Procurement Plan General 1. Project Information Country: KENYA 2. Project Name: Kenya Informal Settlements Improvement Project 2 3. Project ID: P167814 4. Project Implementation Agency: Ministry of Transport and Infrastructure 5. Date of the Procurement Plan: Jan 26,2021 6. Period Covered by this procurement plan: 18 months I. 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. II. 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. III. National Procurement Arrangements: In accordance with paragraph 5.3 of the Procurement Regulations, when approaching the national market (as specified in the Procurement Plan tables in STEP), the country’s own procurement procedures may be used. When the Borrower uses its own national open competitive procurement arrangements as set forth in The Public Procurement and Assets Disposal Act, 2015 such arrangements shall be subject to paragraph 5.3 and 5.4 of the Procurement Regulations : When other national procurement arrangements other than national open competitive procurement arrangements are applied by the Borrower, such arrangements shall be subject to paragraph 5.5 of the Procurement Regulations. IV. Prequalification: Not Applicable 1 V. Leased Assets as specified under paragraph 5.10 of the Procurement Regulations: Not Applicable VI. Procurement of Second-Hand Goods as specified under paragraph 5.11 of the Procurement Regulations: Not Applicable VII. Domestic preference as specified under paragraph 5.51 of the Procurement Regulations (Goods and Works). Not Applicable VIII. Hands-on Expanded Implementation Support (HEIS) as specified under paragraphs 3.10 and 3.11 of the Procurement Regulations is Applicable. Not Applicable IX. Other Relevant Procurement Information Not Applicable 2 X. Threshold for Prior Review, Procurement Approaches and Methods – Good, Works and Non-Consulting Services Procurement Approaches and Methods (US$ millions) Prior Review (US$ Category Open International Open National Request for millions) Quotation (RfQ) Works Goods, IT, and non-consulting services Post Review: All contracts not subject to prior review shall be subject to post review. Summary of the procurement packages for Good, Works and Non-Consulting Services Sr. Contract Estimat Revie Market Selection Evaluatio Procureme Prequalif Domesti Expecte Expecte No Description ed w by Approach Method n Options nt Process ication c d date d date Cost Bank (Open- (RFP, RFB, (Most (Single (Yes/ Preferen of bid/ of (US$) (Prior National/ RFQ, DS Advantag stage- No) ce proposa Contrac / Limited etc.) eous Bid, single (Yes/No) l t Post) etc.) BAFO, envelope opening Signatur Rated etc.) e Criteria etc.) GOODS 1. 2. 3. 4. Total Goods 613,00 0 WORKS Total works NON-CONSULTING SERVICES 3 Total Non- Consulting Services XI. Thresholds for Prior Review, Selection Approaches and Methods – Consulting Services Category Prior Review (US$ Short List of National Consultants millions) Consulting Engineering and Construction Supervision Services Consultants (Firms) Individual Consultants Note: Consultancy services estimated to cost equivalent to US $ 300,000 and above per contract shall be advertised in the United Nations Development Business (UNDB) online in addition to advertising in national newspaper(s) of wide circulation and/or regional newspaper. XII. Summary of the procurement packages for Consulting Services Sr. No Contract Description Estimate Review Market Selection Shortlisti Expected Expected d Cost by Bank Approach Method ng date of bid/ date of (US$) (Prior/ (Open - (QCBS, FBBS, (Yes/ No) proposal Contract Post) International/ LCBS, QBS, opening Signature National/ etc.) CQS, DS etc.) 1. 2. 3. 4. 5. 6. 7. 8. 4 9. 10. Total Consulting Services 5 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, financially or in any other manner;2 (ii) to be a nominated3 sub-contractor, 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. 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. 6 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: Name of the person duly authorized to sign the Bid/Proposal on behalf of the Bidder/Consultant: 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. 