TAMIL NADU URBAN INFRASTRUCTURE FINANCIAL SERVICES LTD (TNUIFSL) & Directorate of Municipal Administration (DMA) Tamil Nadu Climate Resilient Urban Development Program (TNCRUDP) Project ID No. P179189 PROJECT PROCUREMENT STRATEGY FOR DEVELOPMENT (PPSD) September 2023 Currency table INR 1 Lakh = INR 100,000 = INR Hundred Thousand INR 10 Lakhs = INR 1 million INR 100 Lakhs = INR 10 million = INR 1 Crore 1 US$ = INR 82 1 million US$ = INR 8.2 Crore = INR 82 million = INR 820 Lakhs = INR 8.2 Crore I. Project Overview Country: India State: Tamil Nadu Department: Municipal Administration & Water Supply Department (MAWS) Project Implementing Tamil Nadu Urban Infrastructure Financial Agencies Services Ltd (TNUIFSL) & Directorate of Municipal Administration (DMA) Full Project Name: Tamil Nadu Climate Resilient Urban Development Program (TNCRUDP) US$ 450 million, in which: Total Finance ($): IBRD US$ 300.0 million Government US$ 150.0 million TA component: US$30 million (US$21 million IBRD loan and US$9 million Government Finance) Project Number: P179189 Project Development The Project Development Objective (PDO) is to Objective strengthen urban management and improve access to efficient and climate resilient urban water and sanitation services in participating ULBs in Tamil Nadu The PPSD does not anticipate any major risks from the operation context. Also, the procurement opportunities may elicit adequate participation and no market risk foreseen. However, the DMA and TNUIFSL need a smooth transition from the procurement guidelines regime to the procurement regulations. Till the completion of key procurement activities, the PMUs require dedicated procurement staff assigned to the TNCRUDP considering the staff turnover or staff posted with multiple projects financed by other development partners. Also, training in Bank’s procurement regulations is required for the team members managing the procurement and contract management directly or indirectly throughout the procurement cycle. The DMA and TNUIFL need to strengthen the procurement monitoring mechanism to manage the consultancies awarded on behalf of the ULBs. Most envisage`d consultancies will be procured using open competitive procurement targeting the national market. 1. Background: The Municipal Administration and Water Supply Department (MAWSD) intends to implement the Tamil Nadu Climate Resilient Urban Development Program (TNCRUDP) that would demonstrate a ‘results-oriented’ approach and mainstream climate resilience in urban development by supporting the priorities of the GoTN’s Urban Vision 2031. The project implementation period is for six years between 2024 and 2029 (FY). The TNCRUDP will be using the Bank’s PforR financing instrument with TA component. The TA component will be following the Bank’s Procurement Regulation for IPF Borrower. The overall government program (“p”) is US$2.15 billion and PforR Program is US $807.44 m. the World Bank (IBRD) will finance US$279 million (or 35 percent) of the PforR (“P”). The IPF-TA component for US$30 million which is funded by US$21 million from IBRD and US$9 million from GoTN. 2. IPF Component to Finance Technical Assistance (TA) activities: [US$30 million of which US$21 million is IBRD Loan]. The main objectives of this component are to: (i) provide technical support for program implementation; and (ii) provide other systemic technical assistance for urban sector and ULBs in TN. This TA will have two sub-components that would be implemented through the office of the DMA and TNUIFSL and the main TA activities are as listed in the table below – a. TNUIFSL activities in the first 18 months: S.N Procurement Cost Estimate US $ Activities o Category in Cr. Mn Setting up of RTDAS and Control 1 Rooms for Chennai Real Time Flood Goods 49.66 6.06 Forecasting Project (CRTFF) Supervisory Consulting Services during the Handholding Phase for the 2 Consultancy 0.84 0.10 Chennai Real Time Flood Forecasting Project Consulting Services for Generation of 3 Consultancy 3.00 0.36 DEM & DSM using High Resolution Satellite Image for the Chennai Real Time Flood Forecasting Project Proof Checking the DPR of Integrated Storm Water Drain (ISWD) for 0.06 4 Consultancy 0.49 Tambaram City Municipal Corporation Preparation of Business Plan for TNUDF and Documentary 0.11 5 highlighting the impacts of TNUDF on Consultancy 0.90 Urban Infrastructure Development across the ULBs in Tamil Nadu Institutional Strengthening of TNUIFSL - Appointment of Technical 6 Consultancy 1.50 0.18 Quality Audit and Technical Quality Consultants Institutional Strengthening of TNUDF / ULBs - Appointment of Climate 7 Experts / E&SS Experts / Auditors / Consultancy 1.50 0.18 SCADA Handholding Experts / Communication Experts etc.., Proof Checking the DPR for improvements to the Water Supply in 8 Consultancy 0.50 0.06 Tambaram City Municipal Corporation Revenue Augmentation Project by preparation of Property Survey & Utility Mapping including geotagged locations of septic tanks with web 9 application using GIS for the selected Consultancy 11.00 1.34 ULB’s including Setting up of GIS Control Room with necessary integration with the existing Urban Tree Information System (UTIS) etc., Consulting Services for Preparation of Climate Resilient Feasibility Reports for Utilising the existing 10 Consultancy 2.00 0.24 Water Bodies as additional source of water supply to the nearby local bodies from Rivers basins Consulting Services for Preparation of Climate Resilient DPR’s for 11 Utilising the existing Water Bodies as Consultancy 6.00 0.73 additional source of water supply to the nearby local bodies Carbon Sequestration study for the greenery efforts carried out in Adyar & Cooum Rivers and to identify a 12 buyer for the carbon credit in Consultancy 0.75 0.09 Tholkappia Poonga (358 acres) and greenery efforts in Cooum & Adyar Rivers. Carrying out Performance 13 Assessment of completed Consultancy 1.00 0.12 Underground Sewerage System (UGSS) in 51 towns in Tamil Nadu and suggest the feasibility for safe disposal of sledge from STPs Total 79.14 9.62 b. DMA