Annex 4: Procurement Plan I. General 1. Project Information Country : India Borrower : Government of India and SIDBI Project Name : Programmatic Framework for Energy Efficiency – Additional Financing for Financing EE at MSMEs Project Grant Nos. : TF97126 & TF10422 2. Bank’s Approval Date of the Procurement Plan: September 14, 2016. 3. Date of General Procurement Notice: June 03, 2016 4. Period covered by this Procurement plan: 18 months 5. Risk Rating for the Implementing Agencies: Low II. Goods and Non-consulting Services. 1. (a) Procurement Methods Procurement Method Threshold (US$ Equivalent) 1 Open International (Goods) Above 3 million 2 Open National (Goods) Above 100,000 and up to 3 million (with NCB conditions) – as per para 3.3 and 3.4 of the Guidelines 3 Shopping (Goods) Up to 100,000 4. Open International (Non-consulting Above 1 million Services) 5 Open National (Non-consulting Below 1 million Services) 6 Direct Contract As per para 3.7 of Guidelines (b) Prior Review Threshold: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement: Sl. Category Prior Review Threshold Comments No. (US$ Equivalent) 1 Goods Above US$ 3.0 million All Contracts 2 Non-consulting Services Above US$ 3.0 million All Contracts 3 Direct Contracts (for Goods) US$ 100,000 and above All Contracts 2. Pre-qualification: Bidders shall be pre-qualified in accordance with the provisions of paragraphs 2.9 and 2.10 of the Guidelines. 1 3. Proposed Procedures for CDD Components (as per paragraph. 3.17 of the Guidelines): Not applicable 4. Reference to (if any) Project Operational/Procurement Manual: • Project Implementation Manual (OPERATING MANUAL, 2009-2014) – Released by BEE in February 2010 • Project Operational Manual – Released by SIDBI in April 2010 & Revised in December 2014 5. NCB Provisions: a) Only the model bidding documents for NCB agreed with the GOI Task Force (and as amended for time to time), shall be used for bidding; b) Invitations to bid shall be advertised in at least one widely circulated national daily newspaper (or on a widely used website or electronic portal with free national and international access along with an abridged version of the said advertisement published in a widely circulated national daily inter-alia giving the website/electronic portal details from which the details of the invitation to bid can be downloaded), at least 30 days prior to the deadline for the submission of bids; c) No special preference will be accorded to any bidder either for price or for other terms and conditions when competing with foreign bidders, state-owned enterprises, small-scale enterprises or enterprises from any given State; d) Except with the prior concurrence of the Bank, there shall be no negotiation of price with the bidders, even with the lowest evaluated bidder; e) Extension of bid validity shall not be allowed with reference to Contracts subject to Bank prior review without the prior concurrence of the Bank (i) for the first request for extension if it is longer than four weeks; and (ii) for all subsequent requests for extension irrespective of the period (such concurrence will be considered by Bank only in cases of Force Majeure and circumstances beyond the control of the Purchaser/Employer); f) Re-bidding shall not be carried out with reference to contracts subject to Bank prior review without the prior concurrence of the Bank. The system of rejecting bids outside a pre- determined margin or "bracket" of prices shall not be used in the project; g) Rate contracts entered into by Directorate General of Supplies and Disposals (DGS&D) will not be acceptable as a substitute for NCB procedures unless agreed with the Bank on case to case basis. Such contracts will be acceptable however for any procurement under the Shopping procedures; h) Two or three envelope system will not be used (except when using e-procurement system assessed and agreed by the Bank). 