7 Title of the person signing the Letter: 8 PROCUREMENT Kenya : Second Kenya Informal Settlements Improvement Project PLAN General Information Country: Kenya Bank’s Approval Date of the Original Procurement Plan: 2021-01-29 2021-03-25 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P167814 GPN Date: 2021-01-08 Project Name: Second Kenya Informal Settlements Improvement Project Loan / Credit No: IDA / 67590 M Executing Agency(ies): inistry of Transport and Infrastructure WORKS Activity Reference No. / Estimated Actual Draft Bidding Bid Evaluation Report Loan / Credit Procurement Prequalification High SEA/SH Procurement Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents as Proposal Submission / Contract Description Component Review Type Method Market Approach Amount Amount Document / and Recommendation Signed Contract No. Process (Y/N) Risk Document Type Status Documents Evaluation Report Notice / Invitation Issued Opening / Minutes Completion (US$) (US$) Justification for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned GOODS Activity Reference No. / Draft Bidding Bid Evaluation Report Loan / Credit Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents as Proposal Submission / Description Component Review Type Method Market Approach Document / and Recommendation Signed Contract Contract Completion No. Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation Issued Opening / Minutes Justification for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual NON CONSULTING SERVICES Activity Reference No. / Draft Bidding Bid Evaluation Report Loan / Credit Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents as Proposal Submission / Description Component Review Type Method Market Approach Document / and Recommendation Signed Contract Contract Completion No. Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation Issued Opening / Minutes Justification for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit Contract Type Estimated Actual Amount Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Description Component Review Type Method Market Approach Process Status Terms of Reference Report and Draft Signed Contract Contract Completion No. Amount (US$) (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 KE-MOTI-214040-CS-QCBS / Consultancy Service for Institutional capacity Quality And Cost- Pending Mapping and Preparation of IDA / 67590 development for slum Prior Open - National 1,600,000.00 0.00 2021-02-10 2021-03-03 2021-04-16 2021-05-14 2021-06-13 2021-07-18 2021-08-22 2022-08-22 Based Selection Implementation National Geodatabase for upgrading Slums/ Informal settlements KE-MOTI-214043-CS-QCBS / Consultancy Service for Institutional capacity Capacity Assessment and Quality And Cost- Pending IDA / 67590 development for slum Post Open - International 300,000.00 0.00 2021-02-14 2021-03-07 2021-04-20 2021-05-18 2021-06-17 2021-07-22 2021-08-26 2022-08-26 Implementation Plan for Based Selection Implementation upgrading Counties and KISIP for Slum Upgrading. KE-MOTI-215295-CS-QCBS / Consultancy Services to undertake Physical Planning, Cadastral Survey and detailed Integrated settlement Quality And Cost- Pending Topographical Survey of 10 IDA / 67590 Prior Open - International 1,300,000.00 0.00 2021-02-08 2021-03-01 2021-04-14 2021-05-12 2021-06-11 2021-07-16 2021-08-20 2022-08-20 upgrading Based Selection Implementation selected Informal Settlements in Kilifi, Kitui, Makuenei and Taita Taveta Counties Lot V- Cluster 1 KE-MOTI-215297-CS-QCBS / Consultancy Services to undertake Physical Planning, Cadastral survey and detailed Integrated settlement Quality And Cost- Pending IDA / 67590 Prior Open - International 1,400,000.00 0.00 2021-02-08 2021-03-01 2021-04-14 2021-05-12 2021-06-11 2021-07-16 2021-08-20 2022-08-20 Topographical Survey of 11 upgrading Based Selection Implementation selected informal settlements in Tana River county. Lot V - Cluster 4 KE-MOTI-215299-CS-QCBS / Consultancy Services to undertake Physical Planning, Cadastral Survey and detailed Integrated settlement Quality And Cost- Pending Topographical Survey of 8 IDA / 67590 Prior Open - International 1,300,000.00 0.00 2021-02-08 2021-03-01 2021-04-14 2021-05-12 2021-06-11 2021-07-16 2021-08-20 2022-08-20 upgrading Based Selection Implementation selected Informal Settlements in