activities for first 18 months: S.N Procurement Cost Estimate US $ Activities o Category in Cr. Mn Independent Verification Agency for Consultancy 12.38 1.5 verifying the DLIs under Tamil Nadu 1 Climate Resilient Urban Development Program (TNCRUDP) Establishment of Technical Expert Consultancy 13.19 1.63 2 Cell in Project ULBs Consulting Services for preparation Consultancy 7.55 0.92 3 of City Climate Action Plan for ULBs AMC for UTIS – Hardware Consultancy 1.01 0.12 4 Infrastructure in TNSDC &TNDRC for one year AMC for UTIS application for the Consultancy 1.41 0.17 5 period from November 2023 to Oct 2024 AMC for mobile Application (TNUrban Consultancy 0.25 0.03 6 eSevai) for a period of one year AMC for ICT infrastructure installed at Consultancy 0.17 0.02 7 DMA for the year March 2024- Feb 25 Consulting Services for GIS mapping Consultancy 7.63 0.93 8 & Door-to-Door survey for developing Municipal Information System Procurement of New Hardware Goods 18.35 2.24 9 infrastructure for UTIS application One month Software Development Consultancy 1.18 0.14 10 Training to the IT staff DMA’s office and ULBs Total 63.12 7.70 3. Applicable Procurement Framework: The PMUs (DMA and TNUIFSL) follows the World Bank’s Procurement Regulations for IPF Borrowers dated September 2023 (Procurement Regulations) for the procurement of goods, non-consultancy services, and services (excluding Works) activities envisaged under the TA component. In addition, the Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants, revised July 1, 2016, and the provisions agreed in the Financing Agreement are applicable. TNUIFSL has prepared a consolidated Project Procurement Strategy for Development (PPSD) for the IPF-TA Component (including DMA) in line with the stipulated mandatory requirement as per the World Bank's ‘Procurement Regulations for Projects financed by Investment Project Financing – September 2023'. The PPSD defines procurement objectives in line with the Project Development Objectives (PDO) of TNCRUDP. To procure and implement key transactions, the PPSD considered (i) operational context, (ii) the Borrower's procurement capacity, and (iii) market dynamics to identify potential procurement risks likely to impact the accomplishment of PDOs and proposed corresponding mitigation measures. For high-value and high-risk key procurement activities, the PPSD discussed the merits/demerits of feasible Fit for Purpose (FfP) selection methods/arrangements and market options (procurement approach) available in the NPF and recommended an optimum FfP procurement approach to achieve Value for Money (VfM) and achievement of PDOs. 4. Project Procurement Profile: The TA component comprises of few consultancies (studies related to strategic and polices, master plan, etc), goods (ICT) and non- consulting services (capacity building & training). The TA component is not having works procurement. The IPF TA component will support TNUIFSL in the following activities: (a) pooling a set of interested ULBs and subprojects with sufficient creditworthiness to structure a transaction with support from financial advisors; (b) undertaking a credit rating through a rating agency; and (c) appointing a merchant banker to undertake issuance of the bond in capital markets, including ensuring SEBI regulatory compliance. The TA component will provide capacity-building support to the ULBs to prepare and implement subprojects and urban sector studies and planning. Under TA for TNCRUDP, the Bank is to consider financing an activity procured in the TNSUDP. The TA also include a prior review procurement activity notified with an award of contract through TNSUDP will be financed under TNCRUDP. The Bank reviewed key stages until the award notification and accorded No Objection. The TNUIFSL uploaded relevant documents per the STEP roadmap. As of date, TNUIFSL notified the contract award on 13 Mar 2023 before the closure of the TNSUDP (31 Mar 2023). This contract management of this activity will be managed under TNCRUDP STEP Portal. 5. Spend Profile: TNUIFSL and DMA has identified key procurement transactions under TNCRUDP for the first 18 months. IAs for TA shall spend about US$ 10.5 mn 34.88 % of the overall project cost for the TA during the first 18 months. Advance Contracting may award US$ 17.35 mn (57.7% of the TA). However, the retroactive financing spend is limited to US$ 4.2 mn (20% of the TA) 6. Operational Context: Tamil Nadu is ranked 3rd in ease of doing business in India 2020 improving from its rank 14th from the 2019. Tamil Nadu GDP (2023-24) is estimated at $ 354 billion making it the 2nd ranked state in India. Tamil Nadu is the second richest state economy in India. It is also the most industrialised state in the country. 7. Conclusions based on the discussion on the Operation context: • India is an emerging economy in the World. Therefore, Fragile Conflict and Small (FCS) country conditions for procurement are Not Applicable. • The relatively stable exchange rate and low level of inflation (compared to previous years) do not impose potential risks to the project implementation. • The Implementing Agencies TNUIFSL & DMA, follow the World Bank's procurement regulations for TNCRUDP TA. • The stable currency conversion rate is not influencing on the pricing. The TA is not having procurement activities targeting the international market. Economic parameters support project implementation positively. • Considering stable macroeconomic parameters, a price variation clause is not required earlier than 18 months. • The project will not use a sustainable procurement option for the envisaged procurement activities. • The Project will use the World Bank-prescribed Standard Procurement Documents (SPDs) for international competition or Model Procurement Documents for National competition with ESMF built-in features. • Most of the requirements are standard specifications except for the challenge of installation and support during the O&M period. The gradual change in Technology and negligible impact of the rate of change of technology on overall