedures as set forth in the Bank’s Sanctions Framework. This may include a public declaration of ineligibility, either indefinitely or for a stated period of time, (i) to be awarded or otherwise benefit from a Bank-financed contract, 1Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by International Bank for Reconstruction and Development Loans and the International Development Agency Credits and Grants, dated October 15, 2006, and revised in January 2011 and July 2016, as they may be revised from time to time. 5 financially or in any other manner;2 (ii) to be a nominated3 sub-contractor, consultant, manufacturer or supplier, or service provider of an otherwise eligible firm being awarded a Bank-financed contract; and (iii) to receive the proceeds of any loan made by the Bank or otherwise to participate further in the preparation or implementation of any Bank-financed project. We understand that we may be declared ineligible as set out above upon: a. completion of World Bank Group sanctions proceedings according to its prevailing sanctions procedures; b. cross-debarment as agreed with other international financial institutions (including multilateral development banks); c. the application of a World Bank Group finding of non-responsibility on the basis of Fraud and Corruption in connection with World Bank Group corporate procurement; or d. temporary suspension or early temporary suspension in connection with an ongoing World Bank Group sanctions proceeding. For avoidance of doubt, the foregoing effects of ineligibility do not extend to a sanctioned firm’s or individual’s execution of its ongoing Bank-financed contracts (or its ongoing sub-agreements under such contracts) that are not the subject of a material modification, as determined by the Bank. We shall permit, and shall cause our sub-contractors, sub-consultants, agents (whether declared or not), personnel, consultants, service providers or suppliers, to permit the Bank to inspect4 all accounts, records, and other documents relating to the procurement process and/or contract execution (in the case of award), and to have them audited by auditors appointed by the Bank. We agree to preserve all accounts, records, and other documents (whether in hard copy or electronic format) related to the procurement and execution of the contract. Name of the Bidder/Consultant: 2 For the avoidance of doubt, a sanctioned party’s ineligibility to be awarded a contract shall include, without limitation, (i) applying for pre-qualification, expressing interest in a consultancy, and bidding, either directly or as a nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider, in respect of such contract, and (ii) entering into an addendum or amendment introducing a material modification to any existing contract. 3 A nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider (different names are used depending on the particular bidding document) is one which has been: (i) included by the bidder in its pre-qualification application or bid because it brings specific and critical experience and know- how that allow the bidder to meet the qualification requirements for the particular bid; or (ii) appointed by the Borrower. 4 Inspections in this context are usually investigative (i.e., forensic) in nature: they involve fact-finding activities undertaken by the Bank or persons appointed by the Bank to address specific matters related to investigations/audits, such as evaluating the veracity of an allegation of possible Fraud and Corruption, through the appropriate mechanisms. Such activity includes but is not limited to accessing and examining a firm's or individual's financial records and information, and making copies thereof as relevant; accessing and examining any other documents, data, and information (whether in hard copy or electronic format) deemed relevant for the investigation/audit, and making copies thereof as relevant; interviewing staff and other relevant individuals; performing physical inspections and site visits; and obtaining third-party verification of information. 