6. Summary of the Procurement Packages planned during the first 18 months after project effectiveness (including those that are subject to retroactive financing and advanced procurement) Not Applicable for Goods during the first 18 months of the project. 2 III. Selection of Consultants 1. (a) Procurement Methods Sl. Procurement Method Threshold (US$ Equivalent) No. 1 Selection based on Consultants’ Up to 300,000 Qualifications / Least Cost Selection 2 Single-source Selection of consulting As per para 3.9 – 3.11 of Guidelines firms 3 Selection of Individual Consultants/ As per Section V of Guidelines Sole Source Procedures for the Selection of Individual Consultants 4 Quality- and Cost-based Selection/ For all other cases Quality-based Selection/ Selection under a Fixed Budget 5 i. International Shortlist Above US$ 800,000 ii. Shortlist may comprise Up to US$ 800,000 national consultants only (b) Prior Review Threshold: Selection decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants: Selection Method Prior Review Threshold Comments (US$ Equivalent) 1. Competitive Methods (Firms) Above US$ 2.0 million All Contracts 2. Single Source (Firms) US$ 100,000 and above All Contracts 3. Individual Above US$ 300,000 All Contracts 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost up to 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. 3. Any Other Special Selection Arrangements: NA 4. Consultancy Assignments with Selection Methods and Time Schedule Refer to attached Procurement Plans of BEE & SIDBI IV Other Requirements / Information (applicable for all procurements) a) All the procurement under the project will be handled by BEE and SIDBI. b) Even for Post Review cases, the inputs of Bank on TORs will be obtained by SIDBI & BEE. c) The justifications for all contracts to be issued on the basis of LIB, single source, or direct contracting (except for contracts less than US$ 100,000 in value) shall be subject to prior review. d) The above thresholds are for the initial 18-month implementation period. Based on the procurement performance of the project, these thresholds may be subsequently modified. 3 e) The prior review thresholds will also be indicated in the procurement plan. The procurement plan will be subsequently updated annually (or at any other time, if required), and will reflect any change in prior review thresholds. f) The World Bank will carry out an annual ex-post procurement review falling below the prior review thresholds indicated above. To avoid any doubts, the Bank may conduct at any time Independent Procurement Reviews (IPRs) of all the contracts financed under the grant. g) The project will implement the Systematic Tracking of Exchanges in Procurement (STEP), a planning and tracking system which would provide data on procurement activities & establish benchmarks (Initial training on the operation of the STEP system has been provided to officials of BEE and SIDBI). The details of the procurement activities, prepared in the present procurement plan, would be transferred to the STEP system. h) No procurement of Works is envisaged by SIDBI or BEE. 4 Annex 4: Proposed Procurement Plan - SIDBI - Additional Financing Package No. Description Estimated Estimated Method of TOR, EoI WB Approval Publication of No Objection Issue RFP Receipt of Evaluation Bank's No Opening of Bank's no Contract Contract Budget (Mil. Budget (Mil. Selection Notice Drafted on ToR EoI Notice of Bank for to short proposals of Objection financial objection to Signed Completed USD) INR) shorlisted and listed and technical to proposals contract RFP