pricing and the contract amount. The rate of obsolescence is low except for a few ICT / IS-related activities. • The IAs need to mobilise skilled persons for installation, operation and maintenance of GIS based system. The procurement documents and contracts need to have upfront provisions for capacity building and impart adequate training for continuity in GIS based projects. II. Procurement capacity of TNUIFSL and DMA: 8. Institutional and Implementation Arrangements: TNUIFSL and DMA has adequate in-house procurement capacity to articulate similar magnitude and complex procurement transactions for the TA. TNUIFSL and DMA have established a separate Project Management Unit (PMU) for overall project management including procurement & contract management. The PMUs in TNUIFSL and DMA will deploy a dedicated official to support envisaged procurement activities (key consultancies). The works will be undertaken by the PIUs at participating ULBs with the support of the Project Management Consultants (PMC) or TWAD Board (Executing Agencies). TNUIFSL will render desired support to the Implementing ULBs in articulating the procurement process and implementing the contracts as per the agreed contractual obligations. No activity in the TA will be implemented by the ULBs. The PMU at TNUIFSL and DM will carry out the procurement process and the cost indicated in the cost table is approximate. Detailed cost sheets will be prepared for each consultancy, duly considering the remuneration and reimbursable expenditure estimates. The DMA and TNUIFSL need a smooth transition from the procurement guidelines regime to the procurement regulations. Till the completion of key procurement activities, the PMUs require dedicated procurement staff assigned to the TNCRUDP considering the staff turnover or staff posted with multiple projects financed by other development partners. Also, training in Bank’s procurement regulations is required for the team members managing the procurement and contract management directly or indirectly throughout the procurement cycle. The DMA and TNUIFL need to strengthen the procurement monitoring mechanism to manage the consultancies awarded on behalf of the ULBs. Most envisage`d consultancies will be procured using open competitive procurement targeting the national market. The staff dealing with procurement and contract management may be provided with refresher/orientation training on the New procurement Framework (NPF) and Systematic Tracking of Exchanges in Procurement (STEP) before implementing procurement activities and managing awarded contracts. TNUIFSL and DMA shall identify a dedicated staff for managing the procurement management at PMU and ensure minimal staff turnover to retain institutional memory and further develop capacity. 9. Conclusions on Client Capability (i). The DMA and TNUIFSL need a smooth transition from the procurement guidelines regime to the procurement regulations and the staff dealing with procurement and contract management may receive refresher/orientation training on the New Procurement Framework and STEP before implementing procurement activities and contract execution. (ii). TNUIFSL and DMA has a team of officers with experience in procurement following World Bank procurement guidelines (for Expression of Interest, Shortlist, Request for Proposals, Evaluation Report and draft negotiated contract etc.). However, in view of the growing portfolio of multi- lateral funded / GoTN projects, it is recommended to have a dedicated staff for managing the procurement including contract management for the TA component. 10. Market potential: For the envisaged procurement transactions of TA, it is planned to target the national market duly considering the availability of adequate consultancy firms in the national market. In the past World Bank assisted projects, TNUIFSL has observed that on average 4-5 consultants participate in the QCBS consulting services out of the total 6 shortlisted firms. The expected average value of a QCBS contract ranges from ₹ 0.6 Cr to ₹ 1.5 Cr. Experiences from previous projects show that most of procurement packages were small and most of the potential providers available in India. Most of the goods required (ICT) are readily available on domestic markets. Goods and equipment to be procured under the project are not sophisticated equipment and of small value. It is found that these are in general available and/or easy to procure either in the national / local market. Conclusions on Market Potential: Inference from the Market dynamics: No short suppliers risk is foreseen. 11. Procurement risk analysis TNUIFSL and DMA from previous project have capacity to implement procurement activities for the TA component. These implementing agencies were involved in earlier Bank-financed projects and are familiar with Bank policies / procedures However, review previous experience showed that there were delays were experienced in procurement & contract management. The risks are manageable. Such key risks and proposed risk mitigation measures are shown in Table below – Risk Description Risk Description of Mitigation Risk Owner rating Measures It is recommended to have a Staff loaded with Substantial TNUIFSL & dedicated staff for managing the DMA multiple task due to procurement including contract growing portfolio of management for the TA multi-lateral funded / component. GoTN projects Smooth transition from Substantial Refresher/orientation training on the TNUIFSL & the procurement New procurement Framework (NPF) DMA guidelines regime to and Systematic Tracking of the procurement Exchanges in Procurement (STEP) regulations before implementing procurement activities and managing awarded contracts. For contracts awarded Low Participating ULBs to provide TNUIFSL & on behalf of the support during the implementation DMA in co- participating ULBs, of the contracts. ordination anticipating delay in with the support, data, participating approvals, co- ULBs ordination with departments, etc. Governance risks Low Enhanced disclosure of procurement