6 Name of the person duly authorized to sign the Bid/Proposal on behalf of the Bidder/Consultant: Title of the person signing the Letter: 7 PROCUREMENT Africa : AFR RI-Great Lakes Trade Facilitation - SOP2 PLAN General Information Country: Africa Bank’s Approval Date of the Original Procurement Plan: 2018-07-23 2020-06-25 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P155329 GPN Date: Project Name: AFR RI-Great Lakes Trade Facilitation - SOP2 Loan / Credit No: IDA / V1000, IDA / V3250 Executing Agency(ies): Burundi-Ministry of Finance, Budget and Privatization WORKS Bid Evaluation Activity Reference No. / Procurement Estimated Actual Draft Bidding Loan / Credit Market Procurement Prequalification High SEA/SH Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Contract Description Component Review Type Method Document Amount Amount Document / Signed Contract No. Approach Process (Y/N) Risk Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Completion Type (US$) (US$) Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned BI-BI-MOF-71885-CW-DIR / Improving core trade Passation de Adduction d'eau au poste En cours IDA / V1000 infrastructure and facilities A priori marché de gré à Direct 28,600.00 0.00 2018-07-27 2018-08-01 2018-09-18 2019-01-17 frontière de Gatumba d'exécution in the border areas gré (Intervention rapide) BI-BI-MOF-71888-CW-RFQ / Aménagement des Latrines Improving core trade Single Stage - One En cours et douches au port de IDA / V1000 infrastructure and facilities A posteriori Demande de prix Limited 11,000.00 0.00 2018-08-11 2018-08-10 2018-10-02 2019-01-04 Envelope d'exécution Rumonge (Intervention in the border areas urgente) GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual BI-BI-MOF-170418-GO-RFQ Implementation support, / Acquisition des Single Stage - One En attente IDA / V3250 Communication, Monitoring, A posteriori Demande de prix Limited 50,000.00 0.00 2020-07-25 2020-09-19 2020-10-30 équipements de bureau Envelope d'exécution and Evaluation (mobilier et photocopieuse) BI-BI-MOF-170426-GO-RFQ Implementation support, Single Stage - One En attente / Acquisition du matériel IDA / V3250 Communication, Monitoring, A posteriori Demande de prix Limited 30,000.00 0.00 2020-07-12 2020-08-28 2020-10-09 Envelope d'exécution informatique pour l'UGP and Evaluation NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (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 DMI/010/PFCGL-II/2018 / Conception détaillée Improving core trade Sélection fondée Open - En cours nécessaire pour le site du IDA / V1000 infrastructure and facilities A posteriori sur la qualité et 200,000.00 0.00 2018-04-20 2018-04-16 2018-06-15 2018-09-13 2018-07-22 2018-07-05 2018-08-23 2018-09-28 2018-09-15 2018-10-05 2018-10-20 2018-10-23 2018-11-10 2019-02-11 International d'exécution projet de construction du in the border areas le coût Port de Rumonge Page 1 BI-BI-MOF-65618-CS-QCBS / Conception détaillée Improving core trade Sélection fondée nécessaire pour les sites du Open - IDA / V1000 infrastructure and facilities A posteriori sur la qualité et 200,000.00 0.00 Annulé 2018-07-05 2018-07-26 2018-08-31 2018-10-03 2018-10-19 2018-11-16 2018-12-07 2019-02-07 poste frontalier et du International in the border areas le coût marché frontalier de Gatumba BI-BI-MOF-65723-CS-QCBS / Conception des Improving core trade Sélection fondée infrastructures provisoires IDA / V1000 infrastructure and facilities A posteriori sur la qualité et Open - National 60,000.00 0.00 Annulé 2018-07-15 2018-08-10 2018-09-10 2018-10-15 2018-10-31 2018-11-21 2018-12-05 2019-03-05 aux postes frontaliers de in the border areas le coût Gatumba et au port de Rumonge BI-BI-MOF-71876-CS-QCBS Improving core trade Sélection fondée / Conception détaillée Open - En cours IDA / V1000 infrastructure and facilities A posteriori sur la qualité et 80,000.00 0.00 2018-08-20 2018-11-19 2018-09-10 2018-11-20 2018-10-15 2019-01-24 2018-11-27 2019-01-15 2018-12-14 2019-01-25 2019-01-18 2019-04-15 2019-02-22 2019-05-27 nécessaire pour les sites du International d'exécution in the border areas le coût poste frontière de Gatumba BI-BI-MOF-71879-CS-QCBS Improving core trade Sélection fondée / Conception détaillée En cours IDA / V1000 infrastructure and facilities A posteriori sur la qualité et Open - National 43,130.00 0.00 2018-08-23 2018-09-07 2018-09-13 2018-09-12 2018-10-19 2018-11-08 2018-11-23 2019-01-15 2018-12-10 2019-10-28 2019-01-14 2019-10-28 2019-02-11 2019-05-13 nécessaire pour le marché d'exécution in the border areas le coût frontalier de Gatumba BI-BI-MOF-96822-CS-LCS / Audit comptable et financier Implementation support, Sélection au Open - En cours du PFCGL-II de la période IDA / V1000 Communication, Monitoring, A posteriori 25,000.00 0.00 2019-01-28 2019-02-22 2019-02-18 2019-05-20 2019-04-03 2019-10-30 2019-05-01 2019-10-30 2019-05-31 2019-10-30 2019-07-05 2019-08-09 2020-02-05 moindre coût International d'exécution allant du 07/08/2017 au and Evaluation 30/06/2019 BI-BI-MOF-102626-CS-QCBS / Recrutement d'une firme de consultants pour le Improving core trade Sélection fondée contrôle et la surveillance Open - En attente IDA / V1000 infrastructure and facilities A posteriori sur la qualité et 100,000.00 