Procurement Plan I. General 1. Project Information Country: Malawi Project Name: Malawi Pilot Program on Climate Resilience (PPCR) Project ID: P163245 2. Project Implementation Agency: Environmental Affairs Department (EAD) 3. Date of the Procurement Plan: December 12, 2017 4. Period Covered by this procurement plan: January 2018 – July 2019 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: 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. 1 When the Borrower uses its own national open competitive procurement arrangements as set forth in The Public Procurement Act, 2003 and The Public Procurement Regulations, 2004, such arrangements shall be subject to paragraph 5.4 of the Procurement Regulations and the following conditions: o Provision of “set-asides” contracts for small enterprises shall not be applied. o Criteria such as environmental aspect, extent of local content, technology transfer, and managerial, scientific & operational skills development shall not be used in the evaluation of bids unless specifically agreed by the Bank on case to case basis. 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. In accordance with paragraph 5.4(c) and 5.5 of the Procurement Regulations, the request for bids/request for proposals/request for quotations document shall require that Bidders/Proposers submitting Bids/Proposals/quotations present a signed acceptance at the time of bidding, 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. The form of the Letter of Acceptance is attached in Appendix 1. V. Prequalification : N/A VI. Leased Assets as specified under paragraph 5.10 of the Procurement Regulations: Not Applicable. VII. Procurement of Second Hand Goods as specified under paragraph 5.11 of the Procurement Regulations: Not Applicable. VIII. Domestic preference as specified under paragraph 5.51 of the Procurement Regulations (Goods and Works). (a) Goods: N/A (b) Works: N/A Domestic preference is not applicable for National Open Competitive Procurement 2 IX. Other Relevant Procurement Information Provide any other relevant procurement information such as procedures for CDD components, Procurement in Situations of Urgent Need of Assistance or Capacity Constraints etc.--NONE X. Procurement Prior Review Thresholds (US$ millions): The overall Project procurement Risk is Substantial. The project being a non-emergency project, there would be generally prior reviews of cases unless specifically indicated in the Procurement Plan as a special measure. Post Review: All contracts not subject to prior review shall be subject to post review. XI. Procurement Prior Review Thresholds Based on High Risk Rating (US$ millions) Works Goods, IT and Non-Consulting Services Shortlist of National Consultants Open International Open National Request for Open International Open National Request for Consulting Engineering & Quotation Quotation Services Construction ≥ < ≥ < Supervision ≤ ≤ ≤ ≤ 5 5 0.2 1 1 0.1 0.2 0.3 3 MALAWI PILOT PROGRAM ON CLIMATE RESILIENCE (PPCR) PROCURMENT PLAN GOODS Estimated Procurement Review by Bank Expected Bid- Ref. No. Contract (Description) Comments cost (USD) Method (Prior/Post) Opening Date e.g. Laptops, printer, projector, G01 Office equipment 20,000 RFQ Post office furniture, stationary, post, etc. Communications and e.g., printed articles in newspapers, G02 20,000 RFQ Post Training products newsletters etc. Total Sub-total Goods 40,000 CONSULTANT SERVICES Expected Description of Estimated Selection Review by Bank Ref. No. Proposals Comments Assignment cost ($) Method (Prior/Post) Submission Date Inputs over 18 months CS01 SPCR Program Manager 72,000 INDV Prior TOR finalised SPCR Financial Inputs over 18 months CS02 31,000 INDV Prior Management Officer TOR finalised SPCR Procurement Inputs over 18 months CS03 31,000 INDV Prior Officer TOR finalised SPCR Communications & Inputs over 18 months CS04 Knowledge Management 51,000 INDV Prior TOR finalised Officer Consultancy firm contract to deliver analytical CS05 260,000 QCBS Prior Detailed TOR required studies and associated trainings on scale-up of 4 watershed and livelihood protection. Consultancy firm contract to deliver analytical studies and associated CS06 100,000 QCBS Prior Detailed TOR required trainings on private sector engagement in agriculture value-chains Consultancy firm contract to deliver analytical studies and associated CS07 trainings on monitoring 100,000 QCBS Prior Detailed TOR required program on climate impact on lake ecosystems and fisheries Consultancy firm contract to deliver analytical studies and associated trainings on CS08 Organizational design of 180,000 QCBS Prior Detailed TOR required Climate Services Center & institutional analysis for strengthening EAD mandate Consultancy firm contract to deliver analytical CS09 studies and associated 150,000 QCBS Prior Detailed TOR required trainings on Transportation Sector Sub-total Consultant Total 1,015,000 Services CAPACITY BUILDING ACTIVITIES Expected outcome /Activity