TNUIFSL & associated with conflict information, including publication of DMA of interest, fraud and the advertisement, contract award corruption, which may information for all procurement adversely affect the packages on TNUIFSL and DMA efficiency and websites. effectiveness of the project Establish a procurement complaint implementation. handling mechanism consistent with World Bank requirements. Require staff involved in procurement to declare their interest and sign a declaration form. Monitoring and reporting on implementation of above points or strengthening transparency and procurement for the project. For Major consultancies PPSD perused feasible selection methods/ arrangements and market options in the NPF to arrive at the optimum Fit for Purpose (FfP) Selection method. Optimum FfP Selection of Consulting Firms: QCBS through an Open national market approach following direct RFP up to US$ 2 million (India specific provision) and through Request for EoI followed by the RFP above US$ 2 million. 12. Overall Conclusion: The PPSD does not anticipate any major risks from the operation context. Also, the procurement opportunities may elicit adequate participation and no market risk foreseen. However, the DMA and TNUIFSL need a smooth transition from the procurement guidelines regime to the procurement regulations. Till the completion of key procurement activities, the PMUs require dedicated procurement staff assigned to the TNCRUDP considering the staff turnover or staff posted with multiple projects financed by other development partners. Also, training in Bank’s procurement regulations is required for the team members managing the procurement and contract management directly or indirectly throughout the procurement cycle. The DMA and TNUIFL need to strengthen the procurement monitoring mechanism to manage the consultancies awarded on behalf of the ULBs. Most envisage`d consultancies will be procured using open competitive procurement targeting the national market. 13. Procurement Documents and resulting contracts: The Bank prescribed SPDs will be used with Environmental and Social (E&S) provisions. 14. Procurement Monitoring: TNUIFSL and DMA is to develop a customised monitoring system to review decentralised and scattered works using the web-based platform and mobile phone network. 15. Advance procurement and retroactive financing: The Borrower may wish to proceed with the procurement process before signing the Legal Agreement. The eventual contracts shall be procured in accordance with advance contracting and retroactive financing (Para 5.1 of the Procurement Regulations). The discussion and conclusions in PPSD form the basis of the initial Procurement Plan (PP), which is the key output of the PPSD. Accordingly, an initial PP has been prepared for at least the first 18 months [Annex -1], which will be agreed upon with the World Bank before negotiations. Then, the PMU enters the approved Plan into the World Bank's STEP portal. The PP is expected to be updated periodically or at least once every 12 months. 16. Procurement Arrangements: The initial PP also prescribes the agreed procurement arrangements for the IPF component. The prior review, conducting the post review, disclosure of the procurement-related information, and complaint handling are as per the applicable Procurement Regulations. National competition for the procurement of goods, works, and non-consulting services according to the established thresholds will be conducted in accordance with paragraphs 5.3–5.6 of Section V of the Procurement Regulations and the NCP provisions agreed with GoI. Government e-Marketplace (GeM) will be allowed instead of RFQ for all activities with cost estimates less than or equal to US$ 100,000 equivalent. Shortlisting with national consultants is up to US$ 2 million, and up to this threshold, the Direct RFP for the selection of consultancies is permitted (India-specific provision). E-Procurement: GoTN uses the NIC E-Government Procurement (E-GP) platform. The Bank assessed the NIC E-GP platform and accepted it. Record keeping and anti-corruption measures will be as per IPF general conditions. After the Bank reviews the PPSD and agrees to the initial PP, the PMU uploads these documents to the World Bank’s Systematic Tracking of Exchanges in Procurement (STEP) and updates the PP in line with the requirements of procurement regulations. The Bank provided training to registered users with STEP and oriented the staff on procurement regulations and preparation of the PPSD. Annex 1: Initial Procurement Plan Project information: Tamil Nadu Climate Resilient Urban Development Program (P179189) Implementing Agencies: PMU- DMA and PMU- TNUIFSL Date of the Procurement Plan: 26.09.2023 Period covered by this Procurement Plan: at least for 18 months [as updated regularly on STEP] Preamble In accordance with paragraph 5.9 of the "World Bank Procurement Regulations for IPF Borrowers" (September 2023) ("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. 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. From effective September 1, 2023, the World Bank will require the use of Rated Criteria as the default approach for most of the international procurements1 (subject to either prior or post review of the Bank) 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. Open National competition for the procurement of goods, works and non-consulting services according to the established thresholds will be conducted in accordance with paragraphs 5.3 – 5.6 of Section V of the Regulations and the following provisions: 1. Only the model bidding documents for National Competitive Procurement (NCP) agreed with the GOI Task Force (and as amended for time to time), shall be used for bidding. 2. Invitations to bid shall be advertised on a widely used website or electronic portal with free open access at least 30 days prior to the 1New international procurements advertised on or after September 1, 2023 using a Bank Standard Procurement Document must use Rated Criteria. However, application of Rated Criteria will not be mandatory for: Pharmaceuticals; Vaccines; Off the shelf goods and educational materials; Commodities; Other exception cleared by the World Bank on a fit-for- purpose basis deadline for the submission of bids, unless otherwise agreed in the approved procurement plan. 3. 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. 4. Except with the prior concurrence of the Bank, there shall be no negotiation of price with the bidders, even with the lowest evaluated bidder. 5. Government e-Marketplace (GeM) set-up by Ministry of Commerce, Government of India will be acceptable for procurement under Request for Quotations (RFQ) method. 6. At the Borrower’s request, the Bank may agree to the Borrower’s use, in whole or in part, of its electronic procurement system, provided that the Bank is satisfied with the adequacy of such system. 7. Procurement will be open to eligible firms from any country. This eligibility shall be as defined under Section III of the Procurement Regulations. Accordingly, no bidder or potential bidder shall be declared ineligible for contracts financed by the Bank for reasons other than those provided in Section III of the Procurement Regulations. 8. The request for bids/request for proposals document shall require that Bidders/Proposers submitting Bids/Proposals include a signed acceptance in the bid, 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. 9. The Borrower shall use an effective complaints mechanism for handling procurement related complaints in a timely manner. 10. Procurement Documents will include provisions, as agreed with the Bank, intended to adequately mitigate against environmental, social (including sexual exploitation and abuse and gender-based violence), health and safety (“ESHS”) risks and impacts. Leased Assets as specified under paragraph 5.10 of the Procurement Regulations: Not Applicable Procurement of Second-hand Goods as specified under paragraph 5.11 of the Procurement Regulations: Not Applicable Domestic preference as specified under paragraph 5.51 of the Procurement Regulations (Goods and Works). Specify for each Goods: applicable for those contracts identified in the Procurement Plan tables; Works: is not applicable Other Relevant Procurement Information: All contracts not subject to prior review by the World Bank will be subject to post review during the Project's Implementation Support Missions and/or special post review missions including missions by consultants hired by the Bank. The World Bank may conduct, at any time, independent procurement reviews of all the contracts financed under the loan. Additionally, if there are internal audits carried out for sample procurements, the Borrower may consult with the World Bank to include the Bank's requirements under the terms of reference for such audits, in which case the Bank will review the internal audit reports. Fiduciary oversight and Procurement Review by the World Bank. The World Bank shall PRIOR REVIEW all contracts set in the Procurement Plan for Substantial Procurement Risk. Table 1. Procurement Prior Review Thresholds (US$ millions) Type of High Substantial Moderate Low risk procurement risk risk risk Works (including turnkey, supply & installation of 5 1 1 20 plant and 0 5 equipment, and PPP) Goods, information technology, 1.5 2 4 6 and non- consulting services Consulting Services: firms 0.5 1 2 4 Consulting Services: 0.2 0.3 0.4 0.5 Individuals Notes: 1. These thresholds apply to all procurement activities regardless of their procurement/selection methods. There is no automatic requirement to undertake prior review for direct selection for value less than these thresholds. Consultant services covers a range of services that are of an advisory or professional nature. 2. In addition to the provisions above, and irrespective of the contract value, the following procurement activities are subject to the Bank’s procurement prior review: (a) procurement processes involving Contract Negotiations as, described in paragraphs 6.34-36 of Section VI Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized of the Procurement Regulations; (b) Competitive Dialogue; (c) Sustainable Procurement; and (d) Best and Final Offer (BAFO) Prior Procurement Arrangements: The Procurement Arrangements as indicated in the below table and within the thresholds indicated in the below tables will be used. The thresholds for the Bank’s prior review requirements are also provided in the table below: (The table below depicts the Thresholds and Selection Methods to be used under the TNCRUDP - TA): Thresholds*, Selection Methods, and Prior Review Selection method threshold Prior review thresholds2 Category Threshold (in Threshold Threshold (US $) Rs.) (in US $)3 Goods, IT and Non-Consulting Services Request for Bids (RFB) using 24.60 crore >= 3 million All Open, International market and above approach Request for Bids (RFB) using Upto 24.60 < 3 million All Contract packages the Open, National market crore estimated to cost above 2 approach million including Direct Selection Request for Quotations (RFQ) Upto 82.00 < 0.1 million Lakhs Works (Turnkey, Supply & Installation of plant & Equipment and PPP) Contracts Not Envisaged through TA Consulting Services Under 2.46 <= 0.3 All Contract packages CQS crore million estimated to cost above 1 FBS, LCS in justified cases million including Direct QCBS, QBS, in all other packages Contracting Must meet the requirements of Para 7.13 to 7.15 of the Direct Selection Regulations, and with prior clearance by the Bank thru procurement plan. Open Competitive Contract packages estimated 2 Based on the risk rating assigned by the World Bank. As on date the risk is “Substantial”. Selection: As per to cost above 0.3 million Individual 3 1.00 US$ Consultant (IC) = INR 82.00 requirements of para 7.36 and including Direct Selection 7.37 of the Regulations Limited competitive Selection: As per requirements of para 7.38 of the Regulations Direct Selection: Must meet the requirements of Para 7.39 of the Regulations, and with prior agreement in PP with the Bank All procurement