consultants opening proposals technical and award document technical and evaluation financial recommend proposals submission report evaluation ations of report to the Bank CSAF-1 Development of an online 0.095 6.18 SSS Completed Completed NA NA NA 17/Aug/16 NA NA NA NA 30/Sep/16 30/Oct/18 tool, its web hosting and maintainance CSAF-2 Energy Expert - I 0.093 6.01 Individual Continuation of services of Shri Sachin Kr. Verma (Sr. Energy Expert) working under FEEMP 24/Jan/19 CSAF-3 Energy Expert - II 0.093 6.01 Individual Continuation of services of Shri Amruth Sudheesh Mekala (Sr. Energy Expert) working under FEEMP 24/Jan/19 CSAF-4 Project Engineer - I 0.015 0.98 Individual 1/Aug/16 15/Aug/16 NA 29/Aug/16 NA 26/Sep/16 17/Oct/16 NA NA 31/Oct/16 14/Nov/16 24/Jan/19 CSAF-5 Cluster Profiling 0.030 1.95 SSS Completed Completed NA NA NA 30/Jun/16 NA NA NA NA 29/Jul/16 3/Oct/16 CSAF-6 Project development 0.225 14.63 QCBS / QBS Completed Completed 1/Sep/16 NA 11/Oct/16 1/Nov/16 1/Dec/16 NA 4/Dec/16 NA 15/Dec/16 20/Sep/18 activities in the cluster - I CSAF-7 Project development 0.225 14.63 QCBS / QBS Completed Completed 1/Sep/16 NA 11/Oct/16 1/Nov/16 1/Dec/16 NA 4/Dec/16 NA 15/Dec/16 20/Sep/18 activities in the cluster - II CSAF-8 Project development 0.225 14.63 QCBS / QBS Completed Completed 1/Sep/16 NA 11/Oct/16 1/Nov/16 1/Dec/16 NA 4/Dec/16 NA 15/Dec/16 20/Sep/18 activities in the cluster - III CSAF-9 Project development 0.225 14.63 QCBS / QBS Completed Completed 1/Sep/16 NA 11/Oct/16 1/Nov/16 1/Dec/16 NA 4/Dec/16 NA 15/Dec/16 20/Sep/18 activities in the cluster-IV CSAF-10 Measurement & Verification 0.075 4.88 SSS / CQS 15/Mar/17 29/Mar/17 8/Apr/17 NA 18/May/17 15/Jun/17 30/Jun/17 NA NA NA 14/Jul/17 5/Jan/19 (M&V) activities and procuring & installing Energy Meters in MSMEs for online monitoring of EE measures implemented 2.100 136.50 NA Presently, the GEF allocation in the total corpus under Revolving Fund Scheme (4E financing scheme) is US$ 3 million, which will be enhanced to US$ 5.1 million by allocating an additional Revolving Fund amount of US$ 2.1 million under this component 0.220 14.30 NA For meeting Project Management Unit (PMU) expenses including expenses towards SIDBI staff salaries, admin & operating expenses, office supplies, office utilities, lease rent, capacity Incremental Operating Cost building / training of PMU staff, travelling, halting expenses, etc. Total 3.620 235.30 # dates indicated in the procurement plan are indicated only subject to / by assuming that the additional financing would become effective w.e.f. 25 July 2016 5 Annex 4: Proposed Procurement Plan - BEE - Additional Finance Estimated cost ToR, EoI Publication WB Approval Issue of RFP Receipt of Evaluation of Opening of WB No Contract Contract USD INR notice WB of EoI of Shortlist proposals Technical Financial objection to signed completed (million) (million) drafted Approval of and RFP and opening proposals & proposal and contract Package Selction Description ToR Document technial Approval of Financial award No. Method proposals report Evaluation recommend ations CSAF-1 Energy & Environment S pecialist Individual 0.10 6.60 Continuation of services of specialist working in FEEM 24/ 01/ 2019 CSAF-2 Manager (Media/ Awareness) Individual 0.06 4.20 Continuation of services of specialist working in FEEM 24/ 01/ 2019 CSAF-3 Finance Management S pecialist Individual 0.07 4.80 Continuation of services of specialist working in FEEM 24/ 01/ 2019 CSAF-4 Procurement S pecialist Individual 0.06 4.20 Continuation of services of specialist working in FEEM 24/ 01/ 2019 CSAF-5 Project Engineer Individual 0.03 1.80 30-06-2016 10-07-2016 N.A. NA N.A 24-08-2016 13-09-2016 N.A. 28-09-2016 28-10-2016 24/ 01/ 2019 Agency for providing support