Estimated Ref. No. Estimated Cost Start Date Comments Description Duration Workshop for validation and Lilongwe dissemination of analytical studies and logistical and administrative CBA01 30,000 2 days TBD their input to detailed investment costs design 5 Cross-learning visit with another PPCR logistical and administrative CBA02 30,000 5 days TBD costs country in the region Lilongwe and Blantyre, Training workshops on M&E of CBA03 20,000 2 days TBD logistical and administrative Climate Change Programs costs Lilongwe and Blantyre, Training workshops on Climate Change CBA04 30,000 2 days TBD logistical and administrative Finance costs Lilongwe and Blantyre, Training workshops on key thematic CBA05 30,000 2 days TBD logistical and administrative area – Climate Services costs Lilongwe and Blantyre, Training workshops on key thematic logistical and administrative CBA06 20,000 2 days TBD area - climate resilient infrastructure costs Lilongwe and Blantyre, Training workshops on key thematic logistical and administrative CBA07 30,000 2 days TBD area - climate smart agriculture costs Training workshops on key thematic Lilongwe and Blantyre, CBA08 area – protecting watersheds and 30,000 2 days TBD logistical and administrative livelihoods costs Total Sub-total Capacity Building 220,000 Total Cost 1,275,000 Contingency (5%) 63,750 Grand Total 1,318,750 6 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 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. 7 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. 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. 8 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: Title of the person signing the Letter: 9 PROCUREMENT Malawi : Malawi Strategic Program for Climate Resilience PLAN General Information Country: Malawi Bank’s Approval Date of the Original Procurement Plan: 2018-09-04 2019-03-11 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P163245 GPN Date: 2018-02-05 Project Name: Malawi Strategic Program for Climate Resilience Loan / Credit No: TF / A5530 Executing Agency(ies): Environmental Affairs Department 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 MW-EAD-89634-CW-RFQ / Under Renovation of offices for the Request for Single Stage - One TF / A5530 Post Limited 0.00 Implementati 2019-01-25 2019-02-07 2019-02-28 Programme Management Quotations Envelope on Unit 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$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual MW-EAD-47914-GO-RFQ / Pending Request for Single Stage - One Communications and TF / A5530 Post Limited 0.00 Implementati 2018-02-07 2018-04-04 2018-10-01 Quotations Envelope Training Products on MW-EAD-95981-GO-RFQ / Under Request for Single Stage - One Procurement of Office TF / A5530 Post Limited 0.00 Implementati 2019-01-24 2019-02-05 2019-02-12 Quotations Envelope Furniture for the PIU on Under MW-EAD-95995-GO-RFB / Single Stage - One TF / A5530 Post Request for Bids Open - National 0.00 Implementati 2019-01-23 2019-01-26 2019-02-16 2019-02-21 2019-02-25 2019-03-25 Office IT Equipment Envelope on NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) (US$) 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 MW-EAD-47930-CS-QCBS / Consultancy firm contract to deliver analytical studies Quality And Cost- Pending TF / A5530 Post Open - National 0.00 2018-09-28 2018-10-19 2018-12-02 2018-12-30 2019-01-29 2019-03-05 2019-04-09 2020-04-08 and associated trainings on Based Selection Implementation private sector engagement in agriculture value chains Page 1 MW-EAD-48197-CS-QCBS / Consultancy firm contract to deliver analytical studies Quality And Cost- Open - Under TF / A5530 Post 0.00 2018-12-18 2019-01-15 2019-01-29 2019-02-01 2019-02-04 2019-02-14 2019-02-23 2019-08-22 and associated trainings on Based Selection International Implementation scale up of water shed and livelihood protection MW-EAD-47931-CS-QCBS / Consultancy firm contract to deliver analytical studies and associated trainings on Quality And Cost- Under organisational design of TF / A5530 Post Open - National 0.00 2018-12-18 2019-01-15 2019-01-29 2019-02-01 2019-02-04 2019-02-14 2019-02-23 2019-07-23 Based Selection Implementation climate services centre and institutional analysis for strengthening Environmental Affairs Department MW-EAD-47919-CS-QCBS / Consultancy firm contract to Quality And Cost- Under deliver analytical studies TF / A5530 Post Open - National 0.00 2019-01-24 2019-02-07 2019-02-17 2019-02-22 2019-02-25 2019-03-04 2019-03-11 2019-08-08 Based Selection Implementation and associated trainings on Transport Sector MW-EAD-48200-CS-QCBS / Consultancy firm contract to deliver analytical studies Quality And Cost- Under and associated trainings on TF / A5530 Post Open - National 0.00 2019-01-24 2019-02-07 2019-02-17 2019-02-22 2019-02-25 2019-03-04 2019-03-11 2019-08-08 Based Selection Implementation monitoring program on climate impact on lake ecosystems and fisheries INDIVIDUAL CONSULTANTS Page 2