that meet the requirements Framework Agreements (Goods, & as per Para 6.57 to 6.59 of Procurement consulting Services) Regulations and with prior agreement in PP with the Bank UN Agencies In accordance with paragraph 7.27 & 7.28 of the Procurement Regulations, and with prior agreement in Procurement plan with the Bank NGOs In accordance with paragraph 7.29 of the Procurement Regulations. *NOTE: The Procurement Plan shall set forth those contracts which shall be subject to the Bank’s Prior Review. All other contracts shall be subject to Post Review by the Bank/Association. Notwithstanding the foregoing, the Bank shall be entitled to conduct, at any time, independent procurement reviews of all the contracts financed under the Loan/Financing Note 1: The short list may consist of all National consultants in case the estimated cost is less than USD 2,000,000; Direct RFP (REoI and RFP) India specific provision is allowed up to US$ 2,000,000 Note 2: Government eMarket Place [(GeM) https://gem.gov.in/ ]is an online end to end procurement portal. All the activities from registration of buyers and sellers to purchase and even payment to the sellers are completely online. The PMU may 1. up to INR 50,000 in catalogue mode (viz. any available item could be selected by IA without further competition), provided selected Item/Supplier meeting the requisite quality, specification and delivery period. 2. up to INR 3 million from the Supplier having the lowest price amongst at least three Suppliers meeting the requisite quality, specification and delivery period. The tools for online bidding and online reverse auction available on GeM may be used by the Purchaser.n 3. up to INR equivalent of US$ 100,000 from the Supplier having lowest price and meeting the requisite quality, specification and delivery period after mandatorily obtaining bids from at least three Suppliers, using online bidding or reverse auction tool provided on GeM. while making use of GeM portal, Special Terms and Conditions meant for World Bank financed projects shall be used https://assets-bg.gem.gov.in/resources/pdf/stc- world-bank.pdf. In both above cases Borrowers will record their assessment on reasonableness of price. GeM is not to be used for procurement in lieu of RFB - Open National or International Procurement Methods. Note 3: In addition to above there are other selection arrangements available in the Bank procurement regulations September 2023 which subject to Bank prior clearance can be incorporated in future by updating the procurement plan and shall be based on the project need. Note 4: These thresholds are for the purposes of the initial procurement plan for the first 18 months. The thresholds may be increased or decreased based on re-assessment of risks assessment. All contracts not subject to prior review will be post-reviewed. Pre-qualification: No Proposed Procedures for CDD Components: No Reference to (if any) Project Operational/Procurement Manual: None for the TA; Any Other Special Procurement Arrangements: Not Applicable Procurement Packages/Plan with Procurement Arrangements and Time Schedule: as per the Table below: a. Goods and Non-consulting services Review Expected by Planned Estimated month / Description of Bank issuance Implementing Cost in Selection year of S.N Assignment of RFP Comments Agency USD mn Method Contract (Prior / month / Award Post) year Prior approval obtained from Bank Setting up of RTDAS and for award following Control Rooms for Chennai TNUIFSL Request 1 6.06 Prior N/A Mar 2023 RFB-NCB Goods Real Time Flood Forecasting (through WRD) for Bids under TNSUDP. Project (CRTFF) Agreement is yet to be executed. Procurement of New Request 2 Hardware Infrastructure for DMA 2.24 Prior Mar 2024 Jun 2024 for Bids UTIS application b. Consulting services Review Expected by Planned Estimated month / Description of Bank issuance Implementing Cost in Selection year of S.N Assignment of RFP Comments Agency USD mn Method Contract (Prior / month / Award Post) year Supervisory Consulting Services during the RFP – 1 Handholding Phase for the TNUIFSL 0.10 Direct Post Mar 2023 Jun 2023 Chennai Real Time Flood Forecasting Project Consulting Services for Generation of DEM & DSM using High Resolution RFP – 2 TNUIFSL 0.36 Post Sep 2023 Nov 2023 Satellite Image for the Direct Chennai Real Time Flood Forecasting Project Proof Checking the DPR of 0.06 Integrated Storm Water RFP – 3 TNUIFSL Post Jul 2023 Sep 2023 Drain (ISWD) for Tambaram Direct City Municipal Corporation Consulting Services for Preparation of Business Plan for TNUDF and Documentary highlighting 0.11 RFP – 4 TNUIFSL Post Oct 2023 Dec 2023 the impacts of TNUDF on QCBS Urban Infrastructure Development across the ULBs in Tamil Nadu Institutional Strengthening of TNUIFSL - Appointment of RFP – 5 Technical Quality Audit and TNUIFSL 0.18 Post Mar 2023 Apr 2023 Direct Technical Quality Consultants Institutional Strengthening of TNUDF / ULBs - Appointment of Climate Experts / E&SS Experts / RFP – 6 TNUIFSL 0.18 Post Mar 2024 Apr 2024 Auditors / SCADA Direct Handholding Experts / Communication Experts etc.., Proof Checking the DPR for RFP – 7 TNUIFSL 0.06 Post Nov 2023 Jan 2024 improvements to the Water QCBS Supply in Tambaram City Municipal Corporation Revenue Augmentation Project by preparation of Property Survey & Utility Mapping including geotagged locations of septic tanks with web RFP – 8 application using GIS for the TNUIFSL 1.34 Prior Dec 2023 Feb 2024 QCBS selected ULB’s including Setting up of GIS Control Room with necessary integration with the existing Urban Tree Information System (UTIS) etc., Consulting Services for Preparation of Climate Resilient Feasibility Reports for Utilising the existing RFP – 9 TNUIFSL 0.24 Post Jun 2024 Sep 2024 Water Bodies as additional QCBS source of water supply to the nearby local bodies from Rivers basins Consulting Services for Preparation of Climate Resilient DPR’s for Utilising RFP – 10 the existing Water Bodies TNUIFSL 0.73 Post Oct 2023 Dec 2023 QCBS as additional source of water supply to the nearby local bodies