Siaya, Homabay, Bungoma, Transzoia and West Pokot Counties Lot V- Cluster 3 KE-MOTI-215300-CS-QCBS / Consultancy Services to undertake Physical Planning, Cadastral Survey and detailed Integrated settlement Quality And Cost- Pending Topographical Survey of 11 IDA / 67590 Prior Open - International 1,300,000.00 0.00 2021-02-08 2021-03-01 2021-04-14 2021-05-12 2021-06-11 2021-07-16 2021-08-20 2022-08-20 upgrading Based Selection Implementation selected informal settlements in Kiambu, Tharaka Nithi and Machakos Counties. Lot V - Cluster 2 KE-MOTI-214044-CS-QCBS / Consultancy Services for Program management and Quality And Cost- Pending IDA / 67590 Prior Open - International 500,000.00 0.00 2021-02-17 2021-03-10 2021-04-23 2021-05-21 2021-06-20 2021-07-25 2021-08-29 2022-08-29 Technical Assistance on an coordination Based Selection Implementation Independent Fiduciary Agency KE-MOTI-216645-CS-QCBS / Consultancy Services for Program management and Quality And Cost- Pending IDA / 67590 Prior Open - International 1,800,000.00 0.00 2021-02-15 2021-03-08 2021-04-21 2021-05-19 2021-06-18 2021-07-23 2021-08-27 2022-08-27 Independent Performance coordination Based Selection Implementation Assessment KE-MOTI-214041-CS-QCBS / Consultancy Service for Institutional capacity Quality And Cost- Pending Review and Development of IDA / 67590 development for slum Prior Open - International 600,000.00 0.00 2021-02-14 2021-03-07 2021-04-20 2021-05-18 2021-06-17 2021-07-22 2021-08-26 2022-08-26 Based Selection Implementation the National Slum Upgrading upgrading and Prevention Strategies Page 1 KE-MOTI-218292-CS-QCBS / Consultancy Services to Develop Socio-Economic Inclusion Plans, Toolkit for Crime and Violence Prevention Through Environmental Socio-economic inclusion Quality And Cost- Pending IDA / 67590 Prior Open - International 4,000,000.00 0.00 2021-02-21 2021-03-14 2021-04-27 2021-05-25 2021-06-24 2021-07-29 2021-09-02 2022-09-02 Design (CPTED) planning Based Selection Implementation Investments,Strategy and Guidelines of Utilization, Preparation of Mechanism and Guidelines of Community Level KE-MOTI-214793-CS-QCBS / Consultancy Services for Review and repackaging of existing Engineering designs, Procurement Integrated settlement Quality And Cost- Pending Documents,Updating RAP & IDA / 67590 Prior Open - International 700,000.00 0.00 2021-02-15 2021-03-08 2021-04-21 2021-05-19 2021-06-18 2021-07-23 2021-08-27 2022-08-27 upgrading Based Selection Implementation ESIA Reports,and supervision of construction works in informal settlements in Kisumu and Kakamega counties KE-MOTI-214833-CS-QCBS / Consultancy Services for Review and Repackaging of Existing Engieering Integrated settlement Quality And Cost- Pending Designs,Procurement IDA / 67590 Prior Open - International 700,000.00 0.00 2021-02-15 2021-03-08 2021-04-21 2021-05-19 2021-06-18 2021-07-23 2021-08-27 2022-08-27 upgrading Based Selection Implementation Documents,Updating RAPs & ESIA Reports and Supervision of Construction works in the counties of Nairobi & Nakuru KE-MOTI-214831-CS-QCBS / Consultancy Services for Review and Repackaging of existing Engineering Designs, procurement Integrated settlement Quality And Cost- Pending IDA / 67590 Prior Open - International 500,000.00 0.00 2021-02-15 2021-03-08 2021-04-21 2021-05-19 2021-06-18 2021-07-23 2021-08-27 2022-08-27 documents,Updating RAPs & upgrading Based Selection Implementation ESIA Reports and Supervision of Construction works in the counties of Kilifi and Mombasa. INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Loan / Credit Contract Type Estimated Actual Amount Draft Negotiated Description Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion No. Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual KE-MOTI-214054-CS-INDV / Individual Consultancy Services for Program management and Under IDA / 67590 Post Consultant Open 180,000.00 0.00 2021-02-14 2021-03-16 2021-04-04 2021-04-25 2021-05-30 2021-11-26 Individual Program Assistant coordination Implementation Selection Consultant (1No) KE-MOTI-214061-CS-INDV / Individual Consultancy Services for Program management and Under IDA / 67590 Post Consultant Open 160,000.00 0.00 2021-02-17 2021-03-16 2021-04-07 2021-04-28 2021-06-02 2021-11-29 Individual Environmental coordination Implementation Selection Safeguard Consultant (1No) KE-MOTI-215303-CS-INDV / Individual Consultancy Services for a Integrated settlement Under IDA / 67590 Post Consultant Open 155,000.00 0.00 2021-02-08 2021-03-22 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Land Surveyor Consultant ( 1 upgrading Implementation Selection No) KE-MOTI-215304-CS-INDV / Individual Consultancy Services for a Integrated settlement Under IDA / 67590 Post Consultant Open 155,000.00 0.00 2021-02-08 2021-03-22 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Land Administration upgrading Implementation Selection Consultant ( 1 No) KE-MOTI-216647-CS-INDV / Individual Consultancy Services for Integrated settlement Pending IDA / 67590 Post Consultant Open 149,000.00 0.00 2021-02-07 2021-03-28 2021-04-18 2021-05-23 2021-11-19 Individual Physical Planning upgrading Implementation Selection Consultants KE-MOTI-215103-CS-INDV / Individual Consultancy Services for Civil Integrated settlement IDA / 67590 Prior Consultant Open 306,000.00 0.00 Under Review 2021-02-08 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Engineer ( Individual upgrading Selection Consultant) KE-MOTI-216970-CS-INDV / Individual Consultancy Services for Program management and Under IDA / 67590 Post Consultant Open 170,000.00 0.00 2021-02-08 2021-03-16 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Individual Social Safeguard coordination Implementation Selection Consultant KE-MOTI-213869-CS-INDV / Individual Program management and Under Consultancy Services for IDA / 67590 Prior Consultant Open 160,000.00 0.00 2021-02-08 2021-03-18 2021-03-29 2021-04-19 2021-05-24 2023-05-14 coordination Implementation Procurement Consultant Selection KE-MOTI-214048-CS-INDV / Individual Consultancy Services for Program management and Under IDA / 67590 Prior Consultant Open 200,000.00 0.00 2021-02-18 2021-03-23 2021-04-08 2021-04-29 2021-06-03 2021-11-30 Individual Communication coordination Implementation Selection Consultant KE-MOTI-216641-CS-INDV / Individual Integrated settlement Consultancy Services for Civil IDA / 67590 Prior Consultant Open 306,000.00 0.00 Under Review 2021-02-08 2021-03-29 2021-04-19 2021-05-24 2021-11-20 upgrading Engineer (Individual) Selection KE-MOTI-216642-CS-INDV / Individual Integrated settlement Consultancy Services for Civil IDA / 67590 Prior Consultant Open 306,000.00 0.00 Under Review 2021-02-08 2021-03-29 2021-04-19 2021-05-24 2021-11-20 upgrading Engineer (Individual) Selection KE-MOTI-216648-CS-INDV / Individual Consultancy Services for Integrated settlement Pending IDA / 67590 Post Consultant Open 149,000.00 0.00 2021-02-07 2021-03-28 2021-04-18 2021-05-23 2021-11-19 Individual Physical Planning upgrading Implementation Selection Consultant KE-MOTI-216656-CS-INDV / Individual Consultancy Services for Integrated settlement Under IDA / 67590 Post Consultant Open 170,000.00 0.00 2021-02-08 2021-03-16 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Individual Social Safeguards upgrading Implementation Selection Expert (Individual) Page 2 KE-MOTI-216657-CS-INDV / Individual Consultancy Services for Integrated settlement Under IDA / 67590 Post Consultant Open 170,000.00 0.00 2021-02-08 2021-03-16 2021-03-29 2021-04-19 2021-05-24 2021-11-20 Individaul Social Safeguards upgrading Implementation Selection Expert KE-MOTI-223918-CS-INDV / Consultancy Services for Individual Integrated settlement Under Individual Geographical IDA / 67590 Post Consultant Open 170,000.00 0.00 2021-03-15 2021-03-22 2021-05-03 2021-05-24 2021-06-28 2021-12-25 upgrading Implementation Information System (GIS) Selection Consultant KE-MOTI-223919-CS-INDV / Individual Consultancy Services for Program management and Pending IDA / 67590 Post Consultant Open 150,000.00 0.00 2021-03-15 2021-05-03 2021-05-24 2021-06-28 2021-12-25 Individual Urban Planning coordination Implementation Selection Consultant to assist the CoG KE-MOTI-223920-CS-INDV / Individual Consultancy Services for Program management and Pending IDA / 67590 Prior Consultant Open 150,000.00 0.00 2021-03-23 2021-05-11 2021-06-01 2021-07-06 2023-06-26 Individual Procurement coordination Implementation Selection Consultant to assist the CoG Page 3