for Design and CSAF-6 Implemention of Energy Management S ystem as QCBS 0.15 9.75 10-06-2016 17-06-2016 27-06-2016 NA 29-07-2016 28-08-2016 12-10-2016 01-11-2016 N.A 16-11-2016 10/ 05/ 2018 per ISO-50001 Agency for undertaking Marketing, Awareness and CSAF-7 QCBS 0.20 13.00 20-07-2016 03-08-2016 10-08-2016 NA 30-09-2016 07-11-2016 06-12-2016 09-12-2016 N.A 30-12-2016 31/ 10/ 2018 Outreach and cross cluster learning activites Agency for Manitaining Web portal & Helpline CSAF-8 SSS 0.08 5.20 Completed 20-06-2016 N.A. N.A NA 30-06-2016 21-07-2016 N.A. NA 01-08-2016 18/ 01/ 2019 facility (Continuation of Existing work) Technical Assistance to Energy Professionals CSAF-9 SSS 0.10 6.50 Completed 11-10-2016 N.A. N.A 26-10-2016 25-11-2016 09-01-2017 N.A. 24-01-2017 03-02-2017 29/ 04/ 2018 (Continuation of ongoing Work) Demonstration of EE technologies (Cont. of CSAF-10 SSS 0.15 9.75 Completed Completed N.A. N.A 30-06-2017 21-07-2017 04-09-2017 N.A. 19-09-2017 29-09-2017 31/ 11/ 2018 ongoing Work - Multiple contracts) Agency for development of sector specific Key EE CSAF-11 QCBS 0.15 9.75 20-10-2016 27-10-2016 06-11-2016 NA 10-01-2017 09-02-2017 10-04-2017 10-05-2017 N.A 25-05-2017 30/ 10/ 2018 Performance Indicators and Benchmarks CSFA-12 Agency for Project Evaluation QCBS 0.05 3.25 25-01-2018 08-02-2018 15-02-2018 NA 12-04-2018 12-05-2018 26-06-2018 30-06-2018 N.A 28-07-2018 24/ 01/ 2019 Benchmarking of consumer appliances + Electrical CSAF-13 SSS/ CQS 0.20 13.00 30-01-2017 09-02-2017 N.A. N.A 24-02-2017 26-03-2017 10-05-2017 N.A. 25-05-2017 04-06-2017 31/ 10/ 2018 Motors (Multiple Contracts) 6 7 PROCUREMENT India : Additional Financing for Financing Energy Efficiency at MSMEs Project PLAN General Information Country: India Bank’s Approval Date of the Original Procurement Plan: 2016-09-14 2019-04-12 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P158033 GPN Date: Project Name: Additional Financing for Financing Energy Efficiency at MSMEs Project Loan / Credit No: / Executing Agency(ies): Small Industries Development Bank of India 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$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) (US$) 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 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 IN-SIDBI-1043-CS-QCBS / Quality Based Under CSAF-8 Project / Post Open - National 0.00 2016-09-14 2016-10-15 2016-11-21 2017-07-12 2017-08-03 2017-08-17 2017-08-31 2019-02-22 Selection Implementation development activities in the cluster - III IN-SIDBI-1045-CS-QCBS / Quality Based Under CSAF-9 Project development / Post Open - National 0.00 2016-09-14 2016-10-15 2016-11-21 2017-07-12 2017-08-03 2017-08-17 2017-08-31 2019-02-22 Selection Implementation activities in the cluster-IV IN-SIDBI-1044-CS-QCBS / Quality Based Under CSAF-7 Project / Post Open - National 0.00 2016-09-14 2016-10-15 2016-11-21 2017-07-12 2017-08-03 2017-08-17 2017-08-31 2019-02-22 Selection Implementation development activities in the cluster - II IN-SIDBI-1040-CS-QCBS / Quality Based Under CSAF-6 Project / Post Open - National 0.00 2016-09-14 2016-10-15 2016-11-21 2017-07-12 2017-08-03 2017-08-17 2017-08-31 2019-02-22 Selection Implementation development activities in the cluster - I IN-SIDBI-14449-CS-QCBS / Quality Based Under CSAF-12 Project / Post Open - National 0.00 2017-05-05 2017-05-26 2017-07-09 2017-07-12 2017-08-03 2017-08-17 2017-08-31 2019-02-22 Selection Implementation development activities in the cluster - V Page 1 IN-SIDBI-77218-CS-QBS / Quality Based Under Project Development Support / Post Open - National 0.00 2018-09-07 2018-10-08 2018-11-14 2019-02-12 2019-03-06 2019-03-20 2019-04-03 2020-09-24 Selection Implementation in Clusters INDIVIDUAL CONSULTANTS Page 2