Carbon Sequestration Study for the greenery RFP - 11 efforts carried out in Adyar TNUIFSL 0.09 Post Nov 2023 Dec 2023 Direct & Cooum Rivers and to identify a buyer for the carbon credit in Tholkappia Poonga (358 acres) and greenery efforts in Cooum & Adyar Rivers. Carrying out Performance Assessment of completed Underground Sewerage System (UGSS) in 51 towns RFP – 12 TNUIFSL 0.12 Post Oct 2023 Dec 2023 in Tamil Nadu and suggest QCBS the feasibility for safe disposal of sledge from STPs Independent Verification Agency for verifying the DLIs under Tamil Nadu RFP – 13 DMA 1.50 Prior Sep 2023 Nov 2023 Climate Resilient Urban QCBS Development Program (TNCRUDP) Establishment of Technical RFP – 14 DMA 1.63 Prior Apr 2024 June 2024 Expert Cell in Project ULBs QCBS Consulting Services for RFP – 15 preparation of City Climate DMA 0.92 Post Apr 2024 June 2024 QCBS Action Plan for ULBs The AMC amount spent for the period Apr 2023 to Oct 2023 would be AMC for UTIS – Hardware claimed under RFP – 16 Infrastructure in TNSDC DMA 0.12 Post Oct 2023 Nov 2023 retroactive finance. QCBS &TNDRC for one year For the period from Nov 2023, RFP would be issued for appointing AMC Vendors. The AMC amount spent for the period Apr 2023 to Oct 2023 would be AMC for UTIS application for claimed under RFP – 17 the period from November DMA 0.17 Post Oct 2023 Nov 2023 retroactive finance. QCBS 2023 to Oct 2024 For the period from Nov 2023, RFP would be issued for appointing AMC Vendors. AMC for Mobile Application RFP – 18 (TNUrban eSevai) for a DMA 0.03 Post Dec 2023 Jan 2024 QCBS period of one year The AMC amount spent for the period Mar 2023 to February 2024 would be claimed AMC for ICT Infrastructure RFP – under retroactive 19 installed at DMA for the DMA 0.02 Post Feb 2024 Mar 2024 QCBS finance. For the year March 2024-Feb 25 period from March 2024, RFP would be issued for appointing AMC Vendors. Consulting Services for GIS mapping & Door-to-Door RFP – 20 survey for developing DMA 0.93 Post Mar 2024 May 2024 QCBS Municipal Information System One month Software RFP – 21 DMA 0.14 Post Jan 2024 Jan 2024 Development Training to Direct the IT staff DMA’s office and ULBs PROCUREMENT India : Tamil Nadu Climate Resilient Urban Development Program PLAN General Information Country: India 2023-10-12 Bank’s Approval Date of the Original Procurement Plan: 2024-12-16 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P179189 GPN Date: 2023-05-17 Project Name: Tamil Nadu Climate Resilient Urban Development Program Loan / Credit No: / , IBRD / 96250 Tamil Nadu Urban Infrastructure Financial Services Limited Executing Agency(ies): WORKS Activity Reference No. / Estimated Actual Am Bid Evaluation Report Loan / Credit N Market Approac Procurement Pro Prequalification High SEA/SH R Procurement D Process St Draft Pre-qualification Prequalification Evalu Draft Bidding Docum Specific Procurement Bidding Documents a Proposal Submission / Contract Complet Description Component Review Type Method Amount (U ount (US$ and Recommendation Signed Contract o. h cess (Y/N) isk ocument Type atus Documents ation Report ent / Justification Notice / Invitation s Issued Opening / Minutes ion S$) ) for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned GOODS Activity Reference No. / Bid Evaluation Report Loan / Credit N Market Approac Procurement Pro Prequalification Estimated Am Actual Amount Process St Draft Pre-qualification Prequalification Evalu Draft Bidding Docum Specific Procurement Bidding Documents a Proposal Submission / Description Component Review Type Method and Recommendation Signed Contract Contract Completion o. h cess (Y/N) ount (US$) (US$) atus Documents ation Report ent / Justification Notice / Invitation s Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-TNUIFSL-350974-GO-RFB / Setting up of Real Time Dat a Acquisition System (RTDAS ), Hydro Modelling Flood Cont Single Stage - Two E Pending Impl / Prior Request for Bids Open - National 6,060,000.00 0.00 2023-03-20 2023-03-20 2023-03-20 2023-03-20 2023-11-15 2024-09-10 rol Room at SEOC, Ezhilagam nvelope ementation and Flood Monitoring Centres for Water Resources Depart ment Headquarters at Chepa uk and Four Collectorates NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Loan / Credit N Market Approac Procurement Pro Prequalification Estimated Am Actual Amount Process St Draft Pre-qualification Prequalification Evalu Draft Bidding Docum Specific Procurement Bidding Documents a Proposal Submission / Description Component Review Type Method and Recommendation Signed Contract Contract Completion o. h cess (Y/N) ount (US$) (US$) atus Documents ation Report ent / Justification Notice / Invitation s Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit N Market Approac Contract Type Estimated Amo Actual Amount Expression of Interest Short List and Draft R Request for Proposals Opening of Technical Evaluation of Technic Description Component Review Type Method Process Status Terms of Reference Report and Draft Neg Signed Contract Contract Completion o. h unt (US$) (US$) Notice equest for Proposals as Issued Proposals / Minutes al Proposal otiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-TNUIFSL-384700-CS-QCB S / Consulting Services for Pr eparation of Business Plan fo Quality And Cost- Under Implement r TNUDF and Documentary hi / Post Open - National 110,000.00 0.00 2023-10-09 2023-10-13 2023-10-09 2023-10-16 2023-11-16 2023-11-30 2023-12-21 2024-02-01 2025-01-31 Based Selection ation ghlighting the impacts of TN UDF on Urban Infrastructure Development across the ULB s in Tamil Nadu IN-TNUIFSL-384702-CS-QCB S / Consulting services for Pr Quality And Cost- Under Implement oof Checking the DPR for imp / Post Open - National 60,000.00 0.00 2023-11-12 2023-07-18 2023-11-12 2023-11-19 2023-12-20 2024-01-03 2024-01-24 2024-03-06 2024-08-03 Based Selection ation rovements to the Water Supp ly in Tambaram City Municip al Corporation IN-TNUIFSL-384716-CS-QCB S / Consulting services for “C arrying out Performance Ass essment of completed Under Quality And Cost- Pending