0.00 2019-03-14 2019-04-04 2019-05-17 2019-07-04 2019-07-19 2019-08-16 2019-10-08 2020-10-07 des travaux de construction International d'exécution in the border areas le coût du port de Rumonge et provision de services connexes 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 Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual DMI/002/PFCGL-II/2017 / Elaboration du Cadre de Politique des Peuples Autochtones (CPPA), du Plan Improving core trade En attente en faveur des populations IDA / V1000 infrastructure and facilities A posteriori Individuel Open 30,000.00 0.00 2017-12-11 2018-01-20 2018-02-06 2018-02-09 2018-03-18 d'exécution autochtones (PPA) du Cadre in the border areas de Politique de Réinstallation (CPR) pour les activitésdu Projet GLTFP BI-BI-MOF-65639-CS-INDV Improving core trade / Etude sur la logistique et IDA / V1000 infrastructure and facilities A posteriori Individuel Open 50,000.00 0.00 Annulé 2018-07-27 2018-09-05 2018-09-19 2018-10-04 2018-12-18 le transport in the border areas BI-BI-MOF-65645-CS-INDV Implementation of policy / Enquête auprès des and procedural reforms and commerçants des associations IDA / V1000 capacity building to A posteriori Individuel Open 60,000.00 0.00 Annulé 2018-08-05 2018-09-12 2018-09-26 2018-10-10 2019-01-10 professionnelles et évaluation facilitate cross-border trade des besoins pour le in goods and servic es renforcement des capacités Page 2 BI-BI-MOF-71086-CS-INDV / Consultant Expert en Implementation support, En attente Sauvegardes IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 40,800.00 0.00 2018-07-24 2018-10-28 2018-11-20 2018-11-23 2019-05-19 d'exécution Environnementales et and Evaluation Sociales BI-BI-MOF-71104-CS-INDV / Elaboration du Cadre de Improving core trade En attente Gestion Environnementale et IDA / V1000 infrastructure and facilities A posteriori Individuel Open 16,210.00 0.00 2018-07-24 2018-08-31 2018-09-24 2018-09-25 2018-11-01 d'exécution Sociale (CGES) du Projet in the border areas GLTFP DMI/006/PFCGL-II/2018 / Implementation support, En attente Consultant Responsable en IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 40,800.00 0.00 2018-07-24 2018-09-16 2018-12-02 2018-12-03 2019-12-02 d'exécution Suivi-Evaluation and Evaluation DMI/004/PFCGL-II/2018 / Implementation support, En cours Consultant Expert en IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 40,800.00 0.00 2018-01-26 2018-01-25 2018-05-25 2018-05-25 2018-05-28 2019-05-27 d'exécution Facilitation du Commerce and Evaluation BI-BI-MOF-65604-CS-INDV Implementation support, En attente / Consultant Responsable IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 40,800.00 0.00 2018-06-07 2018-07-10 2018-07-17 2018-07-23 2019-07-22 d'exécution Administratif et Financier and Evaluation DMI/003/PFCGL-II/2018 / Implementation support, En cours Consultant Coordinateur du IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 48,000.00 0.00 2018-01-26 2018-01-19 2018-05-10 2018-05-10 2018-05-14 2019-05-13 d'examen projet and Evaluation DMI/007/PFCGL-II/2018 / Implementation support, En attente Consultant Responsable IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 40,800.00 0.00 2018-01-26 2018-05-25 2018-05-28 2018-05-28 2019-05-27 d'exécution Passation des Marchés and Evaluation DMI/009/PFCGL-II/2018 / Implementation support, En cours Consultant Comptable du IDA / V1000 Communication, Monitoring, A posteriori Individuel Open 24,000.00 0.00 2018-01-26 2018-06-08 2018-06-05 2018-06-07 2018-07-01 2019-06-30 d'examen projet and Evaluation BI-BI-MOF-65720-CS-INDV Implementation of policy / Enumérateurs et and procedural reforms and Superviseurs pour l'enquête En cours IDA / V1000 capacity building to A posteriori Individuel Open 16,631.00 0.00 2018-06-27 2018-11-05 2018-08-06 2018-08-20 2018-08-31 2018-10-31 de base et pour la collecte d'exécution facilitate cross-border trade des données sur le commerce in goods and servic es transfrontalier BI-BI-MOF-170399-CS-INDV / Recrutement d'un Improving service delivery consultant pour réaliser by agencies at the En attente l'identification et la IDA / V3250 A posteriori Individuel Open 30,000.00 0.00 2020-08-25 2020-10-13 2020-11-03 2020-12-08 2021-02-13 border/port and citizen d'exécution cartographie des associations engagement des commerçants transfrontaliers BI-BI-MOF-170412-CS-INDV / Recrutement d'un Implementation support, En attente consultant en charge de IDA / V3250 Communication, Monitoring, A posteriori Individuel Open 20,000.00 0.00 2020-07-31 2020-09-18 2020-10-09 2020-11-13 2021-01-22 d'exécution l'élaboration d'une stratégie and Evaluation de communication du projet Page 3