Impleme / Post Open - National 120,000.00 0.00 2023-10-10 2023-10-10 2023-10-17 2023-11-16 2023-11-30 2023-12-21 2024-02-01 2024-07-30 Ground Sewerage System (U Based Selection ntation GSS) in 51 Towns in Tamil Na du and suggest the feasibility for safe disposal of sludge fro m STPs” IN-TNUIFSL-384721-CS-QCB S / Consulting services for “R evenue Augmentation projec t by Property Survey & Utility Quality And Cost- Pending Impleme / Prior Open - National 1,340,000.00 0.00 2023-12-10 2024-01-09 2024-02-06 2024-03-08 2024-03-22 2024-04-12 2024-05-24 2025-08-22 Mapping using GIS and integr Based Selection ntation ation with existing Urban Tre e Information System (UTIS) f or Tambaram City Municipal Corporation” IN-TNUIFSL-446195-CS-QCB S / Consulting services for pr eparation of Detailed Feasibil Quality And Cost- Pending Impleme IBRD / 96250 Post Open - National 268,000.00 0.00 2024-08-19 2024-08-19 2024-09-02 2024-10-03 2024-10-18 2024-11-07 2024-12-12 2025-12-12 ity Report for 24X7 Water Su Based Selection ntation pply Schemes for left areas o f 12 Municipal Corporations a nd Municipalities IN-TNUIFSL-446199-CS-QCB S / Preparation of Detailed Fe asibility Report & providing T ransaction Advisory Services Quality And Cost- Pending Impleme IBRD / 96250 Post Open - National 357,000.00 0.00 2024-08-19 2024-08-19 2024-09-02 2024-10-07 2024-10-22 2024-11-19 2024-12-24 2025-12-24 for setting up for Waste-to-E Based Selection ntation nergy Facility with allied wor ks etc. through Public-Private Participation(PPP) in Tiruchira ppalli, Madurai Corporations INDIVIDUAL CONSULTANTS Activity Reference No. / Loan / Credit N Market Approac Contract Type Estimated Amo Actual Amount Invitation to Identifie Draft Negotiated Cont Description Component Review Type Method Process Status Terms of Reference Signed Contract Contract Completion o. h unt (US$) (US$) d/Selected Consultant ract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual IN-TNUIFSL-351024-CS-INDV / Appointment of Individual C onsultant (Mr.R.Sivashanmug Individual Consult Pending Impleme / Post Direct - National 75,000.00 0.00 2023-03-20 2023-03-27 2023-03-30 2023-04-01 2027-03-31 am) as Technical Quality Aud ant Selection ntation it consultants for review and monitoring of all TNUDF and TNCRUDP sub-projects Page 1 IN-TNUIFSL-351022-CS-INDV / Appointment of Individual C onsultant (Mr.M.Muthuvalliap Individual Consult Pending Impleme / Post Direct - National 66,500.00 0.00 2023-03-20 2023-03-27 2023-03-30 2023-04-01 2027-03-31 pan) as Technical Quality Au ant Selection ntation dit consultant for review and monitoring of all TNUDF and TNCRUDP sub-projects IN-TNUIFSL-351020-CS-INDV / Appointment of Individual C onsultant (Mr.E.Ayyanar Bhar Individual Consult Pending Impleme / Post Direct - National 75,000.00 0.00 2023-03-20 2023-03-27 2023-03-30 2023-04-01 2027-03-31 athi) as Technical Quality Au ant Selection ntation dit consultant for review and monitoring of all TNUDF and TNCRUDP sub-projects IN-TNUIFSL-351023-CS-INDV / Appointment of Individual C onsultant (Ms.Chitra Rajesh) Individual Consult Pending Impleme / Post Direct - National 84,000.00 0.00 2023-03-20 2023-03-27 2023-03-30 2023-04-01 2027-03-31 as Environmental Safeguards ant Selection ntation Consultant for review and mo nitoring of all TNUDF and TN CRUDP sub-projects IN-TNUIFSL-351010-CS-INDV / Appointment of Individual C onsultant (Mr. G. Sathish Ku Individual Consult Pending Impleme / Post Direct - National 66,500.00 0.00 2023-03-20 2023-03-25 2023-03-28 2023-04-01 2026-03-31 mar) as Technical Quality Co ant Selection ntation nsultant (GIS) for review of G IS in consultancy assignment s taken up under TNCRUDP. IN-TNUIFSL-351013-CS-INDV / Appointing a Individual Con sultant (Mr. M. Karthikeyan) Individual Consult Pending Impleme as Technical Quality Consulta / Post Direct - National 64,000.00 0.00 2023-03-20 2023-03-25 2023-03-28 2023-04-01 2026-03-31 ant Selection ntation nt (Civil) for review of all con sultancy services taken unde r TNCRUDP for a period of thr ee years IN-TNUIFSL-351011-CS-INDV / Appointment of Individual C onsultant (Mrs. M. Shanthi) a Individual Consult Pending Impleme / Post Direct - National 12,000.00 0.00 2023-03-20 2023-03-25 2023-03-28 2023-04-01 2024-03-31 s Technical Quality Consultan ant Selection ntation t (Civil) for review of all cons ultancy services taken up un der TNCRUDP IN-TNUIFSL-351017-CS-CDS / Supervisory Consultancy Ser vices during the Handholding Pending Impleme / Post Direct Selection Direct - National 83,000.00 0.00 2023-03-20 2023-03-30 2023-04-10 2025-10-15 Phase for the Real Time Floo ntation d Forecasting and Spatial De cision Support System (RTFF & SDSS) in Chennai Basin IN-TNUIFSL-375180-CS-CDS / Consulting Services for “Proo f Checking of Engineering De signs and Costing of DPR for I Pending Impleme / Post Direct Selection Direct - National 60,000.00 0.00 2023-08-06 2023-08-16 2023-10-20 2024-04-17 ntegrated Storm Water Drain ntation s (ISWD) in Tambaram City M unicipal Corporation, Mangad u, Kundarathur and Nanthiva ram-Guduvanchery Urban Lo cal Bodies”. IN-TNUIFSL-385194-CS-CDS / Consulting Services for Gene ration of DEM & DSM using Hi Pending Impleme / Post Direct Selection Direct - National 360,000.00 0.00 2023-10-09 2023-10-09 2023-12-04 2024-08-30 gh Resolution Satellite Image ntation for the Chennai Real Time Flo od Forecasting Project (CRTF F) IN-TNUIFSL-458914-CS-INDV Individual Consult Pending Impleme / Technical Quality Consultan IBRD / 96250 Post Limited - National 151,000.00 0.00 2024-10-28 2024-10-29 2024-11-03 2024-11-25 2027-08-21 ant Selection ntation t – Environmental (Design En gineer) Expert IN-TNUIFSL-414258-CS-CDS / Providing Consulting Services as a Technical Quality Consul tant (TQC) (Environmental En Pending Impleme gineer – Environmental Comp IBRD / 96250 Post Direct Selection Direct - National 45,000.00 0.00 2024-08-19 2024-08-19 2024-08-22 2025-02-18 ntation liance) by Mr. Mounaguru.P f or the Consultancy Assignme nts undertaken by TNUIFSL fr om PDGF under World Bank